New Metropolitan Perspectives: Knowledge Dynamics and Innovation-driven Policies Towards Urban and Regional Transition Volume 2 [1st ed.] 9783030482787, 9783030482794

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Smart Innovation, Systems and Technologies 178

Carmelina Bevilacqua Francesco Calabrò Lucia Della Spina   Editors

New Metropolitan Perspectives Knowledge Dynamics and Innovation-driven Policies Towards Urban and Regional Transition Volume 2

Smart Innovation, Systems and Technologies Volume 178

Series Editors Robert J. Howlett, Bournemouth University and KES International, Shoreham-by-sea, UK Lakhmi C. Jain, Faculty of Engineering and Information Technology, Centre for Artificial Intelligence, University of Technology Sydney, Sydney, NSW, Australia

The Smart Innovation, Systems and Technologies book series encompasses the topics of knowledge, intelligence, innovation and sustainability. The aim of the series is to make available a platform for the publication of books on all aspects of single and multi-disciplinary research on these themes in order to make the latest results available in a readily-accessible form. Volumes on interdisciplinary research combining two or more of these areas is particularly sought. The series covers systems and paradigms that employ knowledge and intelligence in a broad sense. Its scope is systems having embedded knowledge and intelligence, which may be applied to the solution of world problems in industry, the environment and the community. It also focusses on the knowledge-transfer methodologies and innovation strategies employed to make this happen effectively. The combination of intelligent systems tools and a broad range of applications introduces a need for a synergy of disciplines from science, technology, business and the humanities. The series will include conference proceedings, edited collections, monographs, handbooks, reference books, and other relevant types of book in areas of science and technology where smart systems and technologies can offer innovative solutions. High quality content is an essential feature for all book proposals accepted for the series. It is expected that editors of all accepted volumes will ensure that contributions are subjected to an appropriate level of reviewing process and adhere to KES quality principles. ** Indexing: The books of this series are submitted to ISI Proceedings, EI-Compendex, SCOPUS, Google Scholar and Springerlink **

More information about this series at http://www.springer.com/series/8767

Carmelina Bevilacqua Francesco Calabrò Lucia Della Spina •

•

Editors

New Metropolitan Perspectives Knowledge Dynamics and Innovation-driven Policies Towards Urban and Regional Transition Volume 2

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Editors Carmelina Bevilacqua Mediterranea University of Reggio Calabria Reggio Calabria, Reggio Calabria, Italy

Francesco Calabrò Mediterranea University of Reggio Calabria Reggio Calabria, Reggio Calabria, Italy

Lucia Della Spina Mediterranea University of Reggio Calabria Reggio Calabria, Reggio Calabria, Italy

This volume is part of the TREnD project (Transition with Resilience for Evolutionary Development), which has received funding from the European Union’s Horizon 2020 research and innovation program under the Marie Skłodowska-Curie grant agreement No. 823952 ISSN 2190-3018 ISSN 2190-3026 (electronic) Smart Innovation, Systems and Technologies ISBN 978-3-030-48278-7 ISBN 978-3-030-48279-4 (eBook) https://doi.org/10.1007/978-3-030-48279-4 © Springer Nature Switzerland AG 2021 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Switzerland AG The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland

Preface

This volume contains the proceedings for the Fourth International “NEW METROPOLITAN PERSPECTIVES. Knowledge Dynamics and Innovation-driven Policies Towards Urban and Regional Transition”, scheduled from 26 to 28 May 2020, in Reggio Calabria, Italy. The Symposium was jointly promoted by LaborEst (Evaluation and Economic Appraisal Lab) and CLUDs (Commercial Local Urban Districts Lab), laboratories of the PAU Department, Mediterranea University of Reggio Calabria, Italy, in partnership with a qualified international network of academic institution and scientific societies. The fourth edition of “NEW METROPOLITAN PERSPECTIVES”, like the previous ones, aimed to deepen those factors which contribute to increase cities and territories’ attractiveness, with both theoretical studies and tangible applications. When the call for papers of New Metropolitan Perspectives was launched in September 2019, no one could imagine that in a few months we would find ourselves suddenly catapulted into a totally unknown future. And the papers sent in January 2020, of course, could not in any way reflect the dynamics caused by the spread of COVID-19, the outlines of which will all be discovered and deepened in the coming years: it is still too early to fully understand the extent of these changes. Today, we are still dealing with what appears to be a cataclysm of planetary proportions; it will take time to “historicise” events and interpret their profound meaning and long-term impact, through the multi-level observation—through the interpretation of macro-data and the in-depth investigation of the different realities involved—that the scientific community will be able to develop when the health emergency is over. At that point, the scenarios can begin to be configured with scientific rigour, which are beginning to be intuitively delineated in constant events. It will be possible to appreciate the permanent (real and perceived) effects on the daily life of communities, on the organisation of work and logistics chains and in the system of social relations. At present, we can only hypothesise scenarios, more or less well founded.

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The common thread that linked the different themes from the Symposium in its original conception was technology, in particular the effects produced on the settlement systems by the relationship between man and technology, in two different aspects: the progressive replacement of man with machines in practically all production processes and the spread of ICT. The pandemic and the policies and practices put in place to contain the infection have brought this issue to the fore with arrogance. The replacement of physical interactions with “virtual” contacts has used consolidated technologies but has accentuated their pervasiveness, generating impacts of a different nature. The next few months will tell us how much of this acceleration will persist in our daily lives and how much it will be a transitory phenomenon. Permanent changes are conceivable, for example, in the organisation of work, with the adoption of smart working as an ordinary way of carrying out the various tasks, also in areas where until a few months ago it seemed a distant future, such as in teaching. And these changes will probably also affect other areas, just think of the use of culture, in a broad sense, as the many virtual opening initiatives of museums and sites of cultural interest have shown us in this period. As well as central issues for democratic systems will be those related to the use of big data and their impact on individual freedoms: the ongoing debate on tracking movements and personal preferences is extremely topical. However, the data that seems to emerge with greater force from the phase we are experiencing is the progressive loss of relevance of the location factor: the pandemic has made even more evident the fall of many barriers to the global dimension of relationships and exchanges. This change brings with it, as a consequence, a change also on the plane of centre–periphery dualism: what is centre and what is periphery, when the two terms no longer refer to accessibility to physical places but, for example, accessibility to goods and services and, ultimately, to knowledge? And how do you measure accessibility if you can no longer measure in metres or hours? The other phenomenon on which it will be increasingly necessary to reflect in future is the speed of changes. As already underlined on the occasion of the past edition of the Symposium, while society evolves with accelerations impressed by endogenous and exogenous factors (such as the pandemic COVID-19), the physical dimension of space adapts with extended times. At the dawn of the studies on the impacts of ICT on the city, the “wired city” studied by the research group of Corrado Beguinot was divided into a system of three cities: stone, relationships and experience. To harmonise the development times of the physical city with the “liquid” city of human relations is, after thirty years, still a priority. So how will our cities and, more generally, the settlement systems on a planetary level record these changes? Will the trend towards population concentration persist in hyper-equipped and congested metropolitan areas or will we see reflux? New perspectives open up towards what are now considered peripheral areas (such as the inner areas so dear to our Master Edoardo Mollica), in which perhaps some

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organisational processes are more easily managed and there are still values that could be appreciated by future generations? The ethics of research, in the disciplinary sectors that the Symposium crosses, invites us to feed, with scientific rigour, policies and practices that make the territory more resilient and able to react effectively to events such as the pandemic that we are suffering in recent months: we hope to know the outcomes of these courses in the next editions of the New Metropolitan Perspectives Symposium. For this edition, meanwhile, approximately 230 papers published allowed us to develop 6 macro-topics, about “Knowledge Dynamics and Innovation-driven Policies Towards Urban and Regional Transition” as follows: 1 - Inner and marginalised areas’ local development to re-balance territorial inequalities 2 - Knowledge and innovation ecosystem for urban regeneration and resilience 3 - Metropolitan cities and territorial dynamics. Rules, governance, economy, society 4 - Green buildings, post-carbon city and ecosystem services 5 - Infrastructures and spatial information systems 6 - Cultural heritage: conservation, enhancement and management And a special section, Rhegion United Nations 2020–2030, chaired by our colleague Stefano Aragona. We are pleased that the International Symposium NMP, thanks to its interdisciplinary character, stimulated growing interests and approvals from the scientific community, at the national and international levels. We would like to take this opportunity, together with Carmelina Bevilacqua and the CLUDs Lab team, to thank all who have contributed to the success of the Third International Symposium “NEW METROPOLITAN PERSPECTIVES. Knowledge Dynamics and Innovation-driven Policies Towards Urban and Regional Transition”: authors, keynote speakers, session chairs, referees, the scientific committee and the scientific partners, participants, student volunteers and those ones that with different roles have contributed to the dissemination and the success of the Symposium; a special thank goes to the “Associazione ASTRI”, particularly to Giuseppina Cassalia and Angela Viglianisi, together with Immacolata Lorè, Tiziana Meduri and Alessandro Rugolo, for technical and organisational support activities: without them, the Symposium could not have place; obviously, we would like to thank the academic representatives of the Mediterranea University of Reggio Calabria too: Rector Prof. Marcello Zimbone; responsible of internationalisation Prof. Francesco Morabito; and Chief of PAU Department Prof. Tommaso Manfredi. Thank you very much for your support. Last but not least, we would like to thank Springer for the support in the conference proceedings publication. Francesco Calabrò Lucia Della Spina

Cities and Regions Towards Transition

The fourth edition of the New Metropolitan Perspective Symposium took place in a period of global uncertainty that is calling into question the essence of the economic prosperity pursued in the last decades. It is recognised that what is urgently required is a policy shift from a primary push towards ever-increasing productivity and competitiveness goals to one that pursues a “renewed” concept of competitiveness —socially just and environmentally responsible—employing a reformed pan-economic approach. The continuing and progressive changes due to the systemic impact of shocks and stresses at the global level need a convergence of efforts by all countries. This is critical to balance the need to maintain economic prosperity generated by globalisation and to mitigate global crisis like climate change and the ongoing COVID-19 pandemic. The scenario that is emerging these days is similar to a post-war reconstruction economy, alongside climate change and the risks associated with it, the emergency of the pandemic has seriously questioned social stability at the urban level and the confluence of institutions in multi-level governance processes. Concurrently, the main question to be addressed can no longer be confined to how cities and regions can compete in a global context, but rather how they can survive in a world that must face the effects of continuous shocks by ensuring socially acceptable living conditions for everyone. At European level, this need has been stimulating the debate for the revision of policies designed to build a better Europe for its citizens and a “restructuring process” of EU institutions in the light of anti-European, populist and sovereign political movements. These movements together with far-reaching global crises and shocks are threatening the future of EU and the Cohesion Policy grounded on the virtuous principle to reduce disparities by promoting social, economic and territorial cohesion. In response, the European Commission has recently introduced the European Green Deal, a set of policy initiatives to strive for a green transition based on solidarity and fairness. This marks a novel growth strategy that is comprehensive, ambitious and bold, integrating climate, environmental and social protection goals with economic ones. Such a transformative pathway helps set the stage for policy actions in the upcoming post-2020 programming period of the Cohesion

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Policy. Arguably, these days the perspective of the EU mission will be redesigned, through new priorities and new tools launched for Shaping the Conference on the Future of Europe. In this context, the debate on how to prepare EU territories and cities to address challenges of regional and global implications cannot be more relevant. The current development approaches need to be adjusted to formulate a new development pattern. Such a pattern is characterised by a more flexible approach in allocating investment, a more integrated approach to reach the goal of transition development and a more tailored, place-sensitive approach to regional development. It should facilitate a sustainable transition process towards transforming regional and urban socio-economic and technological systems. This process will be driven with an evolutionary approach in which knowledge and innovation dynamics can break path dependency and promote an effective regional diversification. This pattern should be underpinned by an integrated, multi-scalar and multidimensional approach aimed to enhance the resilience capacity of territories to respond to the various crises and shocks they are exposed to. To substantiate these arguments, the Symposium was also part of the TREnD (Transition with Resilience for Evolutionary Economic Development) research project funded by the European Union’s Horizon 2020 Research and Innovation Programme under the Marie Skłodowska Curie Actions – RISE 2018. Considering the above-mentioned unparalleled yet controversial complexity while responding to the European call for the green transition, TREnD proposes a new approach in the design process of place-sensitive, innovation-oriented development policies that can facilitate the regional and urban transition to sustainability while reinforcing resilience to shocks induced by transition economies (e.g. post-carbon economy). TREnD’s approach is focused on how to strengthen the regional capabilities to trigger, implement and manage transition strategies towards driving “resiliencebuilding” processes. The scope is to combine Transition with Resilience for Evolutionary Development in different territorial contexts towards a reforming process of Cohesion Policy for the next programming period 2021–2027. The TREnD, therefore, seeks to: 1) identify and examine the factors enabling or hindering the transition strategies at a governance standpoint; 2) assess the territorial characteristics critical to enable a resilience-building process; and 3) unveil the unexploited potentials for “reshaping trajectories” disclosed through the windows of local opportunities due to the external shocks cities and regions are continuously exposed to. TREnD highlights regional diversification seen more as a process of co-creation of solutions and concepts to solve development problems through the enhancement of the resilience capacity of regions, which can be achieved by implementing tailored placed-based innovation policies with a transitional approach. Stemming from the current debates on regional diversification together with the emerging role of the city in pursuing local innovation ecosystem, the aim is to explore new development policy configuration within the evolutionary framework to help different territories effectively respond to continuous shocks. It is expected to gain a sound understanding of the triggering mechanisms conducive to frame a more

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inclusive S3 process for the post-2020 Cohesion Policy. This new framework, thanks to resilience-based process and transition management, will help define tailored S3 processes more sensitive to different regional contexts and needs. In so doing, it will reinforce innovation diffusion, facilitate diversification and tighten the linkages between advanced and peripheral areas (at regional and sub-regional levels) through more inclusive approaches. Considering this vision, the Symposium tried to offer possible solutions to sustainable development as defined by the UN Agenda 2030, focusing on the complex and dynamic relationships between human society and technological development, and the latter’s socio-economic, political, institutional and environmental impacts on territorial and urban systems. Indeed, investigating the nexus between the ever-changing societal needs and rapid technological development represents a valuable opportunity to achieve this ambitious goal. The desired shift towards a more sustainable knowledge-based economy and society since the beginning of the 2000s, especially in developed countries, is impeded by several challenges. In Europe, the Smart Specialisation Strategy (S3) represents the strong push to boost economic development through knowledge, research and innovation. The current academic and policymakers’ debate is questioning its capacity to break down path dependencies and facilitate economic diversification. The difficulties in implementing and doubts about the effectiveness of this ambitious innovationoriented policy—especially at regional level—suggest the need to revise the post2020 Cohesion Policy and the approach beyond Regional Smart Specialisation Strategy (RIS3). Among the rising concerns, the controversial effect of innovation concentration on peripheral areas due to the new geography of knowledge is coming to the fore. The surging discontent shows how policymakers are struggling with continuous mutating scenarios characterised by more complex territorial dynamics. The pillar on which the current policy action seems to rest is represented by the potentials underlying knowledge complexity and innovation in reversing negative trends. However, recent studies have pointed out how such complexity is giving rise to inequalities in both core and lagging regions, making peripheral areas a common issue to tackle. More efforts are needed to address different aspects of inequalities connected with the new geography of knowledge. Therefore, a more inclusive and integrated approach is desirable to advance technological innovation while addressing social issues of health, environment, education and social exclusion. Accordingly, the Symposium stimulated multidisciplinary discussions on the key elements of the debate on a shift in policy design and implementation, including transition management, resilience, diversification and quality of governance to leverage the potentials of peripheral areas and reshape the trajectory of economic growth for more equitable development. It aims to identify a new and balanced developed pattern, casting light on the multi-scalar and multidimensional analysis of different perspectives, strategies, tools, objectives and impacts of local economic development and innovation processes. Such a pattern needs to be framed within the United Nations 2030 Agenda (TS25) and to reach the Sustainable Development Goals (SDGs).

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The sessions have been organised around key elements affecting vertically (multi-level) and horizontally (cross-sectoral and multidisciplinary) the social, economic, institutional, organisational and physical/environmental dimensions of local economic development. The themes of sessions followed the key elements of the debate on a shift in policy design and implementation to drive transitionoriented structural change of regions. This echoes the EU’s desirable smart transition that requires an economically prosperous and socially inclusive transition process to promote regional convergence. Sessions TS04T1, TS04T2, TS04T3 and TS04T4 altogether build up the overall theoretical framework of a sustainable transitional development, offering insight into knowledge complexity, transition management, resilience, diversification and quality of governance to leverage the potentials of peripheral areas and reshape the trajectory of economic growth for more equitable development. To achieve a smart transition, it is critical to reinforce the resilience of regions at different territorial scales, especially those expected to be more affected, to respond to the shocks that green and digital transitions are likely to trigger. In this regard, the Symposium undertook a multifaceted and multidimensional conceptualisation of resilience, for which sessions TS01, TS25 and TS26 investigated territorial system resilience, urban resilience and sustainability. Session TS07 looked into smart and resilient infrastructures, and sessions TS09 and TS23 investigated urban and built environment with sustainability and resilience. Sessions TS02, TS06, TS10 and TS21 pay close attention to territorial and urban regeneration. Urban and territorial regeneration is considered as a useful tool to facilitate territorial and urban resilience-building processes by promoting positive physical transformations and thereby increasing cities’ preparedness and response capacity to crises and shocks. Sustainable urban and territorial regeneration needs to define new economic and territorial strategies within a period of financial constraints. Therefore, session TS21 casts light on the issue of circular regeneration, while session TS03 conducts a critical review of territorial dynamics and urban growth models. The value-adding of local assets from the urban–rural perspective offers a chance to define alternative development patterns. In this respect, cultural heritage, as potential local assets, needs to be properly leveraged to drive sustainable local development. The Symposium, therefore, highlighted innovative approaches to heritage management. Session TS19 casted light on the enhancement of cultural heritage in fragile areas; session TS20 presents new management strategies for the value-adding of heritage in inner areas; session TS22 relates heritage management to climate change, exploring integrated conservation strategies based on traditional and innovative technologies able to help mitigate the negative effects of climate change. The Symposium equally gives insight into the urban transition towards a post-carbon society, a key element useful for the discussions on the new objectives of the post-2020 Cohesion Policy and new strategies and tools. Accordingly, session TS23 investigated an ecosystem services approach to the evaluation of settlement transformations; session TS12 was focused on green building related to post-carbon transition, and session TS30 furthers session TS12 and proposed ecodesign-based strategies and approaches.

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As in the past editions, this year’s Symposium has received generous support from and will see the participation of a high-quality international network of higher academic institutions and scientific societies. Therefore, it will undoubtedly serve as an important occasion for exchanging and disseminating research findings and stimulating a fruitful debate on global challenges among academics and policymakers. All in all, the Symposium and the contributions to its different sessions contributed to deepening the discussions on a transition-oriented approach—on which the TREnD project is grounded—while offering insights into how to fill the existing gaps. Carmelina Bevilacqua

Organization

Programme Chairs Carmelina Bevilacqua Francesco Calabrò Lucia Della Spina

Mediterranea University of Reggio Calabria, Italy Mediterranea University of Reggio Calabria, Italy Mediterranea University of Reggio Calabria, Italy

Scientific Committee Ibtisam Al Khafaji Shaymaa Fadhìl Jasim Al Kubasi Chro Ali Hama Radha Pierre-Alexandre Balland Angela Barbanente Massimiliano Bencardino Jozsef Benedek Christer Bengs Adriano Bisello Mario Bolognari Kamila Borsekova Nico Calavita Roberto Camagni Sebastiano Carbonara Farida Cherbi Antonio Del Pozzo Maurizio Di Stefano Alan W. Dyer Yakup Egercioglu

Al-Esraa University College of Baghdad, Iraq Department of Architecture, University of Koya, Iraq Sulaimani Polytechnic University, Iraq Universiteit Utrecht, Netherlands Politecnico di Bari Università di Salerno RSA—Babes-Bolyai University, Romania SLU/Uppsala Sweden and Aalto/Helsinki, Finland Eurac Research Università degli Studi di Messina Matej Bel University, Slovakia San Diego State University, USA Politecnico di Milano, Presidente Gremi Università degli Studi “Gabriele d’Annunzio” Chieti-Pescara Institut d’Architecture de Tizi Ouzou, Algeria Universita’ degli Studi di Messina (UNIME) Icomos Italia Northeastern University of Boston, USA Izmir Katip Celebi University, Turkey

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Khalid El Harrouni Gabriella Esposito De Vita Fabiana Forte Rosa Anna Genovese Christina Kakderi Olivia Kyriakidou Ibrahim Maarouf Lívia M. C. Madureira Tomasz Malec Benedetto Manganelli Giuliano Marella Nabil Mohäreb Mariangela Monaca Bruno Monardo Giulio Mondini Pierluigi Morano Fabio Naselli Antonio Nesticò Peter Nijkamp Davy Norris Alessandra Oppio Leila Oubouzar Sokol Pacukaj Aurelio Pérez Jiménez Keith Pezzoli María José Piñera Mantiñán Fabio Pollice Vincenzo Provenzano Ahmed Y. Rashed Paolo Rosato Michelangelo Russo Helen Salavou Stefano Stanghellini Luisa Sturiale Ferdinando Trapani Robert Triest Claudia Trillo Gregory Wassall

Organization

Ecole Nationale d’Architecture, Rabat, Morocco CNR/IRISS Istituto di Ricerca su Innovazione e Servizi per lo Sviluppo Università degli Studi della Campania “Luigi Vanvitelli” Università degli Studi di Napoli Federico II Aristotelio Panepistimio Thessalonikis, Greece Athens University of Economics and Business, Greece Alexandria University, Faculty of Engineering, Egypt Centro de Estudos Transdisciplinares para o Desenvolvimento (CETRAD), Portugal Istanbul Kemerburgaz University, Turkey Università degli Studi della Basilicata Università di Padova Beirut Arab University, Tripoli, Lebanon Università di Messina Università degli Studi di Roma “La Sapienza” Politecnico di Torino Politecnico di Bari Epoka University Università degli Studi di Salerno Vrije Universiteit Amsterdam Louisiana Tech University, USA Politecnico di Milano Institut d’Architecture de Tizi Ouzou, Algeria Aleksander Moisiu University, Albania University of Malaga, Spain University of California, San Diego, USA University of Santiago de Compostela, Spain Università del Salento Università di Palermo Founding Director, Farouk ElBaz Centre for Sustainability and Future Studies, Egypt Presidente SIEV SIU—Società Italiana degli Urbanisti Athens University of Economics and Business, Greece INU—Istituto Nazionale di Urbanistica Università di Catania Università degli Studi di Palermo Northeastern University of Boston, USA University of Salford, UK Northeastern University of Boston, USA

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Internal Scientific Board Giuseppe Barbaro Concetta Fallanca Giuseppe Fera Massimiliano Ferrara Giovanni Leonardi Tommaso Manfredi Domenico E. Massimo Carlo Morabito Domenico Nicolò Adolfo Santini Simonetta Valtieri Santo Marcello Zimbone

Mediterranea Mediterranea Mediterranea Mediterranea Mediterranea Mediterranea Mediterranea Mediterranea Mediterranea Mediterranea Mediterranea Mediterranea

University University University University University University University University University University University University

of of of of of of of of of of of of

Reggio Reggio Reggio Reggio Reggio Reggio Reggio Reggio Reggio Reggio Reggio Reggio

Calabria Calabria Calabria Calabria Calabria Calabria Calabria Calabria Calabria Calabria Calabria Calabria

Scientific Partnership Regional Studies Association, Seaford, East Sussex, UK Al-Esraa University, Baghdad, Iraq Eurac Research, Bozen, Italy Icomos Italia, Rome, Italy INU—Istituto Nazionale di Urbanistica, Rome, Italy Società Italiana degli Urbanisti, Milan, Italy Società Geografica Italiana, Rome, Italy SIEV—Società Italiana di Estimo e Valutazione, Rome, Italy

Organising Committee ASTRI—Associazione Scientifica Territorio e Ricerca Interdisciplinare URBAN LAB S.r.l.

This Symposium is part of a project that has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement Nº823952

Contents

Inner and Marginalized Areas Local Development to Re-Balance Territorial Inequalities Disposal of Bergamot By-Products by Animal Productions . . . . . . . . . . Manuel Scerra, Rosa Rao, Francesco Foti, Pasquale Caparra, Caterina Cilione, and Luigi Chies

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Green Peri-Urban Surfaces in Iberian Euro-Cities: Ecosystems Service as a Tool to Provide an Environmental Answer to Border Populations Needs. A Preliminary Approach . . . . . . . . . . . . . . . . . . . . . Rui Alexandre Castanho, José Manuel Naranjo Gómez, José Cabezas, Luís Loures, José Martín Gallardo, and Jacinto Garrido Velarde

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Sustainable Development in the Alps: The Mountaineering Villages (Bergsteigerdörfer) Initiative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ivana Bassi, Matteo Carzedda, Luca Iseppi, and Federico Nassivera

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Innovations and Consumer Preferences: Effects of Feeding and Mechanical Milking on the Quality of Traditional Dairy Production in Internal Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Agata Nicolosi, Lorenzo Maria Massimo Abenavoli, Domenico Caruso, Valentina Rosa Laganà, Bruno Salinitri, and Francesco Foti

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Sustainable Attitudes of Local People on the Purchase of Local Food. An Empirical Investigation on Italian Products . . . . . . . . . . . . . . . . . . . Agata Nicolosi, Lorenzo Cortese, Mariangela Petullà, Valentina Rosa Laganà, Donatella Di Gregorio, and Donatella Privitera Transhumance Routes in the Perspective of Tourist Use: Case Studies in Calabria, Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Donatella Di Gregorio, Venera Fasone, Alfonso Picone Chiodo, Donatella Privitera, Vincenza Romeo, and Agata Nicolosi

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Contents

Does the Establishment of a ‘Forest Therapy Station’ in a Low-Mountain Mixed Hardwood Forest Make Sense? . . . . . . . . . . Maurizio Droli, Gabriele Gervasio Radivo, and Luca Iseppi

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Agritourism, Farm Income Differentiation, and Rural Development: The Case of the Region of Montiferru (Italy) . . . . . . . . . . . . . . . . . . . . . Brunella Arru, Roberto Furesi, Fabio A. Madau, and Pietro Pulina

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Urban Food Security and Strategic Planning: Involving Millennials in Urban Agriculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Matteo Carzedda, Federico Nassivera, Francesco Marangon, Stefania Troiano, Luca Iseppi, and Ivana Bassi

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The Città Metropolitana as an Opportunity to Promote Integrated Development Between Central and Marginal Areas: The Case of Reggio Calabria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 Giuseppe Fera and Maria Teresa Lombardo Italy Testing the Place-Based Approach: River Agreements and National Strategy for Inner Areas . . . . . . . . . . . . . . . . . . . . . . . . . . 113 Giancarlo Cotella, Elisabetta Vitale Brovarone, and Angioletta Voghera From Enabling People to Enabling Institutions. A National Policy Suggestion for Inner Areas Coming from an Action-Research Experience . . . . . . . . . . . . . . . . . . . . . . . . . . . 125 Laura Saija and Giusy Pappalardo Which Agenda for the Italian Suburbs? Debating a Marginal Condition in Few Steps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135 Lorenzo De Vidovich The “Economy of Beauty and Culture”. Routes for the Integrated Sustainable Enhancement of the Internal Areas of Alta Irpinia . . . . . . . 147 Rosa Maria Giusto Managing Logistics and Supply Chain in Rural Areas: A Systematic Analysis of the Literature and Future Directions . . . . . . . 157 Pietro Evangelista, Bettina Williger, Girma Gebresenbet, and Serena Micheletti Cultural and Touristic Valorization Processes: Towards a Collaborative Governance for Development in Southern Italy . . . . . . 167 Gaia Daldanise, Eleonora Giovene di Girasole, Simona Stella, and Massimo Clemente Italian Inner Peripheral Areas: Earthquakes and Collaborative Experiences of Heritage Recovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177 Katia Fabbricatti and Raffaele Amore

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Inter_Net Areas. A Culture-Led Strategy of Widespread Projects for Montagna Materana (Italy) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188 Maria Cerreta, Angela D’Agostino, Giovangiuseppe Vannelli, and Piero Zizzania Territorial Cooperation for Sustainable Development in the Framework of Fisheries Local Action Groups. The Case of Galicia (Spain) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198 Jesús Felicidades García and María Ángeles Piñeiro Antelo The “Blue Vision” of Ionian Coastal Rural Area . . . . . . . . . . . . . . . . . . 208 Maria Assunta D’Oronzio, Gianluca Gariuolo, Gabriella Ricciardi, and Mariacarmela Suanno Local Seafood Products: Consumers and Territory for a Rural Development Strategy in the South of Italy . . . . . . . . . . . . . 219 Lorenzo Cortese, Agata Nicolosi, Mariangela Petullà, Valentina Rosa Laganà, Donatella Di Gregorio, and Claudio Marcianò Land Consumption Versus Urban Regeneration . . . . . . . . . . . . . . . . . . 228 Salvatore Losco and Claudia de Biase Knowledge and Innovation Ecosystem for Urban Regeneration and Resilience Social Network as Tool for the Evaluation of Sustainable Urban Mobility in Catania (Italy) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243 Giovanna Acampa, Giorgia Marino, and Claudia Mariaserena Parisi How to Assess Walkability as a Measure of Pedestrian Use: First Step of a Multi-methodological Approach . . . . . . . . . . . . . . . . . . . 254 Francesca Abastante and Marika Gaballo Integral Medicine for Wellness Cities . . . . . . . . . . . . . . . . . . . . . . . . . . . 264 Carmelo Antonio Caserta Health and Well-Being Through Cultural Heritage Enhancement Strategies. Cultural Welfare and Integrated Sustainability for Fostering Healthy Lifestyles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274 Natalina Carrà Investigating Relationship Between Built Environment and Health . . . . 285 Elvira Stagno Tirana Adaptive City. “Creativity and Spontaneity” in Active-Streets and Living Super-Blocks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297 Fabio Naselli and Eva Jazaj Health and Urban Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309 Antonio Taccone

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Health-Oriented Urban Planning for a Renewed Implicit Alliance . . . . . 318 Alessandra Barresi and Gabriella Pultrone Local Actions to Tackle Physical, Relational and Socio-cultural Isolation of an Internal Area in the Metropolitan City of Reggio Calabria in Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327 Chiara Corazziere and Marco Mareggi Towards Healthy Cities – Three Key Issues . . . . . . . . . . . . . . . . . . . . . . 337 Massimo Zupi and Pierfrancesco Celani The City of Well-Being. The Social Responsibility of Urban Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346 Concetta Fallanca Public Facilities: A Fragile, Yet Crucial Capital for Urban Regeneration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356 Cristiana Mattioli Cities Towards … Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366 Francesco Alessandria Knowledge and Safeguarding of Cultural Heritage. New Technologies for Survey and Restoration: Innovative Methods and Non-destructive Investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373 Federica Bonerba, Carlo Alberto di Buono, Stefano Leonardi, Immacolata Lorè, and Raffaele Piatti Conceptual Drawings as Explorative Tools: Tracing the Evolution of the Extended and Nuclear Family Houses in Kuwait . . . . . . . . . . . . . 384 Mohammad Almulla and Beniamino Polimeni Marcet Sine Adversio Virtues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 396 Christer Bengs Urban Art as a Popular Expression in the Historic Centre of Mexico City . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 406 Luis Fernando Zapata Montalvo Smart Technologies for the Environmental Design of Smaller Urban Centres . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 416 Elvira Nicolini and Marina Sinatra Performance-Based Planning for Sustainable Cities. Innovative Approaches and Practices in Italy . . . . . . . . . . . . . . . . . . . . 430 Gabriella Pultrone Cost-Benefit Analysis and Ecological Discounting . . . . . . . . . . . . . . . . . 440 Antonio Nesticò and Gabriella Maselli

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An Evaluation Model for the Definition of Priority Lists in PPP Redevelopment Initiatives . . . . . . . . . . . . . . . . . . . . . . . . . 451 Pierluigi Morano, Francesco Tajani, Maria Rosaria Guarini, and Felicia Di Liddo The Financial Feasibility Analysis of Urban Transformation Projects: An Application of a Quick Assessment Model . . . . . . . . . . . . . . . . . . . . 462 Debora Anelli and Francesco Sica The Valorisation of Public Real Estate Assets in Italy: A Critical Reconstruction of the Legislative Framework . . . . . . . . . . . . 475 Sebastiano Carbonara and Davide Stefano Public-Private Partnership: Risk Allocation in Different International Markets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 486 Giacomo Garzino Renewable Energy Communities: The Challenge for New Policy and Regulatory Frameworks Design . . . . . . . . . . . . . . . . . . . . . . . . . . . 500 Chiara D’Alpaos and Francesca Andreolli Addressing Social Inclusion Within Urban Resilience: A System Dynamics Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 510 Giulia Datola, Marta Bottero, and Elena De Angelis The European Local ENergy Assistance (ELENA) Fund: The Relevance of Expected and Unexpected Partnerships . . . . . . . . . . . 520 Marina Bertolini Benefits of Blending Mandate in Sustainable Economies . . . . . . . . . . . . 526 Cinzia Bonaldo Multilevel Co-governance Within the 2030 Agenda: The Impact of Participatory Processes in the Veneto Region Sustainable Development Strategic Planning . . . . . . . . . . . . . . . . . . . . . 536 Maria Stella Righettini Nighttime City Mobility. Contributions from a Literary Urban Space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 545 Lucrezia Lopez and Antonietta Ivona Form, Structure and Identity of Places in the Reconstruction of the City. Aleppo and Mosul: A Comparison of Two Cases . . . . . . . . 556 Domenico Chizzoniti, Flavio Menici, and Tommaso Lolli The Valuation of Unused Public Buildings in Support of Policies for the Inner Areas. The Application of SostEc Model in a Case Study in Condofuri (Reggio Calabria, Italy) . . . . . . . . . . . . . . . . . . . . . . . . . . . 566 Francesco Calabrò, Federica Mafrici, and Tiziana Meduri

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A Comprehensive Conceptualization of Urban Constructs as a Basis for Design Creativity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 580 Mohammed Ezzat Methods and Techniques for Sustainable Urban Living: Between Seismic Vulnerability and Urban Sustainability . . . . . . . . . . . . 592 Alberto De Capua, Lidia Errante, and Valentina Palco Improving Risk Knowledge for Planning Purposes: Critical Issues and Hints for Enhancement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 606 Adriana Galderisi and Giada Limongi The Impact of Smart Technology to Improve Urban Resilience for Disaster Risk Reduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 618 Al Khafaji Ibtisam Abdulelah Mohammed Metropolitan Cities and Territorial Dynamics. Rules, Governance, Economy, Society Sustainable Planning: The Carrying Capacity Approach . . . . . . . . . . . . 633 Alessandro Sgobbo Development of a Land Take Evaluation for a Recreative Park in Northern Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 643 Vanessa Assumma, Marta Bottero, Giulio Mondini, and Elisa Zanetta Historical-Architectural Components in the Projects Multi-criteria Analysis for the Valorization of Small Towns . . . . . . . . . . . . . . . . . . . . 652 Emanuela D’Andria, Pierfrancesco Fiore, and Antonio Nesticò Innovation Systems in the Fourth Industrial Revolution: The Territorial Challenge of the Campania Region . . . . . . . . . . . . . . . . 663 Monica Maglio Climate Change and Urban Resilience. Preliminary Insights from an Integrated Evaluation Framework . . . . . . . . . . . . . . . . . . . . . . 676 Vanessa Assumma, Marta Bottero, Giulia Datola, Alessandro Pezzoli, and Carlotta Quagliolo Tolerability and Acceptability of the Risk for Projects in the Civil Sector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 686 Gabriella Maselli and Maria Macchiaroli Hedonic Price of the Built-Up Area Appraisal in the Market Comparison Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 696 Francesca Salvo, Daniela Tavano, and Manuela De Ruggiero An Economic Model for Selecting Urban-Scale Projects . . . . . . . . . . . . 705 Antonio Nesticò and Cristina Elia

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Irrigated Arable Land Values and Socio-economic Characteristics of the Territory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 716 Antonio Nesticò, Massimiliano Bencardino, and Vincenzo Di Fraia The UNESCO Creative Cities Network: A Case Study of City Branding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 727 Constanze Gathen, Wilhelm Skoglund, and Daniel Laven Big Data to Support Sustainable Development Goals (SDGs) . . . . . . . . . 738 Angela Delli Paoli and Felice Addeo Firms’ Crimes and Land Use in Italy. An Exploratory Data Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 749 Roberta Troisi and Gaetano Alfano The Role of Igers in the Territorial Dynamics of Sustainable Tourism-Oriented Destinations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 759 Pierluigi Vitale, Maria Palazzo, Agostino Vollero, Alfonso Siano, and Pantea Foroudi Environmental Health Valuation Through Real Estate Prices . . . . . . . . 768 Francesca Salvo, Pierluigi Morano, Manuela De Ruggiero, and Francesco Tajani Building Recovery, Property Values and Demographic Decline After the 2009 Abruzzo Earthquake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 779 Sebastiano Carbonara and Davide Stefano Exploratory Data Analysis on Private Crimes Related to Illegal Land Take in Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 791 Massimiliano Bencardino and Luigi Valanzano Real Estate Values and Ecosystem Services: Correlation Levels . . . . . . 802 Antonio Nesticò, Francesco Sica, and Theodore Endreny Territorial Gap and Territorial Distribution of Public Investments in Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 811 Guido Signorino and Massimo Arnone Collective and Commercial Catering Services of the Ho.Re.Ca Channel: A Case Study in Calabria (Italy) . . . . . . . . . . . . . . . . . . . . . . . 823 Giuseppe Filippone, Valentina Rosa Laganà, Donatella Di Gregorio, and Agata Nicolosi Italian Innovative Start-up Cohorts: An Empirical Survey on Profitability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 834 Guido Migliaccio and Pietro Pavone A Structured Literature Review of Immigrant Entrepreneurship. Insights from Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 844 Valbona Dudi, Mara Del Baldo, and Maria Gabriella Baldarelli

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From Technology Systems to Human Infrastructure Strategies. An Exploratory Analysis of an Italian Two-Case Study on Recovery After Eco-Disasters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 859 Paolo Esposito and Alessandra Ricciardelli Intensity. Revealing the Potential of Spaces . . . . . . . . . . . . . . . . . . . . . . 870 Lucia Baima and Matteo Robiglio Abandonment as an “Urban” Problem? Critical Implications and Challenges for Urban Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 878 Anita De Franco Performance Indicators Framework to Analyse Factors Influencing the Success of Six Urban Cultural Regeneration Cases . . . . . . . . . . . . . 886 Francesca Abastante, Isabella M. Lami, and Beatrice Mecca Unused Public Buildings and Civic Actors. A New Way to Rethink Urban Regeneration Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 898 Beatrice Maria Belle’ A New Lombardy Region Law: Regeneration Toward (Almost) Free Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 905 Roberto De Lotto, Caterina Pietra, and Elisabetta Maria Venco Integrated Strategies for Sustainable Urban Renewal in Hot and Dry Climate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 913 Chro Ali Hama Radha, Sara Elhadad, and István Kistelegdi A New Generation of ‘Urban Centers’: ‘Intermediate Places’ in Boston and Bologna . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 925 Bruno Monardo and Martina Massari Situating Social Innovation in Territorial Development: A Reflection from the Italian Context . . . . . . . . . . . . . . . . . . . . . . . . . . 939 Luca Tricarico, Lorenzo De Vidovich, and Andrea Billi Can Cities Become “Inclusive Learning Environments”? . . . . . . . . . . . . 953 Federica Fulghesu, Luca Tricarico, Andrea Billi, and Chiara Missikoff Social and Sustainability Inclusion: The Case Study of MAAM in Rome . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 966 Irene Litardi and Lavinia Pastore Micro-Festival: An Informal Structure Can Create a Social Innovation Process. Towards a Preliminary Investigation . . . . . . . . . . . 975 Giulia Alonzo Fostering New Value Chains and Social Impact-Oriented Strategies in Urban Regeneration Processes: What Challenges for the Evaluation Discipline? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 983 Cristina Coscia and Irene Rubino

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Are Bottom-Up Enhancement Processes Just a Temporary Trend? Empirical Evidence in Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 993 Alessia Mangialardo and Ezio Micelli Social Innovation in Productive Assets Redevelopment: Insights from the Urban Development Scene . . . . . . . . . . . . . . . . . . . . . 1003 Federica Scaffidi Opportunities and Challenges of Social Innovation Practices in Urban Development and Public Real Estate Management. Italy as a Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1012 Mara Ladu and Silvia Bernardini Who Drives the Growth? Empirical Evidences from Real-Estate Market Values of 12 Italian Metropolitan Cities . . . . . . . . . . . . . . . . . . 1023 Alessia Mangialardo and Ezio Micelli Metropolitan Cities and Digital Agenda: Strategy and Monitoring Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1032 Demetrio Naccari Carlizzi and Agata Quattrone “Houses for One Euro” and the Territory. Some Estimation Issues for the “Geographic Debt” Reduction . . . . . . . . . . . . . . . . . . . . . . . . . . 1043 Salvatore Giuffrida, Maria Rosa Trovato, Antonio Strigari, and Grazia Napoli A Multicriteria Decision Aid Process for Urban Regeneration Process of Abandoned Industrial Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1053 Lucia Della Spina and Alessandro Rugolo A Multidimensional Evaluation for Regenerative Strategies: Towards a Circular City-Port Model Implementation . . . . . . . . . . . . . . 1067 Maria Cerreta, Eugenio Muccio, Giuliano Poli, Stefania Regalbuto, and Francesca Romano Green Buildings, Post Carbon City and Ecosystem Services Multiple Impacts of Energy Communities: Conceptualization Taxonomy and Assessment Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . 1081 Maksym Koltunov and Adriano Bisello Developing Small Agro-Energy Districts in Southern Italy: An Economic Assessment of a Plant Producing Electrical and Thermic Energy from Wood Biomass . . . . . . . . . . . . . . . . . . . . . . . 1097 Paolo Careri, Vincenzo Crea, Giuseppa Romeo, and Claudio Marcianò The Economic Feasibility for Valorization of Cultural Heritage. The Restoration Project of the Reformed Fathers’ Convent in Francavilla Angitola: The Zibìb Territorial Wine Cellar . . . . . . . . . . 1105 Francesco Calabrò, Giuseppina Cassalia, and Immacolata Lorè

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Strategic Planning and Decision Making: A Case Study for the Integrated Management of Cultural Heritage Assets in Southern Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1116 Lucia Della Spina Environmental Sustainability and Energy Transition: Guiding Principles of the New Models of Urban Governance in Pamplona (Spain) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1131 María José Piñeira Mantiñán and Ramón López Rodríguez Improving the Energy Efficiency in Historic Building Stocks: Assessment of a Restoration Compatibility Score . . . . . . . . . . . . . . . . . . 1143 Laura Gabrielli, Aurora Greta Ruggeri, and Massimiliano Scarpa Evaluating AVMs Performance. Beyond the Accuracy . . . . . . . . . . . . . 1155 Agostino Valier Feasibility Analysis of a Multi-family House Energy Community in Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1165 Ilaria Abbà, Francesco Demetrio Minuto, and Andrea Lanzini Environmental Performances in Green Labels for Hotels – A Critical Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1176 Giulia Crespi, Cristina Becchio, Tiziana Buso, and Stefano Paolo Corgnati Energy Audit and Multi-criteria Decision Analysis to Identify Sustainable Strategies in the University Campuses: Application to Politecnico di Torino . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1187 Cristina Becchio, Marta Bottero, Stefano Corgnati, Federico Dell’Anna, and Giulia Vergerio A Methodological Framework for the Economic Assessment of ICT-Tools for Occupants’ Engagement . . . . . . . . . . . . . . . . . . . . . . . 1198 Giulia Vergerio, Cristina Becchio, Marta Bottero, and Stefano Paolo Corgnati The Market Price Premium for Residential PV Plants . . . . . . . . . . . . . . 1208 Chiara D’Alpaos and Paolo Bragolusi Economic Valuation of Buildings Sustainability with Uncertainty in Costs and in Different Climate Conditions . . . . . . . . . . . . . . . . . . . . . 1217 Elena Fregonara, Diego Giuseppe Ferrando, and Giacomo Chiesa Green Buildings for Post Carbon City: Determining Market Premium Using Spline Smoothing Semiparametric Method . . . . . . . . . . . . . . . . . . 1227 Vincenzo Del Giudice, Domenico Enrico Massimo, Pierfrancesco De Paola, Francesco Paolo Del Giudice, and Mariangela Musolino

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Market Price Premium for Green Buildings: A Review of Empirical Evidence. Case Study . . . . . . . . . . . . . . . . . . . . 1237 Vincenzo Del Giudice, Domenico Enrico Massimo, Francesca Salvo, Pierfrancesco De Paola, Manuela De Ruggiero, and Mariangela Musolino The European Green Deal: New Challenges for the Economic Feasibility of Energy Retrofit at District Scale . . . . . . . . . . . . . . . . . . . . 1248 Grazia Napoli, Simona Barbaro, Salvatore Giuffrida, and Maria Rosa Trovato Towards an Eco-Compatible Origin of Construction Materials. Case Study: Gypsum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1259 Francisco J. Pérez-García, Esteban Salmerón-Sánchez, Fabián Martínez-Hernández, Antonio Mendoza-Fernandez, Encarnación Merlo, and Juan F. Mota Energy Equalization and the Case of the “nZEB Hotels” . . . . . . . . . . . 1268 Salvatore Giuffrida, Francesco Nocera, Maria Rosa Trovato, Grazia Napoli, and Simona Barbaro Cork Oak Vegetation Series of Southwestern Iberian Peninsula: Diversity and Ecosystem Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1279 Ricardo Quinto-Canas, Ana Cano-Ortiz, Mauro Raposo, José Carlos Piñar Fuentes, Eusebio Cano, Neuza Barbosa, and Carlos José Pinto Gomes Analysis of the Relationship Between Bioclimatology and Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1291 Ana Cano-Ortiz, José Carlos Piñar Fuentes, Ricardo José Quinto Canas, Carlos José Pinto Gomes, and Eusebio Cano Comparison of Different Digital Models of a Sustainable Bamboo Structure Using Aerial Photogrammetry . . . . . . . . . . . . . . . . . . . . . . . . 1302 Vincenzo Barrile, Gabriele Candela, Ernesto Bernardo, and Antonino Fotia Quarries Renaturation by Planting Cork Oaks and Survey with UAV . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1310 Vincenzo Barrile, Alessandro Malerba, Antonino Fotia, Francesco Calabrò, Carlo Bernardo, and Carmelo Musarella Cork Oak Forest Spatial Valuation Toward Post Carbon City by CO2 Sequestration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1321 Giovanni Spampinato, Alessandro Malerba, Francesco Calabrò, Carlo Bernardo, and Carmelo Musarella Ecosystem Services in Land-Use Planning: An Application for Assessing Transformation Scenarios at the Local Scale . . . . . . . . . . 1332 Caterina Caprioli, Marta Bottero, Elisa Zanetta, and Giulio Mondini

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Project and Evaluation of Nature-Based Solutions for the Regeneration of Public Space . . . . . . . . . . . . . . . . . . . . . . . . . . . 1342 Elena Mussinelli, Andrea Tartaglia, Giovanni Castaldo, and Davide Cerati Reclamation Cost: An Ecosystem Perspective . . . . . . . . . . . . . . . . . . . . 1352 Leopoldo Sdino, Paolo Rosasco, and Marta Dell’Ovo The Role of the Evaluation in Designing Ecosystem Services. A Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1359 Marta Dell’Ovo and Alessandra Oppio Hybrid Evaluation Approaches for Cultural Landscape: The Case of “Riviera dei Gelsomini” Area in Italy . . . . . . . . . . . . . . . . 1369 Lucia Della Spina and Angela Viglianisi Analysis of the Effects of Climate Change on the Energy and Environmental Performance of a Building with and Without Onsite Generation from Renewable Energy . . . . . . . . 1380 Giovanni Tumminia, Francesco Guarino, Sonia Longo, Davide Aloisio, Salvatore Cellura, Francesco Sergi, Giovanni Brunaccini, Vincenzo Antonucci, and Marco Ferraro Energy and Environmental Assessment of Heritage Building Retrofit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1392 Marina Mistretta, Francesco Guarino, and Maurizio Cellura Recent Trends in Sustainability Assessment of “Green Concrete” . . . . . 1402 Patrizia Frontera, Angela Malara, and Marina Mistretta Green Building Market Premium: Detection Through Spatial Analysis of Real Estate Values. A Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . . 1413 Pierfrancesco De Paola, Vincenzo Del Giudice, Domenico Enrico Massimo, Francesco Paolo Del Giudice, Mariangela Musolino, and Alessandro Malerba Sustainable and Green Building Design: Shipping Container as Passivhaus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1423 Elisa Bongiorno, Concetta Borgia, Maurizio Detommaso, and Francesco Nocera Economical Comparison Among Technical Solutions for Thermal Energy Production in Buildings Based on Both Conventional and Solar RES Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1433 Concettina Marino, Antonino Nucara, Maria Francesca Panzera, Antonio Piccolo, and Matilde Pietrafesa Circular Processes and Life Cycle Design for Sustainable Buildings . . . 1448 Monica Lavagna, Anna Dalla Valle, Serena Giorgi, Tecla Caroli, and Andrea Campioli

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Eco-Innovative Scenarios for Smart Materials. The PVCupcycling Project – Circular Economy and Zero Waste . . . . . . . . . . . . . . . . . . . . 1458 Consuelo Nava and Domenico Lucanto Infrastructures and Spatial Information Systems Exploiting 3D Modelling and Life Cycle Assessment to Improve the Sustainability of Pavement Management . . . . . . . . . . . . . . . . . . . . . 1471 Konstantinos Mantalovas, Gaetano Di Mino, Laura Inzerillo, and Ronald Roberts Smart Road Infrastructures Through Vibro-Acoustic Signature Analyses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1481 Rosario Fedele Measuring the Sustainability of Transportation Infrastructures Through Comparative Life Cycle and Energy Assessment . . . . . . . . . . . 1491 Filippo Giammaria Praticò, Marinella Giunta, Marina Mistretta, and Teresa Maria Gulotta Environmental Impact of Maintenance Operations: The Comparison Between Traditional and Geogrid-Reinforced Roads . . . . . . . . . . . . . . . 1500 Giovanni Leonardi, Rocco Palamara, and Federica Suraci A Proposed Model to the Flight Safety . . . . . . . . . . . . . . . . . . . . . . . . . . 1511 Michele Buonsanti Operating and Integration of Services in Local Public Transport . . . . . 1523 Francis Cirianni, Giovanni Leonardi, and Domenico Iannò Applying 3D and Photogrammetric Scanning Systems to the Case of Cultural Heritage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1532 Antonino Fotia and Raffaele Pucinotti Traffic Flows Surveying and Monitoring by Drone-Video . . . . . . . . . . . 1541 Domenico Gattuso, Gian Carla Cassone, and Margherita Malara Knowledge Agriculture Systems in Basilicata, Southern Italy . . . . . . . . 1552 Maria Assunta D’Oronzio and Giuseppina Costantini No-Destructive Analysis: 3D Modeling by Thermography for Cultural Heritage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1562 Vincenzo Barrile, Antonino Fotia, and Maria Francesca Panzera San Pietro di Deca: From Knowledge to Restoration. Studies and Geomatics Investigations for Conservation, Redevelopment and Promotion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1572 Ernesto Bernardo, Marialisa Musolino, and Mariangela Maesano

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Monumental Arc 3D Model Reconstruction Through BIM Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1581 Ernesto Bernardo and Giuliana Bilotta Submerged Photogrammetric Survey: A Methodology to Enhance Image . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1590 Marialisa Musolino, Mariangela Maesano, and Giuliana Bilotta Geomatics and Virtual Reality Techniques for Underwater Heritage . . . 1598 Vincenzo Barrile, Raffaele Pucinotti, and Giuliana Bilotta Coastal Flood Hazard: A Quick Mapping Methodology. Case Study: Gioia Tauro (Italy) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1608 Giuseppina Chiara Barillà, Giandomenico Foti, Giuseppe Barbaro, and Fabrizio Currò Land Use, Phosphorus Pollution and Risk Assessment for the Bolsena Lake (Italy). An Estimation Using Remote Sensing and Multi Criteria Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1618 Matteo Piccinno, Adrienn Caronte-Veisz, and Fabio Recanatesi Mapping Monthly Precipitation in New Zealand by Using Different Interpolation Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1629 Gaetano Pellicone, Tommaso Caloiero, and Ilaria Guagliardi Monitoring Onion Crops Using Multispectral Imagery from Unmanned Aerial Vehicle (UAV) . . . . . . . . . . . . . . . . . . . . . . . . . . 1640 Gaetano Messina, Vincenzo Fiozzo, Salvatore Praticò, Biagio Siciliani, Antonio Curcio, Salvatore Di Fazio, and Giuseppe Modica Multi Temporal Analysis of Sentinel-2 Imagery for Mapping Forestry Vegetation Types: A Google Earth Engine Approach . . . . . . . . . . . . . . 1650 Salvatore Praticò, Salvatore Di Fazio, and Giuseppe Modica Monitoring Urban Growth Evolution by Multi-temporal Dynamics Analysis in a Southern Italy Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1660 Nicola Ricca and Ilaria Guagliardi Geomatics to Analyse Land Transformation in Mozambique – The Nacala Corridor Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1669 Maurizio Pollino, Annalisa Cavallini, Emanuela Caiaffa, Flavio Borfecchia, and Luigi De Cecco Detection and Sharing of Anomalies in the Vegetative Vigor of Durum Wheat in Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1679 Simone Lanucara and Giuseppe Modica

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Polycentrism and Effective Territorial Structures: Basilicata Region Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1689 Laura Curatella, Giovanni Fortunato, Angela Pilogallo, Lucia Saganeiti, Valentina Santarsiero, Alessandro Bonifazi, and Francesco Scorza Cycling Infrastructures and Community Based Management Model for the Lagonegro-Rotonda Cycling Route: ECO-CICLE Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1697 Giovanni Fortunato, Alessandro Bonifazi, Francesco Scorza, and Beniamino Murgante Best Practices of Agro-Food Sector in Basilicata Region (Italy): Evidences from INNOVAGRO Project . . . . . . . . . . . . . . . . . . . . . . . . . . 1706 Francesco Scorza, Beniamino Murgante, Angela Pilogallo, Lucia Saganeiti, Valentina Santarsiero, Giuseppe Faruolo, Giovanni Fortunato, Carmen Izzo, Rosanna Piro, and Alessandro Bonifazi RES and Habitat Quality: Ecosystem Services Evidence Based Analysis in Basilicata Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1714 Valeria Muzzillo, Angela Pilogallo, Lucia Saganeiti, Valentina Santarsiero, Beniamino Murgante, and Alessandro Bonifazi Land Use Change and Habitat Degradation: A Case Study from Tomar (Portugal) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1722 Luciana Nolè, Angela Pilogallo, Lucia Saganeiti, Alessandro Bonifazi, Valentina Santarsiero, Luis Santos, and Beniamino Murgante Cultural Heritage: Conservation, Enhancement and Management The Abandoned Railway Heritage: From Problem to Opportunity for the Regeneration of Minor Historic Centres . . . . . . . . . . . . . . . . . . . 1735 Chiara Amato, Giulia Bevilacqua, and Chiara Ravagnan Valuation Approaches to Assess the Cultural Heritage . . . . . . . . . . . . . 1746 Francesca Salvo, Marta Dell’Ovo, Daniela Tavano, and Leopoldo Sdino Matera European Capital of Culture 2019: A Preliminary City Branding Valuation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1755 Vincenzo Del Giudice, Pierfrancesco De Paola, Fabiana Forte, and Benedetto Manganelli Sustainability Between Smart Materials and Design Methodology (Baghdad City as a Case Study) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1765 Emad Al-Jabbari and Maha Haki Dynamics of North Italian Historic Centers and Their Meaning for the Urban Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1776 Ezio Micelli and Paola Pellegrini

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Cultural Heritage Social Value and Community Mapping . . . . . . . . . . . 1786 Francesca Torrieri, Alessandra Oppio, and Marco Rossitti Rural Landscape Heritage in the Inner Areas as Repository of Culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1796 Francesca Vigotti Taking Action Towards the Enhancement of Mining Heritage in Romania . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1806 Oana Cristina Ţiganea The Antifragile Potential of Line Tourism: Towards a Multimethodological Evaluation Model for Italian Inner Areas Cultural Heritage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1819 Catherine Dezio, Marta Dell’Ovo, and Alessandra Oppio Strategies for Sustainable Enhancement of Fortified Architecture in Inner Areas. The Case of Amendolea Castle . . . . . . . . . . . . . . . . . . . 1830 Roberta Pellicanò The Project for the “Cultural Park of Sibaritide” Between United Nation Sustainable Developments Goals 2030 and Promotion of Regional Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1840 Giovanni Cafiero, Domenico Passarelli, Ferdinando Verardi, Maurizio Nicolai, Angela De Marco, and Eugenio Siciliano VR as (In)Tangible Representation of Cultural Heritage. Scientific Visualization and Virtual Reality of the Doric Temple of Punta Stilo: Interference Ancient-Modern . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1851 Paolo Fragomeni and Immacolata Lorè A Synthetic Indicator BES-SDGs to Describe Italian Well-Being . . . . . . 1862 Domenico Tebala and Domenico Marino The Participatory Planning for Preservation and Valorization of Environmental Heritage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1872 Alessandro Scuderi, Luisa Sturiale, Giuseppe Timpanaro, and Gaetano Chinnici Inland Territorial and Tourism Resilience in a Polarized World . . . . . . 1886 Asunción Blanco-Romero and Macià Blázquez-Salom Cultural Tourism and Heritage Education in the Portuguese Way of St. James . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1897 Lucrezia Lopez and Yamilé Pérez The Role of DMS in Reshaping Reggio Calabria Tourism . . . . . . . . . . . 1907 Angela Viglianisi and Alessandro Rugolo

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Building Common Identities to Promote Territorial Development in the North of Portugal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1918 Inês Gusman and Rubén Camilo Lois-González Climate Change, Natural Disasters and Their Effect on Historic Centers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1928 Stefano Gizzi Cultural Heritage, Climate Change, Intercultural Dialogue and Strategies for Integrated Conservation . . . . . . . . . . . . . . . . . . . . . . 1939 Rosa Anna Genovese Integrated Multi-criteria Assessments in Support of the Verifying the Feasibility of Recovering Archaeological Sites: The Case of Portus-Ostia Antica . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1952 Orazio Campo, Fabrizio Battisti, and Giovanna Acampa Climate Changings: New Paradigms of Contemporary Architecture . . . 1962 Emma Buondonno Environmental Crisis and Climate Adaptation of the Urban Voids of Naples Historic Centre UNESCO Site . . . . . . . . . . . . . . . . . . . . . . . . 1972 Mario Losasso Innovative Processes for Climate Risk Reduction of the Built Heritage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1980 Enza Tersigni, Valeria D’Ambrosio, and Ferdinando Di Martino The Historical and Environmental Heritage for the Attractiveness of Cities. The Case of the Umbertine Forts of Pentimele in Reggio Calabria, Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1990 Francesco Calabrò, Luca Iannone, and Roberta Pellicanò Special Event: Rhegion United Nations 2020–2030 Culture as an Enabler of Sustainable Urban Development: Insights from the Integration of Global Policy Imperatives to Athens’ Urban Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2015 Georgia Tseva Membrana Smart Device: Analytical Characteristics and Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2025 Domenico Passarelli, Vincenzo Alfonso Cosimo, and Giuseppe Caridi The Scattered Park of Locride . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2032 Francesco Stilo Holistic Approach to Urban Regeneration . . . . . . . . . . . . . . . . . . . . . . . 2042 Daniela Parisi

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Smart City: The Citizen Protagonist . . . . . . . . . . . . . . . . . . . . . . . . . . . 2048 Francesco Alessandria Embodying Periphery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2057 Francesca Schepis Transformation and Maintenance of the Existing as Ecological Chance to Build Sustainable Scenarios . . . . . . . . . . . . . . . . . . . . . . . . . . 2065 Stefano Aragona Re-orienting ‘Ndrangheta Minors. The Educational Rehabilitation in Non-places of Organized Crime . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2080 Rossella Marzullo Territoriality and Renewable Resources. Sustainable Innovation Strategies for Circular Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2088 Francesca Giglio and Rosamaria Codispoti Maintenance as Crosswise Indicator of Sustainability in Management and Evaluation Instruments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2098 Massimo Lauria and Maria Azzalin Retake Rancitelli . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2109 Piero Rovigatti Geomatic Techniques: A Smart App for a Smart City . . . . . . . . . . . . . . 2123 Vincenzo Barrile, Antonino Fotia, Ernesto Bernardo, and Giuliana Bilotta The P.A.R.C.O. Protocol for Sustainable Project. An Analysis for Indoor Environmental Quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2131 Alberto De Capua Integrated, Adaptive and Smart Envelope for Near Zero Energy Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2143 Martino Milardi The Routes of Pilgrimage as Territorial and Urban Regeneration Axes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2150 Maria Fiorillo Cost Benefit Analysis for a Hydraulic Project: A Case Study . . . . . . . . 2159 Francesca Torrieri, Pierfrancesco De Paola, Marco Basile, Giuseppe Vacca, and Vincenzo Del Giudice Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2169

Inner and Marginalized Areas Local Development to Re-Balance Territorial Inequalities

Disposal of Bergamot By-Products by Animal Productions Manuel Scerra(&) , Rosa Rao, Francesco Foti, Pasquale Caparra, Caterina Cilione, and Luigi Chies Department of Agriculture, Division of Animal Production, Mediterranea University, 89124 Reggio Calabria, Italy [email protected]

Abstract. The objective of this study was to investigate the utilization of bergamot by-product in monogastric and poligastric diets, as an interesting alternative to dispose this surplus. In ovine productions, 27 lambs were divided in three groups and fed for 90 days with 3 different diets: one group of lambs (C) was fed only concentrate while the other groups received concentrate and fresh bergamot pulp (FBP) at the level of 20% dry matter (DM) on the diet fed (BL20) and concentrate and FBP at the level of 35% DM on the diet fed (BL35); in pig production, for 120 days, 30 pigs were fed 3 dietary treatments formulated to contain: only concentrate (C), concentrate and ensiled bergamot pulp (EBP) at the level of 10% dry matter (DM) on the diet fed (BP10) and concentrate and EBP at the level of 15% DM on the diet fed (BP15). After 10 days of adaptation, the experimental animals of the two trials ingested all the bergamot by-products integrated in the diets, with a global utilization of 2412 kg and 5730 kg respectively for ovine and pig productions. No significant differences between treatments were found for final weight, average daily gain, dry matter intake, feed conversion ratio and carcass weight. The BL35 treatment tended to increase total polyunsaturated fatty acids (PUFA), mainly PUFA n − 3, leading to a lower levels of PUFA n − 6/n − 3 ratio. Therefore, the utilization of FBP in animal productions is a valid alternative to dispose of it without detrimental effects on animal performances. Keywords: Bergamot


By-products
Animal

1 Introduction Increased disposal costs in many parts of the world have increased interest in utilization of citrus by-product feedstuffs as alternative feeds for ruminants. Bergamot (Citrus Bergamia Risso) is a natural hybrid fruit derived from bitter orange and lemon that is used mostly for juice and the extraction of its essential oil. The annual Italian production of bergamot amounts to 25500 tons and it is produced almost exclusively in province of Reggio Calabria (South Italy), where the cultivated area is about 1500 ha, contributing for more than 90% of world supply [1]. During the industrial processing of bergamot or in general of citrus fruits for juice and essential oil extractions, remains a solid residue which represents about 55–60% of © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 3–10, 2021. https://doi.org/10.1007/978-3-030-48279-4_1

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the fruit. Some studies have investigated the chemical composition of bergamot derivatives and its industrial by-products and have been proved to exert important biological activities as protective agents on human cells exposed to tumour necrosis and antioxidants [2, 3]. In fact the peel of bergamot fruit contain a significant amount of flavonoids, polyphenol compounds, found in lower levels in other Citrus peels [4]. Flavonoids are secondary metabolites well documented for their biological effects, including anticancer, antiviral, antimutagenic and anti-inflammatory activities [5, 6]. For their content of polyphenols and others bioactive phytochemicals such as unsaturated fatty acids, sterols, tocopherols, carotenes, terpenes, several agro-industrial byproducts can be considered as functional feedstuffs. Obviously, if the solid residues resulting from the industrial processes of bergamot are not further processed or disposed, it can give rise to serious environmental pollution. In Calabria region these solid residues are not further processed due to the quantities produced. An interesting alternative to dispose this surplus, during the harvesting period of bergamot and subsequently of industrial processing, could be to use them for animal feeding. In the literature there are some research on the use of dried citrus pulp in ruminant nutrition [7–9]. However, citrus pulp can also be fed fresh or as silage. Both are generally very rapidly accepted by ruminants, but pulp and peels from lemons are somewhat more acceptable than those from oranges and grapefruit [10] or even more than those from bergamots for their strong acrid taste. Few paper have been report on the utilization of fresh citrus pulp in diet for growing lambs and pigs and consequently of the disposal of these by-products by animal productions, and to the best our knowledge, just one paper reported some data on the possibility to use fresh bergamot by-product in lambs diet [11], while no studies investigated the utilization of the solid residue resulting from the industrial processes of bergamot in pig productions. Therefore, the aim of this study was to evaluate the utilization of bergamot byproduct in lambs and pigs diets as an alternative to dispose this surplus.

2 Materials and Methods 2.1

Animal, and Diets

For the first trial, a total of 27 Italian Merino male lambs, born within two weeks in September, were weaned at 60 d of age [average initial body weight 15.79 ± 0.50 (SD) kg] and individually straw-bedded pens. Lambs were randomly assigned to three dietary treatments adapted to the respective experimental diets for 10 days. The experimental period lasted 90 days. During this period lambs were fed on the following dietary treatments: only concentrate (group C), concentrate and fresh bergamot pulp at the level of 20% dry matter on the diet fed (BL20) and concentrate and fresh bergamot pulp at the level of 35% DM on the diet fed (BL35). The concentrate offered to the lambs of BL20 and BL35 groups had the same ingredients of the concentrate supplied to the lambs of C group but, in order to maintain a similar crude protein concentration between treatments, had a higher soybean meal and faba bean contents and

Disposal of Bergamot By-Products by Animal Productions

5

consequently a lower percentage of cereal mix (Table 1). The ingredients of each concentrate mixture were ground to make it decrease selective feeding and in BL20 and BL35 groups bergamot pulp was mixed with concentrate. The fresh bergamot pulp used in the study, consisting of peel, pulp, and seeds, was obtained after the cold extraction of bergamot juice and transferred to the farm once week from the start of the experiment. Table 1. Ingredients of concentrate (g/100 g as fed) and chemical composition of diet constituents Concentrate group C

Concentrate group BL20

Concentrate group BL35

Fresh Bergamot pulp

Cereal mix 60 51 45 Soybean meal 10 15 20 Faba bean 10 14 15 Bran 17 17 17 Vitamin mineral 3 3 3 premixa Chemical composition Dry matter (DM) g/kg 892.5 892.7 891.1 146.8 wet weight Crude protein g/kg DM 164.2 200.6 206.9 65.6 Ether extract g/kg DM 25.3 24.6 24.4 11.4 Ash g/kg DM 52.5 60.8 53.7 53.7 NDF g/kg DM 317.4 296.3 304.8 347.8 a The mineral vitamin premix consisted of vitamin A = 6750 UI; vitamin D3 = 1000UI; vitamin E 2 mg; vitamin B12 0,01 mg; vitamin B1 1 mg; folic acid 0,2 mg; D-pantotenic acid 5 mg; Co 0,05 mg; Mn 12,5 mg; Zn 15 mg; Mo 0,5 mg;

The experimental diets were supplied at 0830 h and after 1900 h. The amounts of feed offered and refused were recorded every day in order to measure the daily voluntary feed intake and consequently the real quantitative of FBP disposed. The lambs were weighed at weekly intervals prior to feeding in order to calculate average daily gain. At the end of the experimental period, following overnight fasting, the lambs were slaughtered at a commercial abattoir. For the second trial, thirty barrows Apulo-Calabrese pigs were weighed, individually identified and assigned to three pens (10 pigs per pen). From 103.4 ± 8.70 kg body weight until slaughter (150.4 ± 9.97 kg) pigs were fed 3 dietary treatments formulated to contain: only concentrate (C), concentrate and ensiled bergamot pulp (EBP) at the level of 10% dry matter (DM) on the diet fed (BP10) and concentrate and ensiled bergamot pulp at the level of 15% DM on the diet fed (BP15). Diets with bergamot pulp (BP10 and BP15) were a mixture of C feed with the respective amount of ensiled bergamot pulp and different amounts of soya and lysine were added if necessary. The Table 2 reports the ingredients and the chemical

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M. Scerra et al. Table 2. Ingredients (g/100 g as fed) and chemical composition of diet constituents Concentrate group C 75 8 15 2

Concentrate group BP10 73 10 15 2

Concentrate group BP15 70 13 15 2

Ensiled Bergamot pulp

Cereal mix Soybean meal Faba bean Vitamin mineral premixa Chemical composition Dry matter (DM) g/kg 897.2 896.3 892.1 185 wet weight Crude protein g/kg 135.2 147.4 159.3 79.1 DM Ether extract g/kg DM 31.3 30.6 29.4 13.7 Ash g/kg DM 39.7 37.8 39.4 53.8 NDF g/kg DM 432.6 421.2 420.4 246.7 a The mineral vitamin premix consisted of vitamin A = 6750 UI; vitamin D3 = 1000UI; vitamin E 2 mg; vitamin B12 0,01 mg; vitamin B1 1 mg; folic acid 0,2 mg; D-pantotenic acid 5 mg; Co 0,05 mg; Mn 12,5 mg; Zn 15 mg; Mo 0,5 mg;

composition of the experimental diets, which were planned to provide similar levels of energy and nitrogen. Bergamot by-product used in this trial was obtained from a juice citrus industry and ensiled for 90 days. Ensiled citrus pulp used contained 18.5% dry matter, 7.9% crude protein, 1.34% crude fat, 24.6% neutral detergent fibre and 13.6% acid detergent fibre. All pigs were fed the experimental diets twice daily (0700 and 1600 h). The amounts of feed offered and refused were recorded every day in order to measure the daily voluntary feed intake and consequently the real quantitative of FBP disposed. The amount of feeds provided for the experimental pigs were 2.7% of body weight as DM from 115 to 140 kg of body weight and 2% of body weight as DM from 140 kg to 150 kg. Water was continuously available. All pigs were weighed at weekly intervals prior to feeding in order to calculate average daily gain. At the time of submission of this paper, pigs were not slaughtered. 2.2

Analysis of Feeds and Meat Samples

Samples of the feeds offered were collected 4 times during the trial, vacuum packaged and stored at −30 °C for analyses. Feed samples were analyzed for neutral detergent fibre (NDF) [12], crude protein [13], crude fat [13] and ash [13]. The muscle longissimus thoracis et lumborum (LTL; approximately 80 g and 400 g, for lambs and pigs respectively) was removed from each carcass after slaughter and immediately transported, refrigerated, to the laboratory.

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In samples of LTL, moisture (method no. 950.46), crude fat (method no. 991.36), ash (method no. 920.153) and protein (method no. 984.13) were assessed according to AOAC procedures [13], after 24 h thawing at 4 °C. Intramuscular lipids were extracted from LTL samples according to the method used by Folch et al. [14]. Duplicates of 100 mg of lipid, were methylated adding 1 ml of hexane and 0.05 ml of 2 N methanolic KOH [15]. Gas chromatograph analysis was performed on a Varian model CP 3900 instrument equipped with a CP-Sil 88 capillary column (length 100 m, internal diameter 0.25 mm, film thickness 0.25 lm). 2.3

Statistical Analysis

Data were analyzed using a one-way ANOVA to test the effect of the dietary treatment. Differences between means were assessed using Tukey’s multiple-comparison test. Significance was declared at P  0.05, whereas trends toward significance were considered when 0.05 < P  0.10. Statistical analyses were performed by the statistical software Minitab, version 14 (Minitab Inc, State College, PA).

3 Results and Discussion Feeding by-products of the crop and food processing industries to livestock could reduce the costs of expensive waste management programs and livestock dependence on grains that can be consumed by humans. However, some of these by-products, if not properly integrated, could reduce animal performance, with negative consequences from an economic point of view for the breeder; but, if properly managed, they could lead to a double advantage as previously emphasized. Furthermore, some of these byproducts could have beneficial effect on the quality of meat for their high content of certain bioactive phytochemicals favourable for human health. In these experiments we fed two groups of lambs and two groups of pigs reducing the amount of dry matter from concentrate by replacing it with, in lambs groups, fresh bergamot pulp at the level of 20% and 35% dry matter on the diet fed, while, in pig groups, ensiled bergamot pulp at the level of 10% and 15% dry matter on the diet fed. During the first trial, after 10–15 days of adaptation period, lambs consumed almost all the FBP offered, ingesting each lamb 1.1 kg/day and 1.88 kg/day for groups BL20 and BL35 respectively (Table 3). In the second trial, pigs of the two experimental groups also consumed all the EBP offered, ingesting each pig 1.91 kg/day and 2.87 kg/day for groups BP10 and BP15 respectively (Table 4). At the end of experimental trials, the total amount of bergamot by-product ingested by each lamb was 99 kg, in BL20 group, and 169 kg, in BL35 group, with a total of by-products from the industrial processes of bergamot disposed in this trial of 2412 kg, while the total amount of bergamot by-product ingested by each pig was 229 kg and 344 kg in groups BP10 and BP15 respectively, with a total of by-products from the industrial processes of bergamot disposed of 5730 kg. Although dietary treatments that included bergamot by-products obviously decreased the dry matter intake from concentrate (P < 0.05), no significant differences

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Table 3. Lambs performances in vivo and amount of n − 6 and n − 3 fatty acids (g/100 g of total fatty acids) Dietary treatments SEM6 P value C BL20 BL35 No. of lambs 9 9 9 15,29 16,19 15,9 0.754 ns BW1 at 70 days, kg BW1 at 160 days, kg 31,83 32,5 32,6 0.643 ns 2 Total DMI , g/d 823 897 844 22.04 ns Concentrate DMI2, g/d 823a 710ab 568b 24.30 2.500); 4) Bronze.

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Fig. 1. The distribution of Municipalities in Calabria according to the 6 categories identified by the Strategia nazionale: A) Poles; B) Intercommunal poles; C) Belt; D) Intermediate; E) Peripheral; F) Ultra-peripheral

The main goal of the National Strategy is to struggle the demographic decline that has characterized the internal areas of our country during the last half century. For this purpose the National Strategy has suggested some lines of actions capable of combining: • the development of “unexploited territorial capital” just like natural resources, history, art and cultural traditions, agricultural production, traditional crafts; • the guarantee, to the people of inner areas of the “Citizenship rights”, which refers to the production and supply of services on the territory, to be considered strategic for development: health, education and training, mobility and virtual connectivity, to ensure the permanence of the residents and to increase the attractiveness of the territories for new residents. At the same time the Strategia Nazionale points out how the demographic decline and the desertion of agricultural activities has produced a severe lack of maintenance works on the territory that during the centuries was guaranteed by the countrymen with

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a strong increase of the risks related to natural phenomena like flood and landslides, that in recent years have affected our country. For this reason the Strategia nazionale suggests, as a sort of pre-condition for development, the implementation of a Soil protection policy based on three main actions: maintenance of natural capital; prevention of damages; increase of resilience; a topic that different studies and researches have focused as one of the main troubles for hilltowns in inland areas (Galderisi and Limongi 2019). An integrated strategy that represents, in our opinion, the most important innovation of the Strategia nazionale, tending to downgrade one of the fundamental gaps of the internal areas compared to the stronger ones. In other words, the idea that no form of development is really feasible, no capital can be adequately valued, if the quality of life and opportunities for citizens living in marginal areas are not improved at the same time. 1.3

The Città Metropolitane: An Opportunity for Inner Areas

The institution of the Città metropolitane with the law n. 56 of 2014, seems to represent a moment of decisive innovation regarding the frame just described; in fact, as a result of the rule that makes the boundaries of the Città metropolitane to coincide with those of the former Province, in several cases (Torino, Reggio Calabria, etc.) the provincial territory is far larger than the urbanized area and includes mountains, hilly areas and small towns of a purely rural character. Excluding the concerns generated by imagining a metropolitan area that includes a natural park, on the other hand this condition may represent an opportunity to experiment models of integrated territorial development between weak areas and strong areas, to exploit the potential of the whole territory without separating the “flesh” from the “bone” (Fera 2018). This line of action is also consistent with the most recent European strategies, which have identified the main urban metropolitan areas as the drivers of development. In fact, in a study of some ten years ago, the OECD (Organization for Economic Cooperation and Development) highlighted the role of large urban concentrations as drivers of economic development processes by allowing: • to make the most of the so-called “agglomeration economies”, resulting from the concentration in a limited space of complementary and integrated activities; • benefits from high levels of service specialisation and diversification of supply; • high capacity to concentrate R&D activities and thus generate innovation; • a high level of human and social capital; • high level of physical services and infrastructure (transportation, equipped industrial spaces, etc.) for use by enterprises. According to what we said before, the role of metropolitan areas has been and still is the subject of a careful and deep reflection by the institutions of the European Union4, which has rethought the development and cohesion policies by focusing its

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European Union, Regional Policy Dept. (2011), Cities of tomorrow. Challenges, Visions, Ways forward. [http://ec.europa.eu/regional_policy/sources/docgener/studies/pdf/citiesoftomorrow/citiesof tomorrow_final.pdf.

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attention on the large metropolitan areas, where technological innovation, social capital, infrastructure, etc. are gathered. But this strategy has certain limits and criticalities, recognised by the European Union itself, such as the costs arising from social conflicts related to the concentrations of poverty and marginalisation, the environmental costs of congestion and pollution, stress of infrastructure, etc. But the main danger of large metropolitan areas is that they tend to grow and feed at the expense of the surrounding territory, causing its depletion and depopulation, and fuelling territorial imbalances. It is clear, therefore, that a Metropolitan city including and hosting “internal areas” could respond positively to the newly exposed need for an integrated development strategy between strong and weak areas. We can therefore say that metropolitan areas have been changing in recent years from a tool for coordinating local transportation policies and for managing and locating common services, to an instrument for promoting economic and social development. A real genetic change, which requires new methodologies and criteria for analysis and interpretation of the phenomenon, since this pushes us to move from a notion of the metropolitan systems linked to the acknowledgment of an existing state of affairs (the area bordered in based on the functional relationships already detected, such as commuting flows) to a concept linked to a possible and desirable development, to a future vision of sustainability, progress, equity, well-being (Fera 2018). If so, the criteria for identifying metropolitan areas move from the mere consideration of functional relationships (commuter flows, work systems, etc.) to the identification of resources (natural, landscape, human, infrastructure, etc.) capable of promoting development, catching those peripheral areas which are at both geographical and economic margins. 1.4

The Città Metropolitana and the Aspromonte Park Areas

The Città metropolitana of Reggio Calabria represents an exemplary case of the condition above described, with an extremely articulated and complex territory, made up of a large majority of mountain and hilly areas, composed of a hundred municipalities, almost all of which are located below the threshold of 5,000 inhabitants. An obvious dichotomy characterized on one side by the “Reggio Calabria coastal metropolitan area” and on the other by the vast internal area represented by the National Park of Aspromonte which includes 40 of the approximately 100 municipalities of the Città metropolitana (Fera 2015). Within the Città metropolitana, the core area, that is the Reggio Calabria metropolitan area, presents itself as a linear coastal system that stretches for over 50 km between the Ionian and the Tyrrhenian Sea, with the city of Reggio Calabria in the

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center. The most recent studies5, either considering the processes of peri-urbanization that have occurred since the 1980s, have worked in the direction of expanding the boundaries of the area of gravitation around the core of the capital city; for example, the QTR/P, the Regional Territorial Framework, identified a metropolitan area of Reggio Calabria including 12 municipalities for a total of about 235.000 inhabitants. This metropolitan area consisted of three sub-areas: • a core area comprising the centers of Reggio, Villa and Campo Calabro; • a belt of 7 hill towns; • the Costa Viola with the centers of Scilla and Bagnara A study by the University of Barcelona6 on the Spanish and Italian FUR (Functional Urban Regions) identified as a metropolitan area of Reggio Calabria a territory made up of 21 municipalities, for a total of about 270,000 inhabitants, a linear system extended along the coast of the Strait from Bagnara Calabra to Melito Porto Salvo, a perimeter roughly taken up in other programming documents including the Strategic Plan of the city of Reggio Calabria. The area of the Aspromonte National Park, with its hilly offshoots covers almost the half of the entire provincial territory and has been the one that, over the years, has mostly suffered for depopulation and loss of cultural and economic identity. Today the establishment of the Città metropolitana can represent a great opportunity to revitalize the area, which can become central not only geographically, but also from an economic, social and cultural point of view. Three important roles can be assigned to this large territorial system made of woods, but also of historical human leftovers, witness of a community sharing uses and traditions (Fera 2016a): • it represents the treasure chest holding unrevealed environmental, flora, fauna and geological resources; • the Aspromonte Park should be the green lung from which a series of environmental infrastructures are generated, ecological corridors bringing the green of the woods into the coastal areas. The following image, taken from the PTCP (Provincial territorial coordination plan), identifies the possible green ways starting from the large wild heart of the park and going to green the urban fabric, along the riverside of the “fiumare”;

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There are several studies developed in recent years that have proposed a perimeter of the metropolitan area. The first hypotheses developed in this regard referred to the conurbation identified by Lucio Gambi (1965), including the centers of Reggio Calabria, Villa San Giovanni and Campo Calabro. This hypothesis was taken up by two of the greatest Italian urban planners of the time, Giuseppe Samonà and Ludovico Quaroni; the first on the occasion of the competition for the General plan of Messina in the 1960s, the second on the occasion of the international competition for the Bridge over the Strait of 1969, as part of a proposal for the structure of the metropolitan area of the Strait. More recently, this hypothesis has been reconsidered within the studies for the preparation of the territorial coordination plan of the province. Boix R., Veneri P. (2009), Metropolitan areas in Spain and Italy, Institut d’estudis regionals i metropolitans de Barcelona (IermB), https://ideas.repec.org/p/esg/wpierm/0901.html.

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• the park can promote the development of a sustainable and eco-compatible tourism thanks to the short time (15–20 min) occurring to reach the coast from the mountain side, allowing people to practice seaside activities, and in the same day, to walk into the woods and discover ancient cultural and gastronomic traditions. The Aspromonte Park area may become one of the main drivers for the development of tourism in the entire metropolitan city, offering an extraordinary number of natural, cultural and food traditions. In other words we want to underline how an adequate integration process between urban and rural areas, between “strong areas” and “weak areas”, not only serves to safeguard the latter from depopulation and depletion processes but can also support the overall development process (Fig. 2).

Fig. 2. The green heart of the Metropolitan City from which the ecological corridors, greenways and blueways branch off towards the urban coastal areas (from the cartography of the Provincial Territorial Coordination Plan).

In our opinion, the main objective of the Strategic plan of the metropolitan city must be to encourage integrated economic development between the internal area of the large National Park with its hilly offshoots and the “sea front” where, in addition to the central metropolitan area, two other territorial excellences must be considered, the port of Gioia Tauro on the Tyrrhenian side and the coast of Alta Locride with its beaches (Roccella, Marina di Gioiosa, Riace). Reggio Calabria metropolitan area, the Piana di Gioia Tauro, the Locride represent the main geographical partitions in which the territory of the Metropolitan City is divided, a coastal line dominated by the territory of Aspromonte, which partly overlaps them and a minor territory represented by the Area Grecanica. A division strongly characterized by the different and specific local cultural traditions, which represented

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the basic territorial division used by the different plans at regional (QTR- Regional Territorial Framework) and provincial (PTCP – General Plan of the Province) level and by all the programs related to European cohesion funds, like POR (Regional Operative Program) and PIT (Integrated Territorial Plan). The same articulation was adopted by the Statute of the Città metropolitana, which provides for a division of the territory into five Homogeneous Zones. In fact, the Statute of the Città metropolitana of Reggio Calabria states: Homogeneous Zone constitute the operational structure of the Metropolitan Conference and the articulation in the territory of the activities and decentralized services of the Metropolitan City. They represent the favorable environment for the organization in an associated form of municipal services and for the delegated exercise of functions of metropolitan competence (art. 39, paragraph 4). Homogeneous zones express opinions on the acts of the Metropolitan Council that specifically concern them and participate in the shared formation of the Strategic Plan and the Metropolitan Territorial Plan, according to the procedures established by the Statute and by the regulation on homogeneous zones (Art. 40, paragraph 2). The Territorial Plan and the planning of local public services take homogeneous areas as a reference point, having to balance their needs (Art. 40, paragraph 3) (translation of the authors).

Fig. 3. A structural image of the Città Metropolitana with the five homogeneous zones: in the middle in light grey the Area of the Aspromonte park, on the left the dark grey linear system of the Metropolitan area of Reggio Calabria, including the port of Gioia Tauro; at the top the area of the Piana around the cities of Polistena, Cittanova and Taurianova; on the upper right side the urban linear system of the coast of Locride with Locri, Siderno an Roccella and at the bottom the Area grecanica.

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In fact, the guidelines for the Metropolitan Strategic Plan of Reggio Calabria7 (Città metropolitana Reggio Calabria 2020) clearly show the need to draw up the plan according to an “all-inclusive” and integrative approach, going beyond the rigidity of traditional planning tools, towards paths based on interaction, cooperation and coherence among the different territorial zones, but also among different actors and stakeholders. In particular, the document in the section dedicated to “Territorial vocations and challenges” emphasizes two important themes (Fig. 3): • the relationship between the complex fragmentation of the territory and the variety of rare ecosystems and characteristic landscapes for which strategies capable of combining and integrating protection policies with those of fruition of resources and enhancement of the local identity heritage are required; • the making up of the territorial framework, still deeply unbalanced, and of the infrastructure network still fragile both in the connections with the national territory and in internal relations; that means to foresee the need for a decisive action that rebalances the dynamics of continuous abandonment of the internal centres, in a process that tends to increase their marginalization, in the face of a progressive strengthening and expansion of the coastal centres. It is possible today to see how the bases have already been laid to overcome the old planning model, for the benefit of a less abstract and unclear approach to the territory, focusing to the specificities of the considered places and that wisely (almost with scientific rigor) acts on the whole territory in an integrated way. In our opinion, such strong necessary integration must be a main goal for both metropolitan plans, the Territorial Plan and the Strategic Plan. After all, it is very difficult to design a model of spatial framework not considering a more comprehensive economic strategy; in other words we usually, in an holistic approach, imagine a model of economic and social structure of which the territorial plan represents the spatial realization. At the same time, we know that a model of sustainable economic development cannot be separated from environmental resources and landscape and that the strategies envisaged must be compatible with landscape and environmental conditions and the level of environmental risk affecting the territory. In fact, the Urban planning law of Calabria (art.18 bis c.4), in setting the goals and tasks of the PTM (Metropolitan Territorial Plan), states that “it must pursue the fundamental objective of assuring a territorial structure compatible with the environmental conditions and consistent with the need to maximize the specificity and potential of the different territories”.

In conclusion we want to suggest two more issues. The first one is that the goal of the integration between the territorial and strategic level can’t be charged to a Strategic Plan, which the Delrio law sets with a three-year deadline; a deadline more usual for an

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According to the n° 56/2014 Law, the Città metropolitana have to develop two different plans: a Territorial Plan of Metropolitan city (PTM- Piano Territoriale Metropolitano) an a three years based Strategic Plan. Waiting to start with the design of PTM all Metropolitan cirties have adopted the old Territorial plan of the former Provence, that most likely will be a starting point for the new Metropolitan plan.

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operational plan, like the “Three-year program of the “Public works” of the Municipalities. What we can learn from the various experiences of strategic plans in Italy and Europe is that the average length in time of these plans is positioned around ten years or more, assumed as medium-long term perspective to reach and realize the goals. A second issue regards the goal to assure the highest enhancement of the specificity and potential of the individual territories, whose articulation should be considered in a variable way; the last should depend on the many different sectoral plans on one side and, on the other side on the institutional aggregations as, Unione di Comuni, Health agencies, School districts, Patti territoriali, Leader Projects, etc. Many of these aggregations arise from a project shared by several administrations, established traditions, a common will, that the Strategic Plan of the Metropolitan City will certainly have to take into account. But at the same time the consideration and accounting of the individual territorial realities has to consider the need to build up a common strategy and path, in which each territorial reality can identify itself with mutual benefit. From here arises the need for a flexible planning able, within an absolutely unitary project, to indicate diversified objectives and strategies in relation to the different themes (transportation, tourism development, production chains, etc …) or different territorial articulations. The principles of autonomy and subsidiarity are endorsing the definitive sunset of a hierarchical and authoritative planning, in which the higher institutional level, that imposes its choices to the lower one, is going to be replaced by some cooperative and reticular forms, where the choice to join to a project don’t arise from an administrative or institutional affiliation, but from a common interest or benefit. All this leads to focus our attention on the process of designing and management of the strategic - territorial plan or, in other terms, on the governance of the plan itself. Apart from all the technical aspects, strategic planning is characterized for being a form of participatory and cooperative planning; therefore it is necessary to focus our attention on the organization of the interaction among the different actors, also for getting the necessary flexibility for the plan.

References Arzeni, A., Esposti, R., Sotte, F.: Politiche di sviluppo rurale tra programmazione e valutazione. Franco Angeli, Milano (2003) Barca, F.: La Strategia nazionale per le Aree interne: definizione, obiettivi, strumenti e governance. Materiali UVAL (Unità Valutazione investimenti pubblici), Roma (2014) Bauman, Z.: Globalizzazione e glocalizzazione. Armando Editore, Roma (2005) Bevilacqua, F.: Genius Loci. Il Dio dei luoghi perduti. Rubettino, Soveria Mannelli (2010) Capello, R., Hoffmann, A.: Sviluppo urbano e sviluppo rurale tra globalizzazione e sostenibilità. Franco Angeli, Milano (1998) Città Metropolitana di Reggio Calabria, Linee di indirizzo del Piano strategico metropolitano. https://www.cittametropolitana.rc.it/canali/territorio-pianificazione-e-urbanistica/pianostrategico-della-citta-metropolitana-di-reggio-calabria. Accessed 02 Jan 2020 Corso, C.: Il Parco Nazionale dell’Aspromonte. ieri-oggi-domani. Jason Editore, Reggio Calabria (1999)

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Daniele, V., Malanima, P.: Il divario nord-sud in Italia 1861–2011. Rubbettino Editore, Soveria Mannelli (2011) Fera, G.: L’Area Metropolitana dello Stretto: storia, presente, prospettive. In: Fera, G., Ziparo, A. (eds.) Lo Stretto in lungo ed in largo. Prime esplorazioni sulle ragioni di un’area metropolitana integrata nello Stretto di Messina. Università Mediterranea- Centro Stampa di Ateneo, Reggio Calabria (2016a) Fera, G.: Il cuore verde della città metropolitana. In: atti del convegno La montagna ed il mare della Calabria, Reggio Calabria, 15 dicembre 2016 (2016b) Galderisi A., Limongi G.: A resilience-based approach to enanche the capacity of small villages to cope with interwined threats. Trans. Eur. Assoc. Sch. Plan. 3 (2019)

Italy Testing the Place-Based Approach: River Agreements and National Strategy for Inner Areas Giancarlo Cotella , Elisabetta Vitale Brovarone(&) and Angioletta Voghera

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Interuniversity Department of Regional and Urban Studies and Planning (DIST), Politecnico di Torino, 39 Viale Mattioli, 10125 Turin, Italy {giancarlo.cotella,elisabetta.vitale, angioletta.voghera}@polito.it

Abstract. Territorial imbalances between catalysts of development and lagging areas are raising concerns in the majority of European regions. The divide between main urban nodes and marginal territories poses serious development challenges. The polarization of social, economic and cultural opportunities in urban areas and the phenomena of ageing, depopulation and impoverishment of inner areas are often the result of place-neutral, spatially-blind approaches to development, and constitute a hurdle towards the European objective of social, economic and territorial cohesion. In order to face these challenges, since a decade the European Union is pushing towards more place-based approaches to development, combining bottom-up and top-down logic within multilevel, multiactor and multifund context-sensitive processes. The experiences of the River Agreements and the National Strategy for Inner Areas represents interesting examples of the Italian take on the EU place-based logics, aiming at reversing the negative development trends that characterize the country’s marginal areas. Despite each presenting its own peculiarities, the two approaches share some common ground, as they both attempt to develop innovative, placesensitive governance processes, featuring a participatory dimension and aiming at overcoming administrative and sectoral boundaries. This contribution discusses the potentials and limitations of the two approaches, with particular attention for the place-based flavour of the peculiar multilevel governance frameworks they adopt. The presented findings constitute an input to the debate on policies for the reactivation of marginal areas and the rebalance of territorial inequalities in a sustainable perspective. Keywords: Place-based Agreements


National Strategy for Inner Areas
River

1 Introduction Despite the positive results achieved through the implementation of the European Union (EU) cohesion policy since 1989 (Davies 2017), European spatial development continues to face a number of challenges. The economic, social and territorial © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 113–124, 2021. https://doi.org/10.1007/978-3-030-48279-4_11

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dimensions of EU development have gained increasing complexity, also as a consequence of the global financial crisis (Cotella et al. 2015a; Tulumello et al. 2020). The Seventh report on economic, social and territorial cohesion (CEC 2017) provides evidence of a number of issues affecting EU spatial development opportunities. In particular, it points out how territorial imbalances between main catalysts of development and lagging areas raise growing concerns in the majority of European regions. Due to large disparities in employment, income levels and social well-being, people continue to move from marginal areas to core centres and this, together with the natural decline in population, has led to a significant reduction of people living therein. The polarization of social and economic opportunities in main urban nodes and the phenomena of ageing, depopulation and impoverishment of marginal areas are often a direct consequence of place-neutral, spatially-blind approaches to development that, in turn, represent a hurdle to the EU quest for cohesion. Acknowledging the scarce impact in tackling these challenges, at the end of the last decade, DG Regio commissioned an independent assessment of the effectiveness of the EU cohesion policy, upon which to shape its reform in the view of the post-2013 programming period. The results of this activity are collected in the so-called Barca Report (Barca 2009), setting the ground for a place-based approach to development, that combines bottom-up and top-down logic within multilevel, multiactor and multifund context-sensitive processes. Due to the high subsidiarity that characterises EU spatial development policies, however, the actual operationalization of the place-based approach largely remains in the hands of the Member States, with each country that, despite the framework defined by the European Commission, is granted considerable leeway in defining the most appropriate configurations and mechanisms (Cotella and Janin Rivolin 2015; Cotella 2019, Berisha et al. 2020). In this light, to explore the instruments put in place in the different countries to translate the European support into place-based initiatives is particularly interesting, as it may lead to the identification of good practices and, in turn, provide inspiration for both European and domestic policy-making (Adams et al. 2011; Cotella et al. 2015b). Aiming at providing a contribution on the matter, this paper examines the experiences of the River Agreements and of the National Strategy for Inner Areas, two interesting examples of the Italian peculiar take on the place-based approach. Despite each presenting its own peculiarities, these two instruments share common ground, as they both contribute to addressing the negative development trends that characterize some of the country’s marginal areas. Moreover, they both aim at developing innovative, place-sensitive governance processes, that are characterised by a strong participatory dimension and go beyond traditional administrative and sectoral boundaries. They define projects to integrate and shape interests, organizations and social groups aiming at catalysing investments around shared strategies (Voghera and Regis 2016). After this introduction, the two experiences are framed more in detail in Sects. 2 and 3, paying particular attention to their peculiar multilevel governance frameworks. Section 4 then discusses their similarities and differences, at the same time reflecting on the main potentials and limitations of the two approaches, with particular reference to the way they constitute a test-bed for the implementation of the place-based approach in the Italian context. Finally, a conclusive section rounds off the contribution, explaining why the presented findings constitute as many interesting inputs to the

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debate on policies for the reactivation of marginal areas and the rebalance of territorial inequalities in a sustainable perspective, in so doing potentially representing a source of inspiration for future policy-making at both the national and European level.

2 The River Agreements The River Agreements (RAs) are an example of the vast debate in progress on the role of “agreements” for the enhancement of the landscape and for the promotion of local development through multilevel and place-based governance in Belgium, France (Minot 2001; Choay et al. 2005) and in Italy (Ingaramo and Voghera 2016). To varying extents, in the definition of actions to transform the territory, these tools involve the relationship between resources and their use, as well as the role of local communities and landscape for territorial development, and planning and design aimed at requalification of a hydrographic basin. As a matter of fact, the definition of a RA, especially of a minor river basin in rural or mountain marginalised territories, could be the first step for the definition of a strategic vision aimed at the development of new economies related to the landscape and the river environment. Starting with the aim of contributing to the improvement of water quality and implementing the directive 60/2000/EC, the RA is an experience which has been conceived and developed over the last decade, and is being gradually consolidated in methodological and operational terms, thanks to an increasingly widespread recognition of its value in the management of water and the more general planning of the riversides among the shared actions to sustain the green economy and guarantee sustainable use of natural resources. This method is reinforced in the construction of a project capable of enhancing the territory and landscape from a strategic, multidisciplinary and trans-scalar viewpoint, defining systems of action at basin level and local projects that can be implemented in different territorial plans, starting with the basin to the local ones. It was first introduced in Italy the River Agreement (RA), based on Law 152/2006, which introduces the RAs as voluntary tools for territorial and placed-based governance within a river basin. It is an experience implemented and developed in the last ten years and constantly consolidated both methodologically and operationally. As explicitly stated by the National charter of River Contracts (V National Table, approved in Milan on October the 21st, 2010), the RAs promote vertical or horizontal subsidiarity, interactive local development, the safety of the riverside and sustainability. These actions are based on a participative decision-making process that aims to include those themes (Carter 2007), overcoming the traditional water governance systems based on top-down and intersectoral approaches (Eckerberg and Joas 2004). Being based on the logics of strategic and negotiated planning, they start with a voluntary agreement and mobilises participation by all the stakeholders along the riverside for the negotiation of conflicts, and the definition and implementation of a shared riverside development framework (Affeltranger and Lasserre 2003). Consequently, the decisionmaking process should involve as many different stakeholders as possible, both in terms of socio-economic nature and of importance within the decisional arena. The aim is to create a territorial design with integrated broad contents (soil and water, and

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environmental valorisation, landscape enhancement and territorial development). At the same time, RAs also integrate different sources of national and European funding in order to tailor policies and planning (i.e. Rural Development Plan, Italia Sicura, POR Regional Operation Programme). In so doing, they have the chance to contribute to enforce identity-based knowledge linked to the hydrogeological security and the biodiversity of the river, at the same time enhancing its landscape values through multifunctional farming methods. Overall, RAs contribute to reactivate basin communities in forms of multilevel governance inspired by social and territorial resilience (Voghera 2020). This model of development, intrinsically place-based in its essence, enables the populations to generate new urban and rural territoriality, setting up networks of local initiatives, as well as generating integrated territorial requalification and cohesion policies. In so doing, they are particularly important for the co-evolution of marginalized territories.

3 The National Strategy for Inner Areas The National Strategy for Inner Areas (SNAI in its Italian acronym), introduced by the Minister for Territorial Cohesion Fabrizio Barca in 2012, targets those territories that are at a significant distance from centres with essential service provision1 (Barca et al. 2014). Its overall objective is to rebalance territorial inequalities by revising those processes that had led to the socioeconomic and structural fragility of inner areas. The SNAI acknowledges access to services throughout the country as an essential precondition for development. It sets three interrelated objectives: (i) to preserve and secure the territory, (ii) to promote the natural and cultural diversity of these areas, and (iii) to enhance the potential of under-utilised resources. To fulfil these objectives, the SNAI takes action on two fronts (Barca et al. 2014): (i) to improve essential services, namely health, education and mobility; (ii) to trigger local development processes, by supporting projects focused on environmental sustainability, local cultural and natural capital, agro-food systems, renewable energies, craftsmanship and traditional know-how. The definition of inner areas applies to those territories that are remote from essential services. Therefore, the first step was to map the ‘service provision centres’, municipalities (or clusters of neighbouring municipalities) providing: (i) a full range of secondary education; ii) at least one first-level emergency care hospital; iii) at least a medium-capacity railway station2. The remaining municipalities were classified in four bands, based on their distance from such centres: outlying areas (less than 20’ away); intermediate areas (from 20’ to 40’ away); peripheral areas (from 40’ to 75’ away); ultra-peripheral areas (more than 75’ away). Intermediate, peripheral and ultraperipheral municipalities were labelled as ‘inner areas’. They account for 53% of Italian 1

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Those territories are labelled by the strategy as “inner areas”. Inner areas typically feature small and sparsely populated settlements, and are affected by ageing, depopulation and impoverishment. At the same time, they often offer relevant environmental and cultural resources. Those classified as “Silver” by the Italian Rail Network manager.

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municipalities, 61% of its territory, and 23% of its population. Consistent with the principle of concentration of EU cohesion policy, the SNAI does not act on all the municipalities classified as inner areas, but concentrates in some selected ones (Barca et al. 2018). More in particular, 72 project areas were selected (from 2 to 5 areas per region), accounting for more than 1000 municipalities and over 2 million inhabitants. Their selection was grounded on a thorough methodology defined by the Technical Committee for Inner Areas (CTAI)3, based on a comprehensive set of both quantitative and qualitative indicators, and then further refined at the regional level also as a consequence of political decisions. Overall, the SNAI represents a test-bed of the place-based approach defined by Barca himself a few years before at the European level, in order to reformulate in territorialist terms the rationale behind the EU cohesion policy (Barca 2009; Cotella and Vitale Brovarone 2020). The development of the SNAI follows a learning-oriented approach. Each region identified a pilot area where the methodology was tested, so to fine-tune the methodological and operational aspects for the strategy implementation in the other ones. To involve all relevant stakeholders, the SNAI foresees focus groups and meetings. All involved actors contribute to the definition of the strategy, which begins with a draft strategy that sets the guiding principles for territorial development. Then, the strategy is fine-tuned, ideas becoming targets, actions and procedural frameworks. Once the complete strategy is approved by the CTAI, a framework program agreement is signed between the national bodies involved in the CTAI, the Region and the local territory (Lucatelli 2016; Tantillo 2015). The SNAI is a multilevel, multiactor and multifund process that brings local actors (public administrations, third sector and private actors) at the core of the process. In order to be eligible for funding, local authorities are asked to be organised in formal supralocal associated entities4. At the same time, the SNAI acknowledges the importance of regional and national coordination. As regards funding, it combines domestic and European resources: national programming funds are combined with the European Structural and Investment Funds (ESIF)5, and to a lesser extent with other public and private funds. In so doing, the Strategy lays at the intersection between top-down and bottom-up logics. It acknowledges the national level as the most suitable level for the provision of core services (health, education and mobility), and the local level as the best standpoint to identify the potentials for local development. In this light, prerequisites for development, in terms of education, health and mobility, are funded with National funds. Local development projects are defined by local actors and funded with European money. Most of the areas (especially in northern Italy) complement their strategies with other public funds and with private funds. The Regions play a key role in the process and for the allocation of funds. In particular, they manage both the 3

4 5

The CTAI is coordinated by the Department for the Cohesion Policy of the Presidency of the Council of Ministers, and involves a number of sectoral ministries. Moreover, in each project area regional, provincial and local authorities and stakeholders are involved in the CTAI. The legal conditions for municipalities’ aggregation depend on specific regional laws. The total budget devoted to the 37 areas that reached the implementation phase is €600 million. On average, the highest share of funding comes from ESIF, among which the main source is the European Regional Development Fund (Agenzia per la Coesione Territoriale 2019).

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Regional Operational Programmes (ROP) and the Rural Development Programmes (RDP) and they decide the amount of ESIF to be devoted to the SNAI through such programmes. Furthermore, the Regions flag up the strategic objectives, the timeframes and the financial resources set aside, setting percentages, axis, etc. Therefore, the regional level performs the role of connection and mediation between the national level and the local actors. The latter are responsible for defining development goals and directions according to each place’s specificities. Other regional and local actors, such as associations of municipalities, Local Action Groups, provinces, local associations and private actor also play important roles (Cotella and Vitale Brovarone 2020).

4 Two Sides of the Same (Place-Based) Coin? The experiences of the River Agreements and of the National Strategy for Inner Areas, that were briefly sketched out in the previous sections, present each their own peculiar features. At the same time, however, it is possible to identify a number of common elements through which to characterise the two approaches in a place-based perspective (Table 1). These elements are discussed below; the opportunities and limitations shown in relation to the reactivation of marginal areas and the rebalance of territorial inequalities in a sustainability perspective are then discussed. Table 1. Synoptic presentation of the main features of RAs and SNAI. Origin

Focus

Territorial coverage

Process

Actors

River agreements 2006, inspired by other EU countries, implements the directive 60/2000/EC Management and valorisation of rivers’ territories and landscape; enhance socio-economic development and community wellbeing 1500 local communities, 98 processes activated, 98 in start-up, 88 in course, 12 at the last phase of the process (Moccia and Voghera 2019) Flexible negotiated planning, voluntary agreement by local institutions and stakeholders. Coordinated by local stakeholders

All relevant public and private local stakeholders are involved in the multilevel governance and participatory planning process

National strategy for inner areas 2012, as a national test-bed for the place-based innovative approach to EU cohesion policy Reverse marginalisation trends, rebalance territorial inequalities; enhance socio-economic development and community wellbeing 72 selected areas (28% of inner areas), 1000 municipalities, 2Mln inhabitants, 45 areas reached the implementation phase (2019) Negotiated planning, formalized process and common methodology, strong central coordination and control by national bodies, relevant role of regional bodies Multilevel governance frame involving relevant public and private local stakeholders and supralocal actors (provincial, regional and national levels) (continued)

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Table 1. (continued) Funding

Integration (local plans and policies)

4.1

River agreements Absence of specific funding to implement the territorial scenarios defined by RAs Informed by and able to influence plans and policies at different scales and in different sectors

National strategy for inner areas Large amount of resources; on average, 17,4Mln € for each area, EU and domestic funds Territorial development strategy hinged within the EU cohesion policy framework; link with planning tools is neither formally defined nor mandatory

Origin, Focus and Territorial Coverage

The RAs were introduced in Italy in 2006, inspired by similar experiences in other European countries and as a way to implement the directive 60/2000/EC. The SNAI was launched in 2012, as a national test-bed for the place-based approach that was brought forward a few years before as an innovative approach to EU cohesion policy (Barca 2009). When it comes to their focus, the RAs deals with the management and valorisation of rivers’ territories and landscape, as assets upon which to enhance socioeconomic development and community well-being. The latter are also at the core of the SNAI, that aims to reverse marginalisation trends and rebalance territorial inequalities through the joint definition of local development strategies. In Italy we can identify 1500 local communities involved in RAs, 198 RA processes activated, 98 in start-up, 88 formally in course, 12 at the last phases (signing stage or implementation phase of the Action Program) (Moccia and Voghera 2019). The RAs are an experience which was mainly supported by the so-called National Table, a bottom-up organisation that includes institutional actors and diverse multidisciplinary experts; moreover, from 2018 the National River Agreement Observatory was created by the Ministry of Environment in order to promote a top-down coordination process of the RAs experiences. When it comes to the SNAI, on average, each project area is 700 km2 wide, involving 15 (from small to very small) municipalities. While inner areas constitute 61% of the Italian territory, the 72 areas selected for the implementation of the SNAI (2–5 per Region) represent 28% of the total of inner areas. By 2019, 45 areas reached the implementation phase. 4.2

Process, Actors and Funding

RAs are a form of negotiated planning, which begins with a voluntary agreement involving institutional and social stakeholders to define and implement a common multilevel strategic framework. It is a notably flexible process, also supported by selforganization practices. Notwithstanding, each RA has a “control room” with representatives of the most important stakeholder groups, which coordinates activities and outlines the agreement strategy. Recently, in the most interesting experiences (Voghera 2015; Voghera and Regis 2016) a territorialised scenario of strategies is reached in the form of a “territorial project”, which could allow vision of the “spatial” outcomes,

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guiding the process of revision and implementation of the agreement, and also revealing the physical and functional interactions between the various interventions envisaged. The SNAI is a form of negotiated planning as well, but its process is more formalised, even if it allows a certain degree of flexibility. As mentioned in Sect. 3, the national bodies involved in the CTAI set a common methodology to all the project areas, and there is a strong central coordination and control. After the project areas are selected according to the CTAI methodology, each of them follow a pre-defined procedure, whose steps and documents are co-developed and approved by the CTAI. Working groups, meetings and workshops involving all relevant local stakeholders are at the core of the process. On average, the definition of the strategy takes two years; then it is approved by the CTAI, the framework program agreement is signed and the strategy enters the implementation phase. Both the RAs and the SNAI aim to involve all relevant public and private local stakeholders. Moreover, the SNAI also involve supralocal actors, at the provincial, regional and national level, as it acknowledges their crucial importance in the process. Multilevel governance and participatory planning (i.e. through focus groups, thematic working groups, etc.) are at the core of both the RA and the SNAI. And both of them allow to give a voice to minor actors in territorial governance processes, and to organise punctual interventions into a collaborative system of actions grounded on places’ identity. As far as funding is concerned, RAs are characterised by the absence of specific funding to implement the territorial scenarios they develop. Regions are entitled to define the framework for the Agreements’ implementation and, as it occurred in Lombardy and Piedmont, this often involved the integration of a diverse set of European programmes and resources. On its hand, the SNAI provides marginal areas with a large amount of resources: on average, the budget for each project area is 17,4 million euro, combining European and domestic funds. 4.3

Relation/Integration with Other Plans and Policies

When it comes to the interaction with existing spatial planning and policies, RAs are informed by and able to influence plans and policies at different scales and in different sectors, from the regional to the local level, from spatial to water management plans. This occurs through specific mechanisms that are integral part of the RA process, as well as thanks for the overlapping of some of the actors involved in the latter with those dealing with ordinary planning and policy-making. On its hand, the SNAI is a territorial development strategy, and its link with spatial planning tools such as territorial and land use plans is neither formally defined nor mandatory. At the same time, however, it is firmly hinged within the EU cohesion policy framework, and it directly derives from EU programming logics. The Strategy timing overlaps with the EU cohesion policy programming period 2014–2020, in order to take advantage of various EU funding through the joint action of the two ROP and the RDP produced by each region.

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Opportunities and Limitations

The comparison of the RAs and the SNAI experiences allowed to identify a number of opportunities for future development, as well as some limitations and pitfalls that had characterised their implementation up to date. In analysing the Italian cases of RA (Voghera 2015), we can trace several common characteristics at process level and referring to project and technical contents, despite their differences. The process is a combination of varied range of administrative and private economic and social stakeholders (i.e. farming organisation, enterprises, associations), but it demonstrates a limited inclusion of the civic society. In technical terms, the RAs are characterised by a predominance, in the Action Plans (the strategic framework of the Agreements) of water and soil requalification actions. Landscape enhancement is a shared aim by all the different experiences for its important role in the social communication of the strategies, but is generally considered to be prevalently related to landscape fruition projects (cycle paths, panoramic roads). The strategies mostly refer to ordinary planning actions and feature largely technical contents (i.e. water management and security). The implementation of the actions envisaged is also subject to public funds that have already been allocated by existing planning and programming tools (Regional Plans, Rural Development Plans, EU funds). Whereas this can be read as a positive feature, as it shows a integration between RAs and ordinary planning activity, it also somehow subordinates the instrument’s success to external processes and, in turn, to the political will that has shaped them. Overall, it can be argued that RAs have proven effective in building an integrated territorial design linking diverse scales (from basin to local), and coordinating planning aims (protection of the soil and waters, environmental improvement, landscape enhancement, territorial development). In so doing, they contributed to integrate the visions of a broad range of actors and to enhance the cohesion of a community around a development, place-based scenario. On the other hand, they proved less effective in the implementation phase, as a consequence of the lack of dedicated resources. When it comes to the SNAI, its introduction certainly represents a turning point for Italian regional policy, as for the first time regional development challenges are not anymore framed in terms of north-south divide. Bringing the lenses of observation closer to territories, allowed for the detection of a larger internal variety and, in particular, for the identification of the intraregional disparities that characterize also the more developed regions. The SNAI contributed to funnel a large amount of financial resources into remote areas that have been, until then, left aside from the political and strategic development discourse. Thanks to this, local institutions have the occasion to play a part in multilevel and multi-actor processes, to which they could hardly have access before, both due to hierarchical logics and to weak institutional capacity. Moreover, the SNAI experience represents an unprecedented testbed for the development of innovative governance mechanisms aimed at fostering vertical coordination among territorial levels, as well as horizontal integration among policy sectors and funding programmes. The engagement of national, regional and local authorities from the strategy-making process to the implementation, and the mixture of top-down and bottom-up approaches that characterised the different dimensions of the process, as well as the learning approach adopted by the strategy, allows each actor to experiment

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cooperation from different perspective, in so doing potentially empowering their institutional capacity. However, eight years after its launch and with around half of the inner areas that are starting to implement their strategies, the feelings towards the SNAI are mixed. Whereas, on the one hand, it seems potentially capable of fostering important episodes of innovation, on the other hand, concerns are raising about its relatively small territorial coverage, its discretional implementation (that despite central coordination strongly relates to regional and local policy contexts), as well as on the difficulty of integrating funds that have different rules and procedures.

5 Concluding Remarks The RAs and the SNAI propose two different ways in which the place-based approach is implemented in Italy, contributing to the sustainable development of marginal areas. In both experiences, the territory and its actors represent the pivotal elements upon which to develop a strategic framework aiming at the functional regeneration, the preservation of heritage and the construction of networks of places, with the overall objective to identifying sustainable development models. The multilevel and multiactor scenario operates in overcoming the differences within the system and enhancing the “marginal” areas that can begin to cooperate. The scenario becomes the starting point to develop local and supra-local actions and to construct shared, strategic images useful to promote the EU objective of economic, social and territorial cohesion. In the RAs, the most relevant element is the integration of strategic basin scale and local operational actions. The RAs territorial design - strategic and operational at the same time - promotes community synergies and provides local actors with a common development perspective enhancing and managing in a medium-long term the territorial resources. At the same time, the SNAI aims to reverse marginalisation trends and pursue territorial cohesion through an ambitious and innovative integrated place-based approach, targeting multiple objectives, involving multiple actors, at multiple levels and with multiple funds. Also in this case local communities are at the centre of the process, with the action of the upper levels that concerns the promotion of effective vertical and horizontal coordination activities and the provision of development preconditions. A systematic reflection on these two experiences, to which this paper aims to contribute, could provide a contribution in view of the coming programming period and the opportunities it entails for our country. Similarly, it would allow for the identification of virtuous experiences that may represent as many sources of inspiration for other countries and, to a more ambitious extent, for the future development of EU spatial policies (Solly et al. 2020). At the same time, it will be important to see what the future EU programming period 2021–2027 entails in terms of opportunities, and what the future of the presented initiatives will be. At the time of writing, a new configuration of the SNAI is under discussion, and the RAs National Observatory is already lobbying for the inclusion of a dedicated funding channel.

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From Enabling People to Enabling Institutions. A National Policy Suggestion for Inner Areas Coming from an Action-Research Experience Laura Saija(&) and Giusy Pappalardo DICAR, Department of Civil Engineering and Architecture, University of Catania, Catania, Italy [email protected]

Abstract. The paper focuses on the challenges faced by planners committed to quality of life in ‘inner areas’ (i.e. distant from major urban poles and often affected by the decline of population, public services, economic performances, and/or ecological integrity). It presents research findings developed by a longterm action-research partnership between planning researchers at the University of Catania and the ‘Simeto Valley’ community, in Sicily (Italy). These findings show that an important developmental role can be played by formalized collaborative relationships between Institutions and the active part of their constituency, but only under the condition of a clear ‘enabling’ strategy not only targeting citizens but also institutions. Keywords: Inner areas


Capability approach
Institutional learning

1 Introduction In 2013, Italian Ministries officially agreed on a new development strategy dedicated to ‘inner areas’, implying investments of public resources in areas distant from major urban nodes and, often, suffering from the simultaneous decline of population, public services, economic performances, and/or ecological integrity. This National Strategy for Inner Areas (Strategia Nazionale per le Aree Interne, SNAI from now on) was a new call for public action for the benefit of communities that had been left alone for a long time. When this happened, the authors had already been working, for more than five years, in an inner area, the Simeto Valley – located about 50 km east of the Sicilian Eastern coast, in Southern Italy –, facing many of the issues raised by the SNAI. Our action-research work, developed in partnership with a network of local organizations and hundreds of residents, had already produced a strategic development plan, dozens of signature projects and a shared-governance system, all in line with the content of the SNAI. So much in line that it seemed natural to “knock at the Government’s door” asking for attention. We’ve had that attention, since a portion of the Simeto Valley was indicated in 2014 as one of the two Experimental Areas of National Significance within the SNAI framework. The journey through which this indication has turned into the official implementation of the SNAI in the Valley has been a long one, full of lessons that we believe are worth sharing within the planning scholarly debate on the matter. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 125–134, 2021. https://doi.org/10.1007/978-3-030-48279-4_12

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2 Institutions Vs. Community: The Planning Scholarly Debate This paper draws from our Simeto experience and develops a specific perspective on the role of collaborative relationships between institutions and the active part of their constituency in the development of inner regions. Planning scholars have debated at length on such an issue with arguments that differ on the basis of the various interpretations of what is a public institution and what kind of planning responsibilities it holds. Whether or not one agrees on the Hegelian idea that various forms of social organization needs to dissolve and trespass into State Authority, we can all agree on the importance of National States in the European social organization. Inspired by Rousseau’s theory on social compact, most European national constitutions give birth to public institutions that are based on a balance between the protection of negative rights (those already available in the state of nature, freedoms) and the provision of positive or civil rights (those not available in the state of nature). According to this legal framework, European citizens hold their Administrators accountable not just for the protection of their property rights, public safety, the right to free speech, but also for delivering high quality public education, affordable housing, public health care, etc. As a consequence, all European spatial Planning systems, despite their differences, consistently conceive spatial planning as “the methods used largely by the public sector to influence the future distribution of activities in space” (European Commission 1999, p. 24, authors’ emphasis). In particular, public planning is responsible not only for governing private spatial actions through police power, but also for shaping what scholars call ‘the public city’ (Di Biagi 1986; Bianchetti 2008), i.e. the spatial translation of the need for a roof to every family, a seat in the neighborhood school to every kid, enough public space for social interactions and mobility, etc. These were at least the foundations of the planning enterprise, which, however, have been facing significant criticisms. Many planning scholars have criticized traditional institutional planning and devoted significant attention to extra-institutional, participatory, community-based, bottom-up approaches. Critiques come from at least two opposite directions. On the one side, there are the liberal arguments born in the 60s, when social movements began criticizing institutional rational planning for being blind to the needs of the powerless, and scholars started to seek ways of practicing the planning profession outside city hall in support of oppressed communities (Davidoff 1965; Goodman 1971; Crosta et al. 1973). From there, several scholars have contributed to a planning theory debate on the need to change the very nature of institutional practices, making them more permeable to citizens’ contributions to decision-making (Arnstein 1969; Fisher and Forester 1993; Innes and Booher 1999), co-production of spatial practices (Albrechts 2012), and collaborative management of common goods (Ostrom 1990; Rydin and Falleth 2006). On the other side, there are arguments coming from a quite different political reasoning, with little connection with social justice values: those of the neoliberals that favor welfare privatization and want governmental responsibilities limited to the

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protection of freedoms. From their perspective, community-based planning comes out of the right (freedom) of citizens to take care of themselves without the need of paying taxes to an authoritarian government (Saija et al. 2020). The second argument is gaining terrain against the first one within the current push in European politics toward austerity (cutting back public expenditure; Blyth 2013), entrepreneurial public institutions (Harvey 1989), and a weakening of the post-war welfare systems. The planning consequences are relevant (Tulumello et al. 2020): while strong private actors have increasing influence over decision-making, the production of ‘public spaces’ is going out of fashion and labeled as ‘too expensive’. Public services are therefore systematically handed over (with lots of subsidies!) to the private sector and participatory planning is often used by neoliberal populist decision-makers as a ‘post-political’ device (to provide the illusion of inclusiveness while neutralizing political dissent; Swyngedouw 2009). In sum, the rhetoric of citizens’ engagement is currently contributing to a decline of our public institutions’ ability to fulfill their constitutional responsibilities. The debate on the planning relationship between public institutions and people takes a specific form in the case of ‘inner areas’. Here, traditional spatial planning, based on public-led redistributive strategies, cannot be fully applied, since there is very little to be re-distributed (shrinking real estate markets). New ‘neoliberal’ strategies, relying on private investments trickling down wealth for all, are also not an option, since there are not really many investors around. In addition to that, the blaming against technocratic institutions fades in the face of the proximity between small constituencies and their elected officials: as matter of fact, it is very likely that, in communities made of few hundred souls, every citizen has a relative or a close friend inside city hall. The same proximity characterizes inner areas’ private sector, made of small struggling entrepreneurs that would be hard to depict as ‘strong neoliberal forces’. Here collaboration between civic groups and institutions is the only way to evolve toward the future. Not surprisingly, then, the SNAI draws heavily from this idea of systematic collaboration between public institutions and active, competent, interested citizens, organizations, civic actors, etc. In the background, there is Nussbaum and Sen’s theoretical framework known as the capabilities approach. In their capital work on the concept of quality of life (Nussbaum and Sen 1993), they argue for the need to reconnect the concept of development with the one of welfare, which are traditionally perceived as antithetic (you either fund economic development, i.e. entrepreneurs whose success will trickle down to everybody, or public services for the poors). Quality of life has to do with living in a nurturing society, one that “enable people to live full and creative lives, developing their potential and fashioning a meaningful existence” (Nussbaum 2011, p. 185). This implies both innate capabilities as well as the ones that are developed through social interactions, education, political participation, etc. This perspective differs from the one of the self-made man at the basis of neoliberal development models, since it charges public institutions with responsibilities for the provision of those services and opportunities that allow capabilities’ development. It differs from the traditional welfare model, based on a paternalistic approach to service provision, due to the central role played by people’s active role in defining their space of self-fulfillment. This approach has heavily influenced the practice of social work and community development, especially within the field of international cooperation (Nussbaum 2011). The SNAI clearly

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draws from such a premise (Barca 2009) when, on the one side, provides resources to local public institutions aimed at enhancing public services while, on the other, requiring them to move beyond the idea of ‘helping’ passive beneficiaries. The SNAI asks local administrators to actively work with local actors in order to shape Area Strategies, i.e. place-based development strategies (Barca et al. 2012) made of strategic actions for the growth of capabilities. These actions are imagined as heavily co-produced and coimplemented by institutions and active citizens, following what is today known as the social innovation paradigm (Ciampolini 2019). From a planning perspective, the SNAI represents a very advanced effort to overcome the controversy whether or not ‘engaging people in decision making’ weakens or not public institutions. Within the SNAI framework, if you deal with ‘dying regions’, where institutions are very weak and both people and businesses are resourceless, the relationship between people and their public institutions is a highly fertile place to start from. Probably the only one.

3 Research Approach and Context This paper discusses the potentials and the challenges of community-institutions collaboratives, on the basis of lessons learned in one single action-research experience carried out in the Simeto River Valley, Eastern Sicily (Italy), by a partnership between planning researchers at the University of Catania, local grassroots organizations, and local administrators. The research approach called action-research is based on the assumption that, especially for applied disciplines like planning, scientific knowledge on how to address the most pressing social challenges can be generated while researchers are actually directly involved in action (Coghlan and Brydon-Miller 2014; Saija 2016). Scholars mostly agree on the fact that action-research can only be conducted by highly reciprocal partnerships between professional researchers and individuals and/or organizations with a stake in the research outcomes, where reciprocity means that professional and non-professional researchers are both co-researchers, sharing all research and action responsibilities (Whyte 1991; Reardon 2006). The development of research through action means that: partners agree on a set of research questions of common interest, develop research that is immediately applied and evaluated. Evaluation outcomes are used to reframe the questions so that more research is carried out and applied for a second try. This is a cyclical process that can be repeated several times before knowledge is proved to be applicable and effective through the evidence that the world has been ‘intentionally’ affected. This is the approach that we have experimented in the Simeto Valley: starting in 2007, with an informal partnership with local activists aimed at protesting the unsustainable model of development leading local decision-making1, we have used action1

The process began with an open conflict between Simeto activists and administrators caused by the proposal of building a mafia-owned incinerator in the Valley, which eventually evolved into a large social mobilization that led to a large community coalition committed to sustainable development (Saija 2014).

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research to develop a formal partnership between not just individuals but institutions: in 2015, the University of Catania, 10 Simeto municipalities and an umbrella organization grouping single citizens and community organizations called “The Participatory Presidium of the Simeto River Agreement” (the Presidium from now on) have officially endorsed a collaborative plan called the Simeto River Agreement (the SRA from now on). The SRA contains a new shared-governance system that directly engages Presidium and University representatives in decision-making for development (more details in Saija 2016; Pappalardo 2019).

Fig. 1. Municipalities endorsing the Simeto River Agreement, classified by the National Strategy of inner areas (darker reds indicate more “internal” municipalities).

The SRA development vision is based on a cultural and functional re-connection between people and the Simeto River ecosystem. The River runs around the southern slope of the Volcano Etna, toward the eastern coast of the island of Sicily. It is fed by the largest amongst the Sicilian hydrological basins (4186 km2). The so-called Simeto Valley encompasses the river’s upstream section and hosts a population of about 160,000 units residing mostly within a dozen of small towns immersed within a rich rural area (Fig. 1). Towns’ historic and cultural roots are deeply linked to the river and its resources. As a matter of fact, since the Neolithic age, humans have decided to build their settlements at the bottom at the volcano, taking advantage of its solid ground and of the proximity to the fertile alluvial plane as well as the abundance of natural water springs. After WWII, the rich rural productive system encountered the modernization paradigm, which generated changes in the landscape through wetlands remediation and hydraulic regimentation, industrialization of agriculture, and the rise of monoculture.

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The SRA wants to counteract this model and focuses on the circular economy paradigm applied to the agricultural sector. Today, local communities are facing most of the socio-economic and ecological challenges identified by the SNAI. The population decreases, median incomes are more than 20% less than the regional average and almost half of national average (see Table 1), while youth unemployment rate exceeds 50% and most young people decide to leave for good2. Critical socio-economic conditions are paired with ecological distresses3 not to mention a significant influence of the mafia over profitable economic activities (Saija 2014; Armiero et al. 2019)4. Table 1. Basic demographics in the Simeto valley (inner municipalities are all but Belpasso and Motta; data source: ISTAT data). Simeto valley Simeto inner cities Sicilian region Italy Population 2012–2016 −0,5% −1,1% −0,2% 0,0% Median income 2016 7.196 6.744 9.120 13.900

In line with the picture depicted by data, in our own experience we have witnessed dozens of individual stories of youth moving north not as a deliberate choice but as the only way to live in dignity, of elderly struggling to get the services they need, of school buildings falling apart, etc. Most of these issues are meant to be addressed by the SRA and were also the very first reason the Simeto action-research partnership decided, in 2013, to apply to the SNAI. In 2014, this led to the selection of the Valley as an Experimental Area of National Significance5 and the approval, in 2018, of the Simeto Area Strategy. The Strategy’s focus on public services is meant to complement the SRA’s focus on community development and it is expected to bring in about 30 mln Euros of public investments by the end of the 2014–2020 period. Such an accomplishment has not occurred easily and the challenges we have experienced we believe are relevant for the planning debate. In what follows we explain why.

2

3

4

5

In Sicily, from 2012 to 2017, the % of emigrant young graduates - 25/39 years old - grew dramatically from 21% to 28.2% (source: ISTAT-BES 2018). The most relevant ecological distress is connected to hydrological risks. For instance, 5% of Centuripe’s land (900 ha) is classified as hydro-geologically unstable by the Sicilian Region (source PAI 2014). For instance, the growing population of migrants (+281,8% between 2001 and 2011; ISTAT 2011) is largely subjected to illegal exploitation by the rural organized crime called caporalato (see the documentary called Terra Nera, produced by the “Catania CGIL Flai CGIL Union” in 2015). While Regions were supposed to select pilot areas, the SNAI national committee had the option to select a small number of ‘areas’ characterized by collaborative administrators and constituencies where they wanted to experiment the SNAI through a highly participatory approach. In this perspective, the shared governance structure embedded in the SRA made the Simeto Valley a good fit (Saija 2015; Carrosio and Moro 2018; Pappalardo 2019)

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Fig. 2. A community meeting at the Historic station of San Marco, one of the commons that is currently managed by a Presidium affiliated organization (courtesy of S. Ferlito)

4 The SNAI Experience in the Simeto Valley The first challenge in the SNAI process came out of the fact that, for technical reasons, only three of the 10 Simeto municipalities were chosen as ‘SNAI project area’, which led administrators to interpret the SNAI and the SRA as two separate journeys. Even though SNAI and SRA documents made explicit reference to each other and implied the application of the SRA shared-governance system in the preparation of the Simeto SNAI Strategy, this wasn’t obvious for local administrators. During the first phase of Strategy Drafting (2015–2016), the participatory methods applied during the drafting of the SRA (Saija and Pappalardo 2018) were not fully replicated and the outcomes of public assemblies and thematic workshops were only partially embedded in final documents (Fig. 2). In the face of a tangible public funding opportunity, local administrators had gone back to their comfort zone, relying on the advice of consultants in order to make efficient decisions on how to ‘slice the cake’. The outcome was a draft version of the “Preliminary Strategy” that was heavily criticized by the National and the Regional boards that jeopardized the ability of the Simeto community to obtain funds through the SNAI. The Presidium used a variety of strategies – including open protest and a controversial media campaign – to open up the conflict and push administrators for a change of direction. By the end of 2016, administrators agreed on putting the drafting the Final Strategy (second phase) in the hands of a steering committee composed not only by mayors, deputy mayors, and their consultants but also Presidium and University representatives (a replica of the SRA shared-governance structure). The committee worked closely with the national board and involved relevant stakeholders in the co-design of projects for a successful Final Strategy, approved in 2018, which calls for a permanent steering committee as well as participatory implementation and monitoring. During this phase, single administrators who had previously acted ‘very autonomously’, acknowledged, both privately and publicly, the importance of collaboration between public institutions and community activists. Right after the approval, though, political changes – mostly due to mayors’ last electoral mandates – put in charge of implementation (third phase) new representatives

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who have not ‘re-convened’ the steering committee and are disattending, in open conflict with the Presidium, the collaborative nature of the Simeto SNAI Strategy. Beside all the obvious comments on how hard but also rich collaboration could be, this experience calls for a more in-depth reflection on what is needed to develop productive collaborative frameworks for public institutions and community organizations committed to socio-economic development. Despite the ten years of work and all the good premises embedded in official documents, the Simeto community has not still learned how to do it. Looking at public institutions, where the resistance to collaboration seems to be higher, important lessons have occurred at the ‘people’ level – i.e. individual mayors, appointed officials, etc. – but not at the organizational one. The process has not yet produced structural change in the ‘institutional’ engine. In this perspective, as action-researchers, presidium members and university researchers are now reflecting on a potential strategy to reshape a new course of action-research that is more directly aimed at ‘deep and structural institutional learning’, going after lessons that are not just learned by individuals but become embedded in institutional procedures, maps, and codes of conducts.

5 Conclusions Our Simeto experience provides some insights on the challenges of collaboration between public institutions and the active part of their constituency in the development of inner regions. Such a collaboration is the bone of the Simeto SNAI Strategy but has, so far, remained on paper. Beside the bureaucratic obstacles faced by the SNAI in the entire Sicilian Region, there are clear obstacles at the local level related to the lack of institutional awareness and readiness to such a collaborative approach, despite the significant willingness of community activists to be helpful. Through action-research, Simeto activists have slowly developed a sharp understanding of local public institutions as ‘commons’ (Donolo 1997) and a willingness to genuinely collaborate with them: the community push for the Simeto River Agreement, first, and, then, the central role played by the Presidium in the development of the Simeto SNAI Strategy show a widespread interest and ability not only to monitor administrators’ behaviors but also to provide direct support for those public decisions recognized as the outcome of transparent processes for the public interest. Simeto activists have always used conflict and protest as a way to engage their administrators in highly constructive (and productive!) conversations. They have re-discovered the importance of their public institutions and they want to make them accountable for what they are supposed to do, expecting administrators to act consistently with the papers they sign. However, the ‘civic growth’ that has occurred amongst activists has not had a comparable Institutional counterpart. This lesson is relevant for the planning debate on, characterized by clear ideas on the need to ‘help people’s individual capabilities’ (Nussbaum 2011) and a significant focus on how to engage, support, and facilitate the grassroots (Goodman 1971; Fisher and Forester 1993, etc.). It is time to pay the same amount of attention and reflection to the institutional front. How do you go from individual to institutional learning on how to engage people in co-design and co-production for development? This seems a

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priority question not only for inner areas but for all the shrinking places where development actions are urgent and resources (in and out city hall) are scarce. Our work does not provide an answer, but identifies the opportunity to let ‘institutions’ have a real ‘action-research’ treatment: the long-term direct engagement of elected and appointed public officials in learning and action-research cycles, with direct inputs on public procedures, rules, maps, codes, etc. This requires overcoming the dichotomy between: – on the one side, those asking for a stronger public sector and more resources for public offices. In the Simeto Valley, more resources would be important only if officials learn how to use them differently and collaboratively; – on the other side, those who don’t believe in City hall and ask for a transfer of responsibilities toward the private and the non-profit sector; in the Simeto experience, the community innovators are the first ones advocating for strengthening public actors, refusing to take more responsibility over welfare. In our case, the scarcity of municipal resources at hand would not be an obstacle for the implementation of the Simeto SNAI Strategy, if public institutions are given the opportunity to genuinely learn how to collaborate with community organizations. The Simeto River Agreement and the SNAI strategy both contain potential collaborative solutions to many developmental issues that still need to be tested through practice. The fact that local administrators have not ‘paid attention’ to the content of the very documents they have endorsed, means that something is not right. The Simeto actionresearch process needs a new cycle, this time with administrators and public officials as main co-researchers.

References Armiero, M., Gravagno, F., Pappalardo, G., Ferrara, A.D.: The nature of Mafia. An environmental history of the Simeto river basin sicily. Environ. Hist. (2019). https://doi. org/10.3197/096734019X15463432086793 Albrechts, L.: Enhancing the creative potential of planning by using a coproduction perspective. In: Creative Connectivity and the Making of Place, pp. 867–874. ITB (2012) Arnstein, S.R.: A ladder of citizen participation. J. Am. Inst. Plan. 35(4), 216–224 (1969) Barca, F.: An agenda for a reformed cohesion policy. A place-based approach to meeting European Union challenges and expectations. Independent report (2009) Barca, F., McCann, P., Rodríguez-Pose, A.: The case for regional development intervention: place-based versus place-neutral approaches. J. Reg. Sci. 52(1), 134–152 (2012) Bianchetti, C.: Urbanistica e sfera pubblica. Donzelli, Roma (2008) Blyth, M.: Austerity: The History of a Dangerous Idea. Oxford University Press, Oxford (2013) Ciampolini, T. (ed.): Comunità che innovano. Prospettive ed esperienze per territori inclusivi. Franco Angeli, Milano (2019) Carrosio, G., Moro, G., Zabatino, A.: Cittadinanza attiva e partecipazione. In: De Rossi (ed.) Riabitare l’Italia, pp. 435–456. Donzelli, Roma (2018) Coghlan, D., Brydon-Miller, M. (eds.): The SAGE Encyclopedia of Action Research. Sage, London (2014) Crosta, P.L.: L’urbanista di parte. Ruolo sociale del tecnico e partecipazione popolare nei processi di pianificazione urbana. Franco Angeli, Milano (1973)

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Davidoff, P.: Advocacy and pluralism in planning. J. Am. Inst. Plan. 31(4), 331–338 (1965) Di Biagi, P.: La costruzione della città pubblica. Urbanistica 85, 6–25 (1986) Donolo, C.: L’intelligenza delle istituzioni. Feltrinelli, Milano (1997) European Commission: The EU compendium of spatial planning systems and policies (1999) Fisher, F., Forester, J.: The Argumentative Turn in Planning Theory. Duke University Press, Durham (1993) Goodman, R.: After the Planners. Simon & Schuster, New York (1971) Harvey, D.: From managerialism to entrepreneurialism: the transformation of urban governance in late capitalism. Geogr. Ann. 71B, 3–17 (1989) Innes, J.E., Booher, D.E.: Consensus building and complex adaptive systems. J. Am. Plan. Assoc. 65(4), 412–423 (1999) ISTAT-BES, Rapporto BES 2018: il benessere equo e sostenibile in Italia, ISTAT, Rome (2018). https://www.istat.it/it/files//2018/12/Bes_2018.pdf. Accessed 6 July 2020 ISTAT 2011 stands for the 2011 National Population Census carried out by ISTAT (which is the Italian census agency) Nussbaum, M.C., Sen, A. (eds.): The Quality of Life. Oxford University Press, Oxford (1993) Nussbaum, M.C.: Creating Capabilities. Harvard University Press, Cambridge (2011) Ostrom, E.: Governing the Commons: The Evolution of Institutions for Collective Action. Cambridge University Press, Cambridge (1990) PAI 2014 refers to the Regional Watershed Management Plan that has been released in 2014 by the regional government. http://www.sitr.regione.sicilia.it/pai/aggiornamenti.htm. Accessed 6 July 2020 Pappalardo, G.: Coesione territoriale e coesione interna nelle Aree Interne: questioni di governance d’area. Territorio 89, 112–122 (2019) Reardon, K.M.: Promoting reciprocity within community/university development partnerships. Plan. Pract. Res. 21(1), 95–107 (2006) Rydin, Y., Falleth, E. (eds.): Networks and Institutions in Natural Resource Management. Edward Elgar Publishing, Cheltenham and Camberley (2006) Saija, L.: Proactive conservancy in a contested milieu: from social mobilisation to community-led resource management in the Simeto Valley. J. Environ. Planning Manage. 57(1), 27–49 (2014) Saija, L.: ‘Questa politica parla di noi!’ Breve storia dell’autocandidatura della Valle del Simeto. Territorio 74, 108–114 (2015) Saija L.: La ricerca-azione in pianificazione territoriale e urbanistica. Franco Angeli (2016) Saija, L., Pappalardo, G.: An argument for action research-inspired participatory mapping. J. Plan. Educ. Res. (2018). https://doi.org/10.1177/0739456X18817090 Saija, L., Santo, C.A., Raciti, A.: The deep roots of austere planning in Memphis, TN: is the fox guarding the hen house? Int. Plan. Stud. 25(1), 38–51 (2020) Swyngedouw, E.: The zero-ground of politics: musings on the post-political city. New Geogr. 1 (1), 52–61 (2009) Tulumello, S., Saija, L., Inch, A.: Planning amid crisis and austerity: in, against and beyond the contemporary conjuncture. Int. Plan. Stud. 25(1), 1–8 (2020) Whyte, W.F. (ed.): Participatory Action Research. Sage, Thousand Oaks (1991)

Which Agenda for the Italian Suburbs? Debating a Marginal Condition in Few Steps Lorenzo De Vidovich(&) Department of Architecture and Urban Studies, Politecnico di Milano, via Bonardi 3, 20133 Milan, Italy [email protected]

Abstract. At a time when the seek for a broader understanding of contemporary suburbs is finding a reasonable global consideration, a specific attention to the suburbanisms, i.e. suburban ways of living, is still a slightly unexplored issue in the governance agenda. Despite the significance of insightful researches, studies and theories of Italian urbanization, Italian suburbs look wedged between urban and rural agendas, without finding a reasonable framework on which to build further strategies aimed at tackling the increasing socio-spatial inequalities that are unevenly shaping Italian in-between urban edges. According to these viewpoints, the paper employs a theoretical discussion of the marginal condition experienced by Italian suburbs, framing such marginality in few steps. First, the paper runs into the complexities of “suburban Italy” in a post-suburban framework. Second, moving from these first insights, the existence of Italian suburbs is questioned in analytical terms. Third, the paper set out the conditions from which to observe the lack of strategies for the Italian urban edges, entrenched between rural and urban agenda. To conclude, a body of final remarks for further studies is introduced towards an operational setting of suburban studies with reference to Italy. Keywords: Suburbs


Suburban governance
Urban margins
Italy

1 Excavating the Suburban Italy Although Italy presents contextual specificities that are anything but suburban, the affirmation of suburban studies over the last decades [1, 2] entails a global understanding of the contemporary suburban forms by emancipating the term “suburb” as a broadminded concept encompassing a number of theories, approaches, definitions as well as governmental challenges that make the suburban a leading field of study to understand the complexities of 21st century urban forms. Italy is not immune to the proliferation of suburban studies and is not lacking in researches about the contemporary understanding of the urban [3–5]. An overwhelming epistemological fragility [6] affected the study of suburbs over the last decades as a result of the heterogeneity of suburban forms worldwide, whereas a number of investigations addressed the socio-spatial changes behind suburbanization on a global scale [7, 8], where suburbanization is seen as the combination of noncentric population and economic growth with urban spatial expansion [9, 10]. A focus © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 135–146, 2021. https://doi.org/10.1007/978-3-030-48279-4_13

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on Italy enable to tackle the persisting epistemological fragility that affect the concept of suburb at a time where significative research updates and contributions have been released, with particular reference to the suburbanisms, i.e. the suburban ways of living that simultaneously involve governance issues, land transformations and infrastructures’ development [9, 11–15]. In general terms, suburbanization is a massive process occurring worldwide that is shaping and defining the new (sub)urban peripheries across the globe [see 16]. Yet, excavating the national contexts of how urbanization took place according to the landscape features of a country may grasp a number of site-specific issues within a broader suburban debate. In so doing, the research attempt is to embrace a complex understanding of suburban as a body of studies rather than a concept grounded on the observation of Anglo-Saxon contexts primarily. In this respect, Italy is a pivotal area of investigation as, likewise the majority of European countries, it presents many differentiations from the traditional identification of suburbs as monocentric residential enclaves for middle-classes identified according to specific features, such as low-rise single-family dwellings, homeownership, automobile dependence, etc. [17–20]. Over the last decades, the notion of post-suburbia [21, 22] found a great deal of attention as an encompassing term to account for the profusion of concepts related to the suburban forms and features, by also tackling site-specific economic, demographic, geographical, institutional and cultural conditions [23] that lead into collective governance articulations for the “suburban constellations” [11]. On such basis, a crucial role is here awarded to post-suburbia as a complex framework able to trigger policy approaches that give centrality to suburban complexities. With reference to Italy, this article theoretically discusses the lack of a comprehensive governance for the in-between [24] towns located at the edges of the (few) Italian urban cores. The aim is to observe the reason why specific (sub)urban agendas tailored for suburbs are not put in motion in Italy, by pointing out that in terms of governance, few policy innovations and implementations, as well as place-based projects, are enacted. The in-between condition refers not only to a geographical identification where urban and rural intermingle, but also to a conceptual understanding of territories sharing similar governance knots. In this respect, Italian suburbs look engulfed in broader metropolitan trajectories where little attention is devoted to the territories at the edges of an urban core. In sum, strategies of metropolitan development and planning are much calibrated on the urban cores of each specific metropolitan area (or, institutionally, the “metropolitan city”) rather than involving also its outskirts. In addition, to the opposite, a particular priority is devoted to the so-called aree interne (inner areas), i.e. the rural settlements facing a great depopulation since years and located on a marginal position in the national investment for economic, territorial and social development. This paper stresses how suburbs are wedged between these two agenda, raising a marginal condition that must be investigated in view of the pivotal role played by suburbs in the urban transformations of the 21st century [13]. Such debate is undertaken in the next sections as follows. First, the adoption of the notion of “suburb” referred to Italy is challenged. Second, the marginal condition of suburbs in the (urban) governance agendas is addressed by first accounting for the heterogeneities of suburban forms through Italy, and then by enhancing their wedged position between “metropolitan” and “rural” agendas. To conclude, further research and, at a glance, governance directions are proposed.

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2 Do the Italian Suburbs Exist? The large majority of the literature from Italian urban studies advocate the inadequateness of the term “suburb” to observe and study the urban edges of Italy. Such viewpoint is actually in line with the conception of the European city as a more compact, less dispersed, less social segregated entity compared to the hegemonic Anglo-American model that from the Chicago School during the 1920s until the end of the 20th century has worldwide dominated the interpretation of modern cities. Nonetheless, the confrontation between European and North American experiences has become cumbersome as it neglects the importance of most other global suburbanization experiences [25]. By isolating this noteworthy conceptual issue, this section reconsiders the question posited by Vaughan et al. [6] wondering whether suburb exist, by adapting it to the Italian context. The transformations of the idealtypical European city is the backdrop of such inquiry. European cities are frequently surrounded by sprawled settlements with a heterogeneous social class basis than that of US suburbs, and rarely developed on the scale or the low-density and automobile-dependent pattern found in many US cities [26]. To face the constant urban growth, European cities preserved an urban dimension through densification and new territorial organizations among differently sized cities, instead of a large concentration of many metropolises [27]. Bontje and Burdach [28] argue that the recent European suburban developments can be conceived as a typical variation of the American ‘edge city’ [29], albeit the adaption of such concept shall be calibrated in the light of institutional European transformations at different territorial scales [30]. In sum, differently from the US, Europe is made of dynamic medium and large cities equipped with several attractions (such as universities, cultural centres and festivals, design and art galleries, and especially the historical city centres) and four dynamic “global cities” [31, 32], i.e. London, Paris, Frankfurt and Milan, according to the latest ranking by “Globalization and World Cities” research networks (GaWC) at Loughborough University1. Drawing on Hall and Pain [33], polycentrism comes as a key concept to observe the nature and the contemporary morphology of European urban areas, whereas the typical North American suburban pattern is just partially reproduced in settlements of single-family dwellings at the edges of the urban nodes and towns. In this respect, “in-between city” (Zwischenstadt) [24], is a meaningful concept that well describe a new form of urbanization where the rural and urban intermingle as a consequence of the long-standing fragmented decentralization of the compact European cities. The European specificities indicates a different history of (sub)urbanization for the large majority of countries, including Italy. Urbanization significantly interested Italy from the Second post-war period, i.e. between 1950 to 1970s, although a territorial reorganization was already in progress after the national unification in 1861 [see 34].

1

Globalization and World Cities research network at Loughborough University: https://www.lboro.ac. uk/gawc/index.html. The ranking is constructed upon four strategic sectors: insurance, advertising, banking and legal. For the latest classification and for more info regarding how the index has been created: https://www.lboro.ac.uk/gawc/world2018link.html.

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Processes of landscape transformation were led by manifold phenomenon that hamper any attempt to frame such urban expansion into consolidated analytical frameworks. In this view, the history of the “diffused” Italian urbanization has little to do with the sprawl dynamics of the North American suburbanization [35]. The formation of diffused cities (città diffusa) is largely considered a fundamental process of contemporary Italian urbanization, resulting in a number of different territorial transformations related to uneven changes in the industrial production, in agriculture as well as in the internal migration from rural areas to the few urban nodes, identified with Milan, Rome, Turin, Genoa and to a lesser extent Naples. Diffused urbanization is the rationale behind the model of città diffusa, albeit they are two distinguished phenomena. The latter shaped the Italian urban transformation of the late twentieth century beyond the few urban poles of the country, according to three specific features different from the traditional urban peripheries [36]: (1) a middle-class (sub)urban fabric; (2) the presence of the productive districts leading the diffused expansion, and, more important, the reproduction of urban public services and facilities, albeit as not implemented as in the urban cores; (3) the automobile-dependence due to the low demand of public transport infrastructures. This territorial transformation has been guided by private market through a capitalistic exploitation of the territory [36, 37]. Such model was and still is based on the changes of local communities into urban and subsequently metropolitan ways of living adapted to “dispersed households” [38]. Diffused city came up from an “urban demand” in formerly non-urban places, albeit such diffusion has not been accompanied by an adequate institutional attention [35, 39], also due to the large territorial gap between North-Central and Southern Italy. From the late nineties onwards, the increasing social polarization within compact and big cities brought to a more articulated conformation named “metropolitan archipelago” [40, 41] to enhance how functions and social fabric are reproduced in a different built environment compared to the urban cores. The evolution of these archipelagos steered the most contemporary debates on large areas planning before [42], and about the definition of metropolitan areas later [43, 44]. During the second decade of 2000s, Italian scholars within urban planning welcomed theories and perspectives involving the so-called “new urban question”, i.e. the approaches tackling a new epistemology of the urban [45] beyond the urban-rural divide and the urban triumphalism [46] that legitimized discourses levelled on the “urban age” [47]. In particular, processes of regional urbanization [48] sparked the attention of a national research project entitled “Territori post-metropolitani come forme urbane emergenti: le sfide della sostenibilità, abitabilità e governabilità” (PRIN Post-Metropoli), aimed at investigating the new urbanities of Italy according to three epiphenomena listed by Soja [48] and reconsidered by the research group with reference to Italy [3, 49]: (1) the emergence of a different suburban ways of living, framed here as “suburbanisms” [50, 51]; (2) the mixing of urban and suburban forms, resulted in the raise of “urbanities” in formerly non-urban areas; (3) the combination of decentralization and recentralization, tied to the expulsion of some urban functions (and populations) in peri-urban contexts, generating new centres and clusters on the one hand, and new geographies of the urban on the other; and (4) the emergence of a widely discussed polynucleated urban forms in globalized city-regions [see 52]. In sum, “PRIN Post-Metropoli” set out the need to foster novel understandings of the contemporary urban forms of Italy.

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Such a brief overview moves Italy away from suburban interpretations. Yet, it may be argued that “the suburban” is running into an unpacking process aimed at pointing the theoretical choices involved in defining suburbs and suburban ways of living as objects of studies, rather than pursuing an unruly usage of the concept of “suburb” to describe what stands beyond the city, within metropolitan areas and on a peripheral location [2]. Such clarifications do not see suburb as a one-size-fits-all concept. Rather, drawing on the most recent international researches on global suburbanisms, a contemporary attention to suburbs entails an encompassing perspective to globally study urban edges in their multidimensional complexity, whereas suburbanization serves as a vantage point from which to theorize contemporary urban society overall [51].

3 A Lesser Story: Suburbs Between Urban and Rural Agendas The recent collective research endeavour “Global Suburbanisms: Governance, Land and Infrastructure in the 21st century”2 made visible the pivotal role played by suburban change in transforming urban habitats and urbanities across the world, and its research insights also indicate valuable trajectories for further governance challenges for the Italian urban areas [53], with both reference to the urban nodes (or rather, metropolitan cities) and the settlements of “diffused cities” scattered especially across regions of Northern and Central Italy, such as Veneto, Emilia-Romagna, Tuscany and Marche. Nonetheless, a specific attention targeted on the suburban question entails a territorial identification with the in-between territories located at the edges of the few urban nodes of Italy, i.e. Rome, Milan, Naples as firsts, due to their key importance even in contemporary Italy, where Rome is the institutional and political centre of the country (to not mention its well-known historical heritage), Naples is the main urban node of the historically stricken Southern Italy, and Milan is the national economic centre attracting human capitals, investments and international brands. Taking these three cities as example – and the metropolitan cities associated to them3 – the suburban enquiry faces important socio-economic and socio-spatial heterogeneities. The inbetween ring-municipalities at the outskirts of Milan experienced a depopulation due to the industrialization process (for e.g., Sesto San Giovanni, the town hosting important factories such as Breda, Falck and Pirelli, saw e decrease from 95.833 inhabitants in 1981 to 81.393 in 2018, ISTAT data), as well as a population replacement, as for the case of Pioltello, where the neighbourhood “Satellite” was formerly inhabited by migrants from Southern Italy arrived to Milan during the economic boom and now is a cosmopolitan enclave hosting migrants from numerous countries, from Saharan Africa to Latin America, from Asia (in particular from Bangladesh, Pakistan) to Eastern Europe. 2

3

More info about the international research “Global Suburbanisms: Governance, Land and Infrastructure in the 21st century”: https://suburbs.info.yorku.ca/. Città Metropolitana (“Metropolitan City”) is the institutional level established by the Law 56/2014, “Legge Delrio” to replace the Provinces of fourteen Italian cities: https://www.camera.it/temiap/ documentazione/temi/pdf/1104880.pdf.

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Beyond the contemporary societal changes, the whole urban region of Milan is today a territory composed by many interlinked territorial systems around an urban core, involving also other provinces (Monza and Brianza, Varese, Como, Bergamo, Lecco, Lodi, Pavia). The contemporary city-region may be observed looking beyond the metropolis and its enduring planning history [see 54]. Suburbs of Rome, located in an large area that maintain a rural vocation (the socalled agro romano), saw a quite different recent history, as some towns exploded in both territorial and demographic terms (such as Fiano Romano, +64,8% of inhabitants between 2001 and 2011, and Capena, +62,8% in the same time-frame, ISTAT data) and some others maintained a stable demographic trend by seeing transformations in the connectivities to the (huge) urban core of Rome, as for the case of the municipalities along Via Tiburtina [55] Here, productivity little rely on economic sectors and exports, but it is rather fuelled by local markets of medium and small enterprises. Whereas in Milan process of regional urbanization [see 48, 56] are high visible in the consolidation of urbanities in the in-between towns around and beyond Milan, in Rome such process assumes the characters of a regionalization of the suburbs with predominant residential functions, through processes of “peripheralization” in and beyond the large administrative perimeter of Rome. In Naples, the territories of the hinterland are rather pieces of a complex “urban kaleidoscope” [57] where a plurality of features are intersected: a composite urban fabric, a long-standing governmental weakness that paved the way for the establishment of illicit activities, an emerging polycentric landscape [43], a paradigmatic role in embedding tensions and deprivations rooted in Southern Italy [58], and a body of overall territorial and socio-economic s-regulations that highlight considerable imbalances [59]. Within and beyond Naples, relevant forms of social polarization emerged between the poorly equipped peripheries and the well-off areas of the city centre, hence unveiling a two-speed urban growth. Nevertheless, alongside a growing deficit of development and organizational capabilities, a number of social groups, companies and networks are managing to produce innovation in a highly fragmented context of microbusinesses with a substantial industrial tradition in the food and textile sectors [57]. Such seek for better economic dynamism characterizes the contemporariness of socioeconomic development in Naples, although poverties and inequalities persist. This threefold observation presents some limits. First, it is grounded on the three main Italian cities, and due to the regional and contextual peculiarities crossing the whole Italy, any generalization is not possible. Second, the debate is here strongly focused on the urban edges (or, to use a European concept, the “in-betweennesses”). Nonetheless, further debates should include insights from the settlements emerged with the model of diffused urbanization, rather than in a complex sprawled urbanization, whether it takes place in an extended urbanization [60] modifying rural landscapes as for the case of Rome, or through an urbanization of the hinterland [61] as occurred in the metropolitan area of Naples. The aim of such exemplification through the cases of Rome and Naples, is that of advocating the heterogeneity of suburbs in Italy which, as elsewhere, are fragmented in pocket of wealth and poverty [62]. Yet, such statement would be substantiated by data about incomes from an economic perspective, or by addressing the accessibility to basic services, from a posture oriented on social issues.

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The diversity of urbanization processes and urban edges among the three main urban nodes of Italy enable to acknowledge a marginal condition of suburbs in the inter-institutional territorial agendas, mirrored, for instance, in a lack of social innovation practices compared to the urban cores [63]. According to the increasing importance of suburban governance in tackling social marginalization, inclusiveness, segregation and redistribution of resources [10, 64], the attention to the Italian urban edges pointed out in this paper raises a lesser story in governance agendas. Taking into account the broad field of public utility services (whether they are schools, municipal services, transit networks, etc.), the delivery of such services involve a key question: what are the governmental and governance dimensions that regulate provision in urban edges unevenly developed at the outskirts of urban nodes? What are the main elements affecting the accessibility or non-accessibility to basic services in suburbs? Or rather, what are the shapes of suburbanisms (suburban ways of living), with reference to the Italian context? In Italy, in terms of policy agenda, suburbs look wedged between two current policy developments: on one hand, the “PON Metro, Programma Operativo Nazionale Città Metropolitane 2014–2020”4, funded by ERDP (European Regional Development Fund) and ESP (European Social Fund) programmes, and grounded on the metropolitan rationale; on the other hand, the “National Strategy for Inner Areas”5, funded by national resources into the economic politics for cohesion to tackle the demographic decline and reinvigorate services and developments in rural areas. However, the envision of agendas for what stands in-between these two important strategies, is an unexplored issue. Although embedded in metropolitan areas, Italian suburbs may experience lacks and shortages in the access to services, as in the case of the “inner areas”. This is a consequence of the constant urban expansion of the few Italian metropolitan nodes, mirroring a worldwide process, although affected by very site-specific and national features. In Italy, urban edges seem to be still in the background of governance agendas for (post-crisis) development. For such reasons, investigations are called to get into the specificities of local contexts.

4 Conclusion: Suburbs Matter Within the conference framework of “New Metropolitan Perspectives” and the panel aimed at discussing valuable solutions to tackle territorial inequalities, this paper brings the “suburban question” as a pivotal field of analysis to study the 21st century urban transformations and the socio-spatial inequalities crossing urban areas as a whole. In particular, the theoretical dissertation proposed in this short essay accounts for the marginal condition faced by Italian suburbs – identified with in-between urban edges – in the institutional governance agendas. In doing so, the acknowledgment of such a marginal condition has been debated in few steps. First, the paper built the basis from which to excavate suburban identifications across the Italian landscape, by stressing

4 5

PON Metro 2014–2020: http://www.ponmetro.it/. Strategia Nazionale per le Aree Interne: http://www.programmazioneeconomica.gov.it/2019/05/23/ strategia-nazionale-delle-aree-interne/. http://old2018.agenziacoesione.gov.it/it/arint/.

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how the current post-suburban framework enable the adoption of “the suburban” as a comprehensive body of theories, terminologies and researches. Second, the paper observed the non-suburban features of Italy, relying on the key role played by a “diffused urbanization” model in shaping the post-war urbanization one the one hand, and on the resent researches aimed at exploring the new urbanities of Italy (such as the national programme “Post-metropoli”), on the other hand. Such inquiry has been addressed by adapting to Italy the question naming an article by Laura Vaughan et al. [6] (Do the suburbs exist?). Since suburb is not an adequate concept to observe urban edges of Europe and Italy as well, the riposte to such question involves the intricate and challenging attempt to foster post-suburban perspectives as privileged points from which to study and observe sub-urban transformations globally. According to such framework, the marginal condition of Italian suburbs has been discussed with reference to their compressed positionality between metropolitan agendas (encouraged and funded by PON Metro programmes) and rural agendas, with reference to the National Strategy for Inner Areas. To conclude, a number of final remarks are worthwhile to set out further investigations, particularly by virtue of the fact that this paper is not grounded on empirical outcomes. First, further navigations into suburban studies are to be connected to the seek for conceptual order amongst the increasingly numerous and fruitful new theories of the urban, from post-metropolis to planetary urbanization, from global suburbanisms to extended urbanization, even by dislocating the Euro-American centrality of theoretical production about the urban [25] towards a deep acknowledgment of the multiplicity of urbanisms constituting the contemporary world system [65], particularly at a time when the urban world is increasingly suburban [66]. Second, the pursuit of broader understandings of the suburban as a conceptual viewpoint to observe contemporary urban world would benefit from applied researches about governance of suburban areas, by addressing manifold policy fields: social and welfare policies, transit networks, basic goods delivery (such as water, sewage, energy, etc.). Further inquiries from the contents of this paper may benefit from a general framework calibrated on local welfare [67–71] to tackle the complexity of public services’ provision, by recasting and innovating local welfare studies and frameworks through a (post)suburban approach. In sum, urban edges may play a pivotal role in shedding light strengths and weaknesses of local welfare models, as they are calibrated and consolidated on the urban scale and the centre-periphery dualism, according to the body of longstanding debated themes of urban regeneration, social cohesion in deprived neighbourhoods, participation and liveability in social housings, the enhancement of citizens’ role in service delivery through a focus on their capabilities [72], etc. Third, the identification of suburbs as places embodying a lesser story may not push towards misleading interpretations of suburbs as places constrained to a minority status. According to the former point calling for further studies “at the edges”, such marginal condition is not defined a priori. The dominance of two agendas – PON Metro and the National Strategy for Inner Areas – is here addressed as a starting point from which to corroborate or refute such research hypothesis. This point invokes the recent attention dedicated to the recent seminal studies of the “revenge of places that don’t matter” [73], which revealed how people living in rural areas, shrinking cities and, in general,

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increasingly impoverished areas far from the urban cores, have reacted to rich-poor divide and institutional abandonments with populist behaviours in both Europe and US. Italian urban edges are not immune to such debate, as indicated, for instance, by the metropolitan city of Milan, where all the towns surrounding the city switched to rightwing governments over the last years, while Milan maintains a centre-left wing administration. Yet, when the rationale of places that do not matter is referred to Italy, it would suggest that places like the numerous towns of Southern-Italy entrapped between depopulation and weak local government, or the midtowns of EmiliaRomagna region, where right-wing preferences have emerged in a historically left-wing region, or again the in-between cities fuelling the productivity of Milan with their cityusers, are relegated to a secondary role. To the opposite, in a country made by few urban nodes and a plethora of midtowns and cities as Italy, the places that in Rodriguez-Pose’s argument do not matter actually play a pivotal role to understand the contemporary societal and socio-spatial changes, as well as the intra-national inequalities. Italian urban edges, in their diversity and complexity, matter to connect socio-spatial transformations with debates regarding future governance agendas, just like Detroit is a key observatory of the struggles involved in social and spatial redevelopment of a declining American city [74, 75], although it also represents the quintessential of a place that does not matter in Rodriguez-Pose’s word. Further research pathways based on these three latest remarks may steer the identification of a foundational basis to tackle the marginal condition of in-between Italian urban edges in the governance agendas, where such in-betweenness is framed firstly as a conceptual landscape that connects territories with similar tensions to which some Italian agendas (PON Metro and “Inner Areas” strategy) are blind.

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The “Economy of Beauty and Culture”. Routes for the Integrated Sustainable Enhancement of the Internal Areas of Alta Irpinia Rosa Maria Giusto(&) National Research Council Italy (CNR), Institute for Research on Innovation and Services for Development (IRISS), Via G. Sanfelice 8, 80134 Naples, Italy [email protected]

Abstract. The internal areas of Alta Irpinia, long considered marginal, represent a reservoir of material and immaterial cultural resources which, suitably valued, can contribute to the development of historical centres and villages whose characteristic system of social and economic relationships, which has survived over the centuries, risks disappearing. From the analysis of the strengths and critical points detected and the initiatives activated within the National Strategy for the Internal Areas, a picture emerges that identifies the local cultural, historical-artistic and architectural heritage as the poles around which to start redevelopment strategies place-based focused on knowledge and on the “beauty and culture market” as policies for sustainable tourism aimed at promoting environmental, cultural and territorial resources. The critical issues on which to intervene suggest the strengthening of the cultural identity of the places starting from the construction of a territorial system of analysis and knowledge of the local heritage as a primary resource to invert the alarming unemployment trend and avoid abandonment and desertification phenomena. Starting from these considerations, particular attention was paid to the links between architecture, urban fabrics and the environment to outline long-term sustainable integrated valorisation scenarios where cultural resources and local development support each other in the belief that “the knowledge aspect represents the first form of protection” [1]. Keywords: Internal areas
Alta Irpinia development
Integration strategies


Knowledge system
Local

1 Introduction The territory of Irpinia, in the extreme central-eastern part of Campania, includes a long Apennine belt and is marked by an area of particular landscape interest where nature and the environment intertwine with the ancient local artistic and cultural traditions, the result of influences and different ancestries, coming from the main irradiation centres Naples and Salerno - and from the “lands of the East”, represented by the neighbouring territories of Puglia and Basilicata. These identity roots bear their distinctive signs in the various historical centres and villages whose prevailing characters reveal a clever tangle of construction methods and techniques as a consequence of the direct impact of © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 147–156, 2021. https://doi.org/10.1007/978-3-030-48279-4_14

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the large feudal patron families and local shops, a precious testimony of a sedimented cultural tradition still partly recognizable. Although the first implants in the city date back to the Samnite age, most of the early medieval towns of Irpinia, as the toponyms themselves reveal, stood around the castle located on the heights where it used the natural slopes for defensive purposes. Subsequently equipped with walls, later incorporated into the houses, they keep traces of the past conformation occurred by progressive welding of villages and farmhouses, giving rise to a polycentric organization of the territory, as evidenced by the castles of Torella dei Lombardi, Bisaccia, “Sant’ Angelo” dei Lombardi, Rocca San Felice, Calitri, Caposele and Teora, to name just a few, which constitute the poles around which their respective urban centres have coagulated, whose facilities reflect the logic of the castle. From the Middle Age to the modern age, the urban configuration of most of the historic centres of Irpinia is outlined, which, despite the evident diversity and variety of the morphological solutions used, are united by a flowering and by an economic and cultural development dating back mainly to the Renaissance period, when the local economies are consolidated and there is greater local growth and development. The main urban and architectural transformations continued throughout the seventeenth century to stop in the eighteenth century reaching, after the unification of Italy, a condition of declared backwardness sharpened by political and territorial issues that trace a clear border between main nuclei and internal areas, the result of the progressive isolation due to the almost total absence of infrastructures and networks of connection with the municipalities distributed along the routes of the Apennine ridge. A condition irreparably aggravated by the brigandage that impoverishes and further isolates the territory causing the start of the much reviled “Southern question” as a dramatic implication of the absence of political planning, even before being territorial and economic, capable of investing sufficiently in infrastructures and connection systems necessary to guarantee a network of social and aggregative relationships, indispensable for the maintenance of territories difficult to connect.

2 Settlement Forms and Cultural Heritage. The Local Development Program of Alta Irpinia The peculiar characteristics of the internal urban settlements of Irpinia, such as those of most of Apennine Italy, are a prevalent consequence of the particular boundary conditions - limited availability of soils; rough and poorly connected paths; prevailing agricultural livelihood economy; type of client - of which they tell the tenacious survival in a condition of forced isolation. Precisely the urgency of intervening with innovative tools and methods to reverse the alarming socio-economic and demographic data deriving from the country’s structurally weaker territories, has led to the launch, since 2013, of a National Strategy for Internal Areas (SNAI) promoted by the Ministry for Territorial Cohesion and which has become a priority element in territorial development and growth policies. The internal areas, rough [2] and marginalized, identified and “categorized” because of the greater or lesser “conditions of disadvantage and partial limitation of rights and opportunities” [3] experienced by the populations who live there compared to those found in urban contexts of reference, present

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“unstable development trajectories” even though they are endowed with precious potential missing in the central areas. These are small and medium-sized municipalities in which “an exceptional presence of environmental and historical-cultural resources is concentrated” [4] whose protection and safeguard is pursued through various measures. Among the most recent examples in this regard, the Bill n. 2541 which contains “Measures for the support and enhancement of small municipalities, as well as provisions for the redevelopment and recovery of the historic centres of the same municipalities” [5] and aims to promote, in the period between 2017 and 2023, “the spread of broadband, efficiency of services, creation of mobility and sweet tourism itineraries, enhancement of quality food and wine production and activation of short supply chains” [4]. A set of measures which, in addressing the compulsory theme of the enhancement of the historic centres of the internal areas, while recognizing their peculiar character and the valuable historical-artistic and settlement values, rarely or almost never include, among the incentivised measures and methods of intervention, the construction of a solid system of knowledge of the territory and its assets, aimed at the protection and enhancement of the cultural, architectural and building heritage, an indispensable tool for transforming those elements of marginality and isolation into resources that made them vulnerable. If we take into consideration the results emerged from the SWOT analysis conducted by the GAL CILSI [6] - public-private consortium established in 1991 on the initiative of the CRESM (Centre for Economic and Social Research for the South) - according to the indications of the Community Initiative Program (PIC) LEADER, which, as Local Development Agency for rural areas, is responsible for raising awareness of the implementation of the Territorial Network for the development of the internal areas of Alta Irpinia, it can be noticed the shortcomings recorded in the context of the protection and enhancement of the local natural, historical and cultural heritage where, in the face of the potential constituted by the numerous assets identified as strengths on which to intervene, there is a “poor analytical knowledge of the territory” (PF16) and a “poor integration of knowledge aimed at planning resources and the territory” (PD17), with the consequent need to “strengthen and consolidate the relational networks between the subjects of the general knowledge system “(FB01). With the exception of a few more relevant cases, in fact, there is still the absence of certain fundamental reference tools necessary to support the planned interventions, highlighting the need to have a valid and agile information system to support the analysis of the territory that, starting from an exhaustive mapping of the architectural and building heritage of the historic centres and villages of the Irpinia inland areas, flows into the drafting of an atlas of the architectural heritage surveyed, consistent with the territorial reality of areas that the earthquake - and the post-earthquake - of 1980 has significantly modified, altering and compromising, often hopelessly, the same settlement nature. If post-seismic interventions have improved the general living conditions, especially in terms of new roads and faster connections, “development programs based on the principles of social and environmental sustainability” [7] with due regard to the nature and vocations of the settlements themselves - often distorted by the implemented construction projects - have not been adopted. “By excessively increasing the distances between buildings, varying the relationship between full and empty spaces, replacing

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the spontaneous geometries of stone houses with the orderly alignments of public housing [has changed] the physiognomy of the centres of Irpinia in an irreversible way” [8], causing a general loss of identity. If some exceptional sites and monuments are excluded - the network of castles or certain religious buildings of particular value - information on the local historicalartistic and architectural material heritage is still poorly documented and partly incomplete, not contributing to building the necessary plots to situate in a specific context the culture, the building traditions, the history of the villages and “minor” towns of the internal areas of Irpinia. In fact, most of them lack careful reconstructions that document their stratification processes, the transformations that have taken place over time, the forms of settlement, the local architectural and building heritage, without which a solid priority system of reference is missing to predict and to design functional uses and reuses, aimed at the integrated and sustainable enhancement of the internal areas starting from their specific cultural vocations. In other words, the question must be framed in the wider problem of the knowledge of urban settlements which, in Irpinia, “in the great variety of origins and development, constitute exceptional examples to be protected”. From Bisaccia “the Gentle”, to Calitri “the Foggy”, from Andretta “the Crabby”, to Sant’Angelo dei Lombardi “my town” - to use the words that Francesco de Sanctis dedicates to the towns of Irpinia crossed during the Viaggio Elettorale of 1875 - “testimonies of ‘types of communities’ with a characteristic system of social and economic relationships are outlined”, [11] which survived over the centuries and which is in danger of disappearing today. To the cultural reasons of the protection are added the economic ones linked to sustainable tourism. “In order to (…) safeguard these areas of Campania (…), an organic historical analysis and the updated examination of particular urban planning episodes which, beyond the urban planning, are framed in the premises of the territorial one, are indispensable” [11]. It is a matter of soliciting a more precise and targeted cognitive investigation of the internal territory, identifying in the cultural system an “‘investment’ generator of values and memories, capable of dialoguing with the specificity and identity of the places” [12]. Considering the safeguarding of monuments and sites in relation to tourism means, in fact, looking at an idea of dynamic protection of local artistic and environmental values as an additional element capable of promoting the economic development of the countries to be protected, by returning “to the community the use of the «cultural goods» that belong to it” [13]. Reconstructing the links between architecture, urban fabrics and the environment also means recognizing the active role of history in the conservation and development project of the territory, developing integrated readings for the knowledge and conservation of urban stratifications. Historical knowledge as a tool for the integrated enhancement of the cultural heritage of the villages and internal areas, therefore, is essential to provide the methodological tools for the construction of itineraries linked to knowledge paths aimed at enhancing archaeological pre-existences, ancient ways of communication and connection - from the Via Traiana, to the Appia Antica with its Regi Tratturi, - urban, religious and spiritual routes, fiefs and castles, fortified architecture (with their walls and urban gates), sanctuaries and cathedrals, traditional houses and rural buildings (farmhouses and dovecote towers), including the architectures for the production and the industrial archaeology routes: from water mills, olive oil mills, tuff mines, to the architectures related to traditional indigenous production chains

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(dairy, wheat, olive oil, vines, chestnuts, etc.). But also disused railway tracks, such as the Avellino - Rocchetta Sant’Antonio line, [14] built at the end of the nineteenth century in the inland of Irpinia to connect Naples to Taranto, which crosses a still partly unspoiled landscape, interpreting the territory as a cultural deposit from which to extract the resources of an immense heritage, material and immaterial, to be protected and vivified [15].

3 Natural Heritage and Cultural Heritage. Itineraries for Integrated Territorial Enhancement If you look only at the natural heritage, whose extent covers almost all of Irpinia, it is made up of the Regional Parks of Partenio and the Picentini Mountains, Natura 2000 sites, the river valleys of Sabato, Calore and Ofanto with the WWF Oasis of Lake Conza, as well as from the area of the ex Tufo Mines and from the Ansanto Valley described by Virgil in the VII book of the Aeneid as the door to the underworld [16] both candidates for the UNESCO heritage list. The Local Development Strategy, developed for Alta Irpinia, correctly identifies in the wealth of local historical and cultural material and immaterial resources the nodes around which to build the proposed enhancement program. In this sense, widespread tourist activities can be considered as a “specialized form of service industry - capable of assuming a considerable qualification in natural environments of high value”, [17] such as those of Irpinia. A fundamental reference is represented by the Literary Park named after Francesco de Sanctis - financed under the global grant “The Literary Parks” [18] -, stimulus and aggregator engine for other cultural emergencies in the area, such as the archaeological areas of Antica Compsa, Mefite, Serra di Pratola, Oppido Vetere; the early Christian basilica of Prata di Principato Ultra; the castle sites of Morra De Sanctis, Sant’Angelo dei Lombardi, Rocca San Felice, Montella etc. This considerable patrimony comprehends religious sites like the Goleto Abbey, in the territory of Sant’Angelo dei Lombardi, directly connected to the Sanctuary of Montevergine, as evidenced by the presence in both yards of Domenico Antonio Vaccaro, architect of relief of the eighteenth-century Neapolitan panorama, in charge of the construction of the ‘large church’ and the restoration of the Goleto monastery following the earthquake of 1732, as well as the Loreto abbatial palace, outlining a line of diffusion of architectural and figurative culture from the polarizing centres to the internal areas, particularly fruitful precisely in terms of promoting artistic and cultural itineraries, for the eighteenth century in Irpinia still little known and practised. The recognition of the interaction between architectural and urban scale, between religious architecture and civil architecture, between urban form and territory contributes to the definition of contexts, nuclei and historic centres, “highlighting exemplary cases of balanced coexistence between settlements and natural resources” [19]. Precisely as part of the document relating to the National Strategy of the Internal Areas of Alta Irpinia, the Campania Region recently approved a public funding [20] for the realization of five interventions distributed throughout the territory aimed at enhancing and networking the pilot goods which could be useful to promote tourism development and to increase employment growth, reversing the trend of depopulation.

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The plans include the completion of palazzo Palmieri, to be used as the seat of the Museum of the Art of Wine and Viticulture (MAVV), in the municipality of Castelfranci; the completion of the restoration and functional adaptation of the Goleto Abbey; the integrated enhancement of “Environment, Nature, Territory and Archeology” of the municipality of Conza; the renewal of the Ethnographic Museum of the municipality of Aquilonia and the restructuring of the Museum and the Diocesan Historical Archive of Nusco - municipality already included in the network of the “most beautiful villages of Italy”- falling within the scope of a more general project for the recovery of the historical-architectural heritage of the episcopal insula, through which to start the creation and strengthening of a widespread museum system - network of museums - in the Monti Picentini Park able to provide valuable support and stimulus for the growth of cultural, ethnographic and tourist services in the area. Of particular interest, with a view to the cultural enhancement of the territory, is the settlement system of Conza della Campania, a site rich in archaeological finds which document the presence, below the medieval core, of the ancient Roman city of Compsa with the forum, a domus, the remains of the walls and an amphitheatre dating back to the period between the 1st century BC and the 1st century AD. The ancient town, by now uninhabited, constitutes an Archaeological Park of great value within the “Alta Irpinia” Tourist District (see Fig. 1), as also evidenced by the project “Carife capital of Irpine archaeology”, aimed at promoting territorial tourism through the construction of site specific itineraries, started following the discovery, near the town, of the ancient necropolis of Romulea, of a Hellenistic temple and finds dating back to the Byzantine era. [16] In addition to the archaeological itineraries, there are numerous spiritual paths [21] which characterize the area and which connect architectural complexes of exceptional character to “minor” testimonies, but no less felt or practiced for this. The fortified monastic citadel of Goleto, one of the most imposing Benedictine complexes in southern Italy, or the Sanctuary of San Gerardo Maiella in Materdomini, in Caposele, which attracts around one million visitors per year (source GALCILSI), as well as the Convent of San Francesco in Folloni, in Montella, dating back to 1222, which is believed to have been founded by San Francesco, modernized between the 16th and 18th centuries, ending with the church and convent of Santa Maria del Monte or “della Neve”, near the castle of Montella and the Sanctuary of Santa Felicita in Rocca San Felice which are just some of the places of worship and prayer distributed throughout the territory to which the religious complexes are added inside the urban nuclei, including the collegiate Church of Santa Maria Assunta in Bagnoli Irpino, the complex of San Domenico and the church of San Michele in Sant’Andrea a Conza and the cathedral of Sant’Angelo dei Lombardi. Based on similar European examples - cultural route - and in line with the establishment of the “Alta Irpinia” Tourist District [22], the creation of thematic itineraries aimed at valorising the territory represents a highly effective development strategy taking into account that the territory of Alta Irpinia is already crossed by the regional cultural itinerary “Valle dell’Ofanto” and by the “Via Francigena del sud” [23] - itinerary of the Council of Europe - and that, for Campania, the only church and the Santa Sofia complex in Benevento are among the UNESCO sites (2011) “The Lombards in Italy. The places of power (568-774 AD)” together with six other groups of historical monuments distributed throughout the country as evidence of the “significant role played by the Lombards for the spiritual and cultural

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Fig. 1. The Tourist Districts of the province of Avellino - Source: Francesca Sorrentini (2018) [29].

development of Europe in the transition between Classicism and the Middle Ages”. If we consider the concrete possibility of extending the Lombard itineraries to various other towns of Alta Irpinia characterized by significant traces of the predominant Lombard imprint, we understand the implications and consequences that an integrated vision of these cultural routes could bring to the whole territory of the internal areas, of which it would contribute to promoting knowledge and enhancement, expanding the quality tourist offer and triggering reception policies capable of promoting the development and growth of businesses and cultural and creative activities. As it has been pointed out, in fact, “these routes convey internally, in the form of ‘excursion circuits’, both the peculiarities of the cultural heritage, in its broadest sense, and the aspects related to the origin and motivation that allow to classify cultural itineraries into geographical, historical and thematic ones”. [24] Between historical knowledge and promotion of indigenous traditions there is also the huge local intangible heritage, celebrated in periodic events and initiatives, like: the “Testimonies of the Federician civilization”, an exhibition of architectural and artistic documents organized in the scenario of the Goleto Abbey; the “Historical Days” of Andretta, re-enactments of characters linked to the cultural events of the town; the Interregional Fair of Calitri, a privileged showcase for the products of the internal areas; the Palio dell’Alabarda, organized in Gesualdo in honour of Prince Carlo Gesualdo - one of the most important innovators in the musical field, composer of madrigals - with exhibitions, guided visits to the historic centre and parades in period costumes. All these events outline a universe of traditions and knowledge able to fully describe the cultural identity of the

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places and the strategies to be adopted to promote growth and development. In addition to the events of a “narrative” nature, numerous music and entertainment festivals are organised: from the itinerant Jazz Festival of Alta Irpinia, to the famous Carnival of Montemarano, or to the national festival of choreography of Lacedonia, and, finally, to the numerous initiatives promoted in Taurasi, a village of Irpinia excellent in wine production, where the streets of local craftsmanship intertwine with the tasting of certified products. The “Villages of Tradition” project - Measure 421 of inter-territorial and transnational cooperation for the promotion of tourism in rural areas - refers precisely to the themes of the enhancement of the production chains, based “on the tourist reception system, focused on the enhancement of historical, architectural and environmental emergencies” in reference to anthropic activities and aimed at promoting “the growth of accommodation and the increase in production in the sectors closely related to agrifood production, artistic crafts, [and] personal services” [25]. In other words, “traditions and typical production know-how must be reconciled and respond to the new needs of tourists who are (…) less traditionalists and (…) looking for unconventional hospitality”. So, “alongside the mere construction of an ambassador route of the experiential journey, there is also a different and ‘new’ reinterpretation of territorial hospitality” [26]. Precisely on the subject of measures for hospitality, which promote knowledge and protection in view of a strategy of development and supra-territorial growth, there are the interventions of “Educational stay for foreign students” and “Artistic Residence” activated between 2005 and 2007 in the municipalities of Bisaccia, Morra de Sanctis and Calitri, as part of the Leader Plus community initiative program [27]. These experiences have given rise to the project called “Albergo diffuso” (Widespread Hotel) built in the ancient centre of Bisaccia, where nineteen traditional houses acquired from the municipal heritage, uninhabited and at risk of degradation, have been transformed into residences for tourist accommodation, helping to enhance the offer and preserve and enhance the local architectural and building heritage. The experience has been replicated in other buildings, as well as in the municipalities of Calitri and Conza della Campania, in order to set up spaces that will be used for exhibitions and for hospitality. On the basis of these previous experiences, the Project “We Campania - Hospitality in the villages” - “Promotion and tourist enhancement of some small villages in Campania in the context of large regional tourist attractions” was recently launched [28], whose pilot cases have been identified in the municipalities of Bisaccia, Calabritto and Taurasi because of the experience gained in the field of tourist accommodation. The project, promoted by the Campania Region, involves about twenty municipalities in the Province of Avellino in order to enhance the distinctive elements of the territory interpreted as a “competitive advantage”. Among the main objectives of the project there is that of reaching the creation of a “luxury hospitality network - referring to properties of historical value owned by the public (castles and monasteries)” - and a “network of widespread hotels” - referring to public and private properties, which would amplify the opportunities for economic exchange and growth in a view of social and environmental sustainability by integrating the public/private accommodation offer with the offer of natural (parks), cultural (archaeological sites) and rural environments, and with “a network of small

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shops” for the promotion and marketing of “typical local and artisan products (with the Irpinia brand)” [29]. In order for a concrete relaunch of the historic centres and villages of the internal areas of Irpinia to take place, it is necessary to integrate the historical-architectural, settlement and environmental components with those of a socio-economic and planning nature, strictly linked to the viable enhancement policies. The possibility of contributing to the action of renewal and enhancement of the internal territories by promoting the culture of hospitality through the transformation of buildings of the historical urban fabric and of architectural emergencies into structures for receptivity entails the double advantage of activating redevelopment interventions of the architectural heritage and building and to encourage a systemic and integrated offer of tourist flows that will be able to directly benefit from local historical, artistic and environmental values - not unlike what happened already for the Sassi di Matera making “the reasons of culture coexist with those of economy (…) within a peaceful development between nature and resources” [30].

References 1. Roggero, C.: I catasti: fonte storica per il progetto di conoscenza territoriale. In: Longhi, A. (ed.) Catasti e territori. L’analisi dei catasti storici per l’interpretazione del paesaggio e per il governo del territorio, Alinea, Firenze, p. 49 (2008). ISBN: 88-6055-274-5 2. Cf. Battino, S., Lampreu, S.: Strategie di valorizzazione e promozione in chiave turistica del patrimonio culturale nelle aree interne. un caso in Sardegna. Annali del Turismo VI, 83–105 (2017). note 22, 84. ISSN: 2283-3102 3. Battino, S., Lampreu, S.: 83–84. http://www.agenziacoesione.gov.it/opencms/export/sites/ dps/it/documentazione/Aree_interne/Analisi_statistiche/Nota_Territorializzazione_AI_03_ marzo_2013.pdf. Oppido, S., Ragozino, S., Micheletti, S., De Vita, G.: Sharing responsibilities to regenerate publicity and cultural values of marginalized landscapes: Case of Alta Irpinia, Italy. Urbani Izziv, 29, 125–142 (2018). 21 Jan 2020. www.jstor.org/stable/ 26516366. 10.5379 4. Battino, S., Lampreu, S.: Op. cit. 84 5. Battino, S., Lampreu, S.: note 25, 84; Cf., also, Borghi, E.: Piccole Italie. Le aree interne e la questione territoriale, Donzelli Editore, Roma (2017). ISBN: 9788868435851 6. For further information, please refer to the web page. http://www.galcilsi.it. Accessed 12 Jan 2020 and to the volume: Esperienze di Sviluppo Locale, Alta Irpinia, Terminio Cervialto, Valle dell’Ufita, Programma di iniziativa comunitaria Leader Plus 2000–2006, GAL VERDE IRPINIA-ATI, Azzurra, Nusco 2008 7. Costato, B.: Ricostruzione come decostruzione dell’identità: l’Irpinia. In: Mazzoleni, D., Sepe, M. (eds.) Rischio sismico, paesaggio, architettura: l’Irpinia, contributi per un progetto, p. 202. CRdC-AMRA Università degli Studi di Napoli Federico II, Napoli (2005) 8. Costato, B.: Cf. Belfiore, P.: La ricostruzione incompiuta: i casi di Bisaccia e Teora, Ibid, pp. 284–291 9. Casiello De Martino, S.: Alta Irpinia. Ambienti e monumenti, Arte Tipografica, Napoli (1974), pp. 2–3; Cf. also Rotili, M.: I Longobardi: migrazioni, etnogenesi, insediamento. In: I Longobardi del Sud, Roma, G. (ed.) Giorgio Bretschneider, Roma (2010), pp. 1–77

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10. Cf. De Sanctis, F.: Un viaggio elettorale, Marinari, A. (ed.) La Nuova Italia, Firenze (1970), cit. in Saggese, P.: Sotto i monti al centro dell’Italia …, Viaggio letterario nella terra di mezzo. In: Esperienze di Sviluppo Locale, cit., p. 69 11. Casiello De Martino, S.: Op. cit., p. 3 12. Battino, S., Lampreu, S.: Op. cit., 85. Cf. Carta, M.: L’armatura culturale del territorio: il patrimonio culturale come matrice di identità e strumento di sviluppo, Franco Angeli, Milano (2006). ISBN: 8846411404 13. Casiello De Martino, S.: Op. cit., p. 15 14. Cf. Oppido, S., Ragozino, S., Micheletti, S.: Riuso del patrimonio ferroviario (non) dimenticato e processi di rigenerazione. Avellino-Rocchetta Sant’Antonio: il treno irpino del paesaggio. In: Workshop 6. Urbanistica E/È Azione Pubblica Per Il Ri-Ciclo E La Valorizzazione Energetica Dell’ambiente Del Paesaggio, Atti della XX Conferenza Nazionale SIU, pp. 1187–1197. Planum Publisher, Roma-Milano (2017). ISBN: 9788899237127 15. Cf. Sau, A.: La rivitalizzazione dei borghi e dei centri storici minori come strumento per il rilancio delle aree interne. “federalismi.it” 3, 1–20 (2018), 12. ISSN: 1826-3534 16. Cf. homepage. http://www.galcilsi.it 17. Casiello De Martino, S.: Op. cit., p. 14 18. The European Union in the context of the QCS Italia Obiettivo 1 1994/1999, Asse 3.1: “Incentivi agli investimenti turistici”, approved the global grant “I Parchi Letterari” 19. Cantone, G.: Cenni storici in territorio degli Alburni. In: Gambardella, C. (ed.) Atlante del Cilento, Edizioni Scientifiche Italiane, Napoli, pp. 39–50, p. 40 (2009). ISBN: 8849518366 20. The funding for 10.3 million investments, approved by the Campania Region, is dated 4 June 2019 and is part of the initiatives for the integrated enhancement of the artistic, cultural, natural and human heritage of the small villages referred to in the Directive of December 2016 with which the MiBACT indicated for 2017 “The year of villages in Italy”, in line with the “Strategic Tourism Plan 2017–2020 21. With the MiBACT Directive of 16 December 2015, the “2016 - Year of the Paths of Italy”. Cf. Dossier 2017 Paths and routes. https://www.agenziademanio.it/opencms/it/progetti/ camminipercorsi. Accessed 12 Jan 2020 22. Istituted by Decreto del Ministero dei Beni Culturali e del Turismo n. 321 of 30/06/2016 23. Istituted by Delibera Regionale n. 886 of 2015 24. Battino, S., Lampreu, S.: Op. cit., 86 25. Homepage. http://www.galcilsi.it 26. Battino, S, Lampreu, S.: Op. cit., 86. Cf. Bozzato, S.: Mezzogiorno e sviluppo euromediterraneo. Gli itinerari culturali per una nuova visione territoriale. Documenti Geografici 2, 71–88 (2016). 10.19246 27. On these topics cf.: Pelullo, A.: Dal Parco Letterario al Leader, ai Soggiorni Formativi ed ai progetti di Residenza Artistica; Celano, A.C.: Note sull’Albergo Diffuso e la rete degli Uffici Turistici, both In: Esperienze di Sviluppo Locale, cit., respectively on pp. 91–96 and 97–99 28. Montesano, N., Schiazzano, M., Montesano, F., Scarpitta, P., Schiazzano, S.: Rete Regionale dei Borghi Abbandonati della Campania. Il recupero delle identità locali, POC Campania 2014–2020, Paperback, pp. 43–48 (2019). ISBN: 9780244794798 29. Montesano, N., Schiazzano, M., Montesano, F., Scarpitta, P., Schiazzano, S.: On these topics cf. Sorrentini, F.: La valorizzazione del turismo nelle aree interne. Alcune riflessioni sulle prospettive di sviluppo locale in Irpinia. Studi e Ricerche socio-territoriali, 8 (fasc. unico), 41–72 (2018) ISSN: 2239-8236; Cf., also, Ministero dei Beni e delle Attività Culturali (ed.), Piano strategico di sviluppo del turismo 2017–2022, Roma (2017) 30. Cantone, G.: Op. cit., p. 41

Managing Logistics and Supply Chain in Rural Areas: A Systematic Analysis of the Literature and Future Directions Pietro Evangelista1(&), Bettina Williger2, Girma Gebresenbet3, and Serena Micheletti1 1

Institute for Research on Innovation and Services for Development, National Research Council, Naples, Italy [email protected] 2 Fraunhofer Institute for Integrated Circuits, Nuernberg, Germany 3 Swedish University of Agricultural Sciences, Uppsala, Sweden

Abstract. Despite half of the world population lives not in metropolitan areas but in sparsely populated zones, the rural contexts have been at the periphery of logistics and supply chain management research. The main aim of this paper is to explore the state-of-the-art of the literature on rural supply chain management using a systematic approach. A sample of 51 papers from different disciplines with a management focus have been retrieved and analysed in details. A literature classification framework based on three different topic areas and related sub-topic areas was proposed. Seven research gaps have been identified that may inspire future research in this area. Interestingly, none of the papers identified has an explicit focus on the link between rural supply chain management and local development. To the best of the authors’ knowledge, this study is the first attempting to collect, analyse and classify scientific papers related to rural supply chain management. Keywords: Rural logistics framework


Rural supply chain
Literature classification

1 Introduction The supply chain in rural areas is often fragmented due to scattered settlement and production; this leads to high logistics costs, specifically transport cost, and significant environmental impacts. For example, in the context of rural agriculture production the delivery of means of production (such as fertilizer, machinery, collection of produce) is not coordinated, and the load capacity utilization level of vehicles is low and varies between 10% and 95% [1].1 1

Due to space limitation, the references in square brackets concerning background or methodological papers have been incorporated in the text. To ensure the transparency of method used, the bibliographical references cited in Sect. 4 have been reported in the text indicating the author/s and the year of publications. However, the full list of the 51 papers included in the final sample is available on request.

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 157–166, 2021. https://doi.org/10.1007/978-3-030-48279-4_15

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From the research point of view, recent trends in rural studies have been predominantly focused on post-productivist rural spaces, agro-industrial development, alternative rural economies inside rural geography, globalization of the countryside [2], and more recently on digital developments [3]. Logistics and supply chain problems in rural areas have been rarely the focus of supply chain management (SCM) research. This is reflected in the large number of studies on transport and logistics issues of (mega) cities that have been conducted over the last decades [4]. One of the main reasons for the poor focus is the low attractiveness and challenges to design efficient value-added chains to the end customer. An interesting example is the case of some postal service providers in Germany, Austria, Denmark and UK, which deliver letters in rural areas only once or twice a week. In addition, although the subject areas of geography, settlement structure and agricultural sciences are related to rural areas, they often lack to focus on the logistics and supply chain problems in these areas. There is the need to clarify what is the state of the existing research in this field and how rural areas can be supplied with sustainable and economically viable solutions in the future. The main aim of this study is to review the literature concerning SCM and logistics issues in rural contexts using a systematic approach. More specifically, the objectives of this paper are: a) carry out a systematic and comprehensive literature review in the field; b) provide a framework for classifying the existing literature; and c) identify research gaps and suggest future research directions.

2 Review Method The systematic literature review is selected as the research method for this study because of the nature of the research objectives, which aim at understanding trends and detecting existing gaps in the scientific debate. This review is based on clearly formulated research objectives, identifies relevant studies, appraises their quality and summarizes the evidence by the use of explicit methodology [5] overcoming the weaknesses of a narrative review [6]. The methodological approach adopted in this paper has been adapted from the works of [6] and [7]. In particular, it has been organised into the following three steps: Step 1. Search Strategy and Materials Retrieval. In this step, on the basis of some existing papers and the researchers’ experience, the following set of relevant keywords have been identified: “Rural supply chain management”, “Rural distribution”, “Rural logistics” and “Rural market”. Such keywords have been applied in combination on the Scopus and Web of Science (WoS) databases. The two databases were selected because they provide a broad and excellent coverage of the existing literature and allow retrieving papers belonging to different disciplines but having a focus on management issues. 280 documents in total were initially identified using the above keywords in the title, abstract and keywords of documents (see Table 1). The outputs obtained from the two databases were compared and this allowed the elimination of 43 duplicates. In order to reduce the degree of subjectivity in the process (e.g. include irrelevant documents or exclude appropriate documents) and increase its reliability, the analysis of abstract and

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full text were conducted separately by the authors. The results were discussed, and the authors jointly resolved different views and evaluations. In a further step, two inclusion/exclusion criteria were established. The first criterion relates to the inclusion of documents having linkages with logistics and SCM in rural context. The second criterion concerns the inclusion of documents with a management focus only (e.g. articles with a focus on technical or political aspects were not included). After applying the two above criteria, the final sample consisted of 51 documents. It comprises 37 journal articles, 11 conference papers and three book chapters. The final sample was satisfactory enough in terms of variety of disciplines involved and methodologies used. Step 2. Descriptive Analysis. The selected material has been analysed for outlining formal characteristics of the final sample in terms of distribution of papers over time, distribution of papers across different disciplines and research methods adopted by the studies considered. Step 3. Identification of Relevant Topic Areas and Content Analysis. In this step, three relevant topic areas have been identified. To identify the topic areas, it was used a mixed method based on a deductive and inductive approach [8]. Table 1. Phases and outputs of the search strategy Documents retrieved Duplications within each database Net of duplicates within each databases Duplicates between the two databases Net of duplicates between the two databases Papers out of the scope (first and second criterion) Final sample of papers

Scopus 101 20 81 – 81 48 33

WoS 179 14 165 9 156 138 18

The potential topic areas have been identified before analysing the papers in-depth (deductive approach). In this step, abstract, keywords and introduction of each paper have been considered. To obtain a more reliable and therefore more valid output, each author identified several potential topic areas in isolation. Subsequently, the potential topic areas identified have been further scrutinised and revised on the basis of a more extensive analysis of each paper selected (inductive approach). In this phase, each paper was assigned to one topic area only on the basis of the prevalent focus related to its main purpose. Through a number of meetings, the authors discussed and achieved a consensus on the topic areas to consider for grouping the papers. This allowed focusing on three main topic areas. Furthermore, the papers assigned to each single topic area have been clustered on the basis of other common themes within that topic area. This allowed further classifying the papers in homogeneous sub-topic areas. Finally, the papers included in each topic and sub-topic area have been in-depth analysed. The aim was to detect relevant issues and to build the basis for interpreting results. The following two sections provide details about the results of both descriptive and content analysis.

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3 Results of the Descriptive Analysis Formal characteristics of the selected papers have been analysed to identify some key features of the final sample. In relation to the distribution of the papers over time (see Fig. 1), two different phases may be identified. The first phase (from 1997 until 2009) is characterised by a relative low interest in this research area. In the second phase (from 2010 onward), the number of publications increased significantly even if only one paper was published in 2018. About the distribution of the papers published across different scientific disciplines, the following six disciplinary groups have been identified: i) Transport/Logistics/SCM; ii) Business and Management; iii) Information systems; iv) Agricultural science; v) Rural and regional studies, and vi) Geography. Such categories have been identified jointly considering the main specialisation of journals publishing the articles (for journal articles), the main focus of conferences (for conference papers) and books (for book chapters). The results indicate that most of the papers were published in the transport/logistics/SCM and business/management area. In relation to the research methodology adopted, the vast majority of the selected papers used quantitative or qualitative methods.

Fig. 1. Distribution of papers over time (N = 51); * The year 2019 includes the first quarter only.

4 Results of the Content Analysis Table 2 provides the distribution of the 51 selected papers by topic and sub-topic areas. 4.1

Rural Retail and Distribution

This topic area includes 22 papers analysing retail and distribution issues in rural areas. It has been organised in the following three sub-areas: shopping and out-shopping behaviour, distribution and transport, retail strategy.

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The first two papers relate to consumer shopping behaviour in rural areas of U.S. and India. The work of Miller and Kean (1997) focused on analysing consumer inshopping behaviour through a number of factors affecting consumer out-shopping in the Midwest area of US. Among other factors, the authors found that the low importance attributed to customer service in consumer in-shopping behaviour. The paper of Venugopal (2012) investigated the out-shopping behaviour of rural consumers in India and identified that the decision concerning what and where to buy could be influenced by the urban orientation of consumers. Table 2. Categorisation of papers by topic area and sub-topic area Topic areas/sub-topic areas TA.1 - Rural retail and distribution Shopping and out-shopping behaviour Distribution and transport Retail strategy TA.2 - Digitalisation and ICT in rural areas Implications of online shopping E-commerce ICT and platforms TA.3 - Supply chain models and capabilities in rural areas Operational issues in managing rural supply chain Supply chain capabilities Supply chain models Total

# papers 22 2 13 7 19 3 6 10 10 3 4 3 51

The second sub-topic area deals with distribution and transport issues in rural context. Different issues have been analysed by several authors. A number of papers focused on China to address the problem of minimising logistics costs and optimise distribution networks in rural areas. To achieve this, simulation tools have been used as in the case of the studies of Nie et al. (2010), that proposed a two-direction logistics system model focused on agricultural products, and Huang (2012a), who suggested a model for the optimal location of rural logistics distribution centre. Similarly, Zhang et al. (2015) suggested a planning approach for rural distribution networks. Considering the diversification of loads, the work identifies a model that is able to provide economic and environmental benefits. Other issues investigated relate to strategies for improving post logistics network in Henan region (Haoping 2010) and forward and reverse logistics network design proposed by Zhuang et al. (2016), that used the Pinggu district of Beijing as an example. The benefits of co-distribution strategies in rural areas have been addressed by the work of Hageback and Segerstedt (2004). The authors discovered that companies receive and distribute goods with a low frequency and the loading capacity of vehicles is often less than 50%. This implies that co-distribution services are necessary to reinforce the competitive abilities of companies in Pajala (Sweden). Bosona et al. (2013) stressed that in rural areas, food supply chains can be improved

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through coordination and optimization of logistics operations. This includes optimized food outlet locations, coordinated resource utilization, organized selling ways or products, and optimized goods transport. For example coordination and optimization of food collection from local producers and distribution in the same area (within radius of about 250 km) in Sweden resulted in reduction of number of trips, transport distance and time as emerged from the studies of Bosona and Gebresenbet (2011). Nordmark et al. (2012) concluded that food distribution activities in rural areas can be influenced by travel distance, type of food and its packaging, road network, availability of facilities (such as collection and distribution centres, local groceries, and supermarkets), spatial variation in population settlement, and environmental conditions. On the other hand, Ramirez et al. (2016) argued that to facilitate the accessibility to healthy food in rural areas, innovative strategies based on site selection, product selection, and designing of distribution models. In addition, it is necessary to involve local communities in decision-making processes. The papers dealing with retail strategy tried to fill the gap concerning the lack of specific academic studies in rural retailing. Possible strategic alternatives for retailers in rural areas have been studied by Byrom et al. (2003) that used the Scottish islands as an example. Factors affecting retailer preference and related problems in managing distribution channels in the rural market of India have been analysed by Jasim and Vinoth (2017). In rural areas, access to food and spatial characteristics of local food system have attracted attention of scholars in recent years. In this case, ‘food deserts’ and possible grocery closure are a societal concern as stressed by Yeager and Gatree (2014). In rural areas, food can be accessed via nearest supermarkets, big box stores, and local food systems. However, the scattered settlement and limited transportation further complicate the access to healthy food. In Europe, there is a growing consumer demand for local food [11, 12]. Currently, about 15% of EU farms have direct contact with consumers. The distribution of local products is carried out through local farmers’ markets, directly at the farm, through basket/box delivery systems or other communitysupported agriculture schemes. In areas of dispersed population settlement, in order to facilitate access to food, consumers and retailers can be clustered and each cluster should be represented with a geographical point. The availability of supermarkets and/or other food outlets nearby the centre of clusters improve the food accessibility and provide benefits for the environment. For instance, Bradley (2016) studied environmental impact of retail businesses and their products based on geographical locations of retailers in the U.K. He found that the environmental impact can be affected by the availability of alternatives in food supply and seasonal and price variation of food products. Anania and Nistico (2014) highlighted that spatial variation of retail also causes price variation of the product. Assessment of access to healthy food also depends on the definition of term ‘access’. For instance, it can be defined in terms of distance between food outlet and centre of cluster of rural population or in terms of availability of transport infrastructure and means of transport. Yeager and Gatree (2014) evidenced that in USA a distance between food outlets and consumers may range from 10 to 500 miles. On the other hand, Nilsson (2009) and Bosona and Gebresenbet (2013) noted that in Sweden, food produced and supplied within the road distance up to 250 km is often considered ‘local’ food. Distance calculation methods can also affect the access to healthy food. Rather than depending on Euclidean distance,

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real road distance based analysis could result in more reliable distance estimation. Haynes-Maslow et al. (2018) studied rural corner store owners’ perceptions of stocking healthier foods in U.S. and recommended that such facilities in rural areas need help from policy makers promoting the access to healthy food. A similar study carried out by Paluta et al. (2019) pointed out that healthy corner store initiatives offer promising food access strategies in U.S. 4.2

Digitalisation and ICT in Rural Areas

This topic area has been organised in the following three sub-areas: implications of online shopping, e-commerce, and ICT and platforms. Three papers address the sub-topic area “Implications of online shopping” with regard to residents and retailers of island communities. An empirical study by Calderwood and Freathy (2014) reveals that online shopping has modest potential to reduce shopping related travel of residents. In a more recent study, Freathy and Calderwood (2016) illustrate that online shopping is a competitive threat to the local retail economy, and that retailers need react to such developments. The threat of online shopping for local retailers is also the subject of the paper by Schiffling et al. (2015) that reveal strategies for the economically sustainable operation of local retail shops. The papers belonging to the sub-topic “e-commerce” deal with general concepts and solutions for rural e-commerce activities, collaboration of SMEs via internet portals, and the application of e-commerce to the agricultural sector. Leong et al. (2016) present a case study with two e-commerce villages in rural China. The authors identified critical actors in a rural e-commerce ecosystem, the use of ICT, as well as three unintended consequences of e-commerce in rural areas. Sun (2017) summarised the research on rural e-commerce in China, where rural areas are seen as consumption market for e-commerce and e-commerce has a great development potentials in rural areas. In one of the earliest studies in this topic area, Sanders et al. (2010) explored the use and the effectiveness of private and public/charity managed internet portals in rural SMEs e-commerce activities. The study reveals that there were no perceived differences between the types of internet portals. Andreopoulou et al. (2011) discussed the website features to be accounted when designing a collaborative website for ecommerce purposes. Therefore, the authors analysed 44 websites of rural enterprises and identified the optimum group that can be used as a benchmark for other ecommerce websites. Carr et al. (2013) explored factors influencing the willingness of SMEs to share knowledge online in business networks in rural areas. They discovered that the main factors associated with willingness to share knowledge online were the willingness to share knowledge face-to-face and the intensity of Internet use. Wang et al. (2016) investigated e-commerce with a special focus on the agricultural sector. The authors performed a game analysis on the cooperation between farmers and other stakeholders, and concluded that farmers need to dynamically adjust the cooperative relationships with other stakeholders. The sub-topic area “ICT and platforms” includes papers illustrating how the use of ICT and information platforms can change the rural supply chain. Nordmark et al. (2012) argued that introducing IT systems for facilitating electronic trade and virtual relationships between food producer and consumers enables the coordination of food

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logistics performance in rural areas. Retail structures and logistics facilities for food distribution may vary not only from region to region but also from country to country. Javid and Parikh (2006) addressed the potential of technology-based solutions to optimize distribution routes and reduce inefficiency of rural supply chains in rural India, discussing the potential of technologies to determine a user’s location via a mobile device. Sharma et al. (2008) proposed a low-cost security solution that can prevent theft and fraud in rural supply chains in developing countries. The work of Velaga et al. (2012) examined accessibility and connectivity in rural areas highlighting key transport and technology challenges. It also explored barriers and facilitators that may provide transport and technology solutions to enhance rural accessibility and connectivity. Gao (2015) investigated how the Internet of things may improve the quality of the agricultural supply chain on a conceptual level. Deichmann et al. (2016) proposed a framework for the benefits of ICT in the agriculture sector of developing countries. They subsumed that the benefits do not show in practice to the extent that might be expected so far. The paper by Yiming and Jia (2016) highlights the potentials of information platforms for urban and rural logistics. The paper presents functional requirements as well as implications for the functional overall structure of these platforms. 4.3

Supply Chain Models and Capabilities in Rural Areas

This topic area includes ten papers concerning operational issues in managing rural supply chain models and related capabilities in rural areas. Three papers relate to operational issues in managing rural supply chain. The paper of Stanton and Burkink (2008) investigated strategies to facilitate small farmer participation in international supply chains for fresh products. The results indicate that U. S. importers are not uniformly pessimistic about the ability of small farmers to meet their demands. In general, importers are interested in transactions in which the product meets consumer and government expectations and it has been grown on the buyer’s terms; such as the grower is reliable over time, the transaction is simplified, and the grower handles transportation. Xu et al. (2013) applied the Six Sigma method to rural logistics to optimise agricultural processes. The case study of Shouguang in the Shandong province of China illustrates how the application of the Six Sigma method allows reducing logistics costs and streamlining vegetable logistics. Supply chain capabilities in rural areas are another topic that has been investigated in the extant literature. The work of Liu and Fu (2015) provides a good example as it adopted the fuzzy matter-element approach to build an index system including rural economic environment, logistics capability and logistics potential. The authors provided a comprehensive evaluation of logistics capability in Hebei province (China) through a quantitative survey using data from 2006 to 2013. The results show that in rural logistics, logistics capability is rising rapidly. Three papers addressed the sub-topic area “Supply chain models” through developing statistical models or algorithms, and building up conceptual frameworks on the rural supply chain. Using the example of China’s agriculture, Jiang and Yang (2009) developed a new algorithm for improving rural logistics construction. Kumar and Babu (2013a) identified factors that might influence the rural supply chain in India. Main factors relate to the scarcity of transport infrastructures, inefficient warehouse networks

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and inadequate communication between different supply chain levels and actors. In a second step, they modelled and categorised the relationships between these factors in order to derive implications for the management of rural supply chains. The paper of Kumar and Babu (2013b) studied whether marketing and supply chain in rural areas differ from traditional approaches known in the field. The authors built up a conceptual model for a better rural SCM.

5 Discussion, Research Gaps and Future Research Directions This section discusses the results of the literature review in order to identify a number of research gaps and suggest some future research directions. Some other interesting elements can be drawn from the analysis. Firstly, it emerges a lack of studies comparing rural SCM practices in different countries (research gap 1). In addition, different perspectives may be considered in relation with rural SCM research. It is well known that customer service is a fundamental component of logistics and SCM. One of the main characteristics of rural areas is the sparse population in very large (remote) areas. This poses inevitably the problem on how to provide a satisfactory level of customer service in rural areas and what are the most relevant implications on the management of logistics and supply chain in those areas. This specific aspect appears under-researched in the extant literature (research gap 2). Similarly, there is the need to investigate more in depth the trade-off between customer service and logistics costs in rural areas (research gap 3). In fact, logistics in rural areas is often more costly due to the small-scale of manufacturers and the scattered settlement and production. The provision of a satisfactory customer service is then a challenge, which leads to higher logistics, particularly transport costs. Considering the above issues, the collaboration between logistics service providers in rural areas is necessary for co-distribution aimed at reducing the higher costs of logistics. Co-distribution in rural areas has been another issue that has not received a great attention in the current literature on rural SCM (research gap 4). Managing logistics and supply chains in rural context requires specific knowledge and capability. Very few studies addressed this point (research gap 5). Besides, ICT and digitalization have been found to be an emerging topic in the field of rural SCM. This is not surprising, as empirical studies suggest that Internet and ICT availability positively relates to production gains [9] and economic growth [10]. Most papers in this topic area have been published later than 2010. In these years, the internet 2.0 made available new forms of cooperation and communication via e-commerce. The relatively high share of papers dealing with e-commerce (about 12%) shows that ecommerce has high potential for customers as well as retailers in rural areas. On the other hand, the current literature on this topic missed to analyse the impact of new technologies (e.g. Internet of things, big data analytics, cloud technology) for managing supply chains in rural areas (research gap 6). All the papers analysed lack a definition of rural SCM (research gap 7). This may be the result of the lack of theoretical foundations in this area. In fact, the analysis of selected papers reveals a very limited use of theories and theoretical discussions.

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The results achieved allow addressing the three research objectives of this paper. In relation to the first research objective, the methodology adopted allowed to select a sample of papers that was satisfactory enough in terms of variety of disciplines involved and methodologies used. The paper suggested a classification approach of the existing literature based on three topic areas and additional sub-topic areas. This allowed achieving the second objective of the work. In relation to the third research objective, a number of knowledge gaps and related future research directions have been derived. Finally, the main contribution of this review is to increase the understanding of existing research on rural SCM issues and to offer a systematization of the literature in this field. A conclusion of this work is that rural SCM is an immature research stream, even if it is gaining interest over time. Further research efforts are needed to investigate this issue more in-depth. The hope is that this paper may be a useful source inspiring further research in this field.

References 1. Gebresenbet, G., Ljungberg, D.: Coordination and route optimization of agricultural goods transport to attenuate environmental impact. J. Agric. Eng. Res. 80(4), 329–342 (2001). https://doi.org/10.1006/jaer.2001.0746 2. McCarthy, J.: Rural geography: globalizing the countryside. Progr. Hum. Geogr. 32(1), 129– 137 (2008). https://doi.org/10.1177/0309132507082559 3. Salemink, K., Strijker, D., Bosworth, G.: Rural development in the digital age: a systematic literature review on unequal ICT availability, adoption, and use in rural areas. J. Rural Stud. 54, 360–371 (2017). https://doi.org/10.1016/j.jrurstud.2015.09.001 4. Lagorio, A., Pinto, R., Golini, R.: Research in urban logistics: a systematic literature review. Int. J. Phys. Distrib. Logist. Manag. 46(10), 908–931 (2016). https://doi.org/10.1108/ IJPDLM-01-2016-0008 5. Khan, K.S., Kunz, R., Kleijnen, J., Antes, G.: Five steps to conducting a systematic review. J. R. Soc. Med. 96(3), 118–121 (2003). https://doi.org/10.1258/jrsm.96.3.118 6. Tranfield, D., Denyer, D., Smart, P.: Towards a methodology for developing evidenceinformed management knowledge by means of systematic review. Br. J. Manag. 14, 207– 222 (2003). https://doi.org/10.1111/1467-8551.00375 7. Seuring, S., Müller, M.: From a literature review to a conceptual framework for sustainable supply chain management. J. Clean. Prod. 16, 1699–1710 (2008). https://doi.org/10.1016/j. jclepro.2008.04.020 8. Petticrew, M., Roberts, H.: Systematic Reviews in the Social Sciences: A Practical Guide. Blackwell Publishing, Malden (2006). https://doi.org/10.1080/14733140600986250 9. Tu, W., Sui, D.Z.: A state transformed by information: Texas regional economy in the 1990s. Reg. Stud. 45(4), 525–543 (2011). https://doi.org/10.1080/00343400903241568 10. Van Gaasbeck, K.A.: A rising tide: measuring the economic effects of broadband use across California. Soc. Sci. J. 45(4), 691–699 (2008). https://doi.org/10.1016/j.soscij.2008.09.017 11. EPRS: Short food supply chains and local food systems in the EU (2016). http://www.fao. org/family-farming/detail/en/c/427183/. Accessed 15 Feb 2020 12. EPRS: Local agriculture and short food supply chains (2013). https://epthinktank.eu/2013/ 10/14/local-agriculture-and-short-food-supply-chains/. Accessed 15 Feb 2020

Cultural and Touristic Valorization Processes: Towards a Collaborative Governance for Development in Southern Italy Gaia Daldanise1(&) , Eleonora Giovene di Girasole1 Simona Stella2 , and Massimo Clemente1 1

,

Institute of Research on Innovation, and Services for Development (IRISS), National Research Council of Italy (CNR), 80134 Naples, Italy {g.daldanise,e.giovenedigirasole, m.clemente}@iriss.cnr.it 2 Department of Engineering, Luigi Vanvitelli University, 81031 Aversa, CE, Italy [email protected]

Abstract. This research outlines a gradualist approach towards touristic and cultural valorization processes in Southern Italy. Factors slowing down social progress and sustainable development in these marginal regions are numerous: unemployment, de-industrialization, depopulation of city centers, social marginality and widespread illegality. In a context where municipalities are confronted with decreasing financial resources and worsening administrative capabilities, cultural and touristic valorization can however be achieved through innovative processes and products, as well as through a territorially integrated and socially, culturally and technologically innovative development model. After discussing collaborative cultural processes, this paper outlines a possible framework for knowing, using, manage, and communicate cultural and identity-related resources in marginal areas in Southern Italy. This process is built on an interdisciplinary toolkit based on disciplines such as: environmental psychology, place branding, community planning, multi-group evaluation and business management. Against this background, it seeks to outline new cultural and users-based touristic amenities. Here, ICT-supported and collaborative decision-making processes pave the way for a new territorial governance. Keywords: Cultural heritage


Collaborative governance
ICT

1 Introduction In order to knit productive relations among communities, values, and places for their cultural and touristic valorization, innovative processes and products [1], as well as through a territorially integrated and socially, culturally and technologically innovative development models, are required. This is particularly true in Southern Italian regions, which are tainted by geographic “disabilities [2]. These are marginal regions, in the © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 167–176, 2021. https://doi.org/10.1007/978-3-030-48279-4_16

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sense that even the most central ones among them have seen their previous connections deteriorate or dissolve [3]. In this context, however, creative cultural processes [4, 5] and collaborative urbanism [6–8] may become relevant in order to identify innovative models for the valorization of the cultural heritage as a “Cultural Collaborative Process” [9, 10], able to reactivate, together with the relevant communities, marginal regions through the valorization of the cultural heritage. Indeed, the competitiveness and even the future of such areas depend not only on the quality of the natural or cultural environment, but increasingly on the interaction with the local community and on its active involvement in development processes [11]. Identity and culture may thus become, via the direct involvement of public and private actors, the basis of shared strategies for the provision of innovative services [12], with potentially remarkable impacts on the field and on the communities in terms of job opportunities and social innovation [13]. In this context, to use the possibilities offered by innovation in ICT [14] also means to endow actors and users, as the protagonists of the cultural heritage management, with the tools to interact productively and effectively. The overall project might thus evolve into a single technological, cultural and organizational infrastructure in which culture and creativity function as a “capability” platform [15]. The goal is to outline an approach able to build “shared value” [16] through a productive dialogue among institutional and private (both for and not for profit) actors for the definition of new cultural and touristic amenities. In this perspective, this paper asks the following research question: how to build a collaborative governance [17] able to bring the cultural heritage, local institutions, firms and the local communities into synergy, with the support of ICT, for the sustainable development of marginal areas? We seek to answer this question in the following steps: an analysis of the theoretical background on new models of territorial economics and management for cultural and touristic valorization and of collaborative processes (Sect. 2); the outlining of a “Cultural Collaborative Process” as a possible tool to define a collaborative governance for the valorization of the heritage through ICT-supported cultural and creative production (Sect. 3); discussion and conclusions of the ongoing research and of its possible implications (Sect. 4).

2 Approaches in Territorial Economics and Management for Cultural and Touristic Valorization: A Literature Review 2.1

New Models in Territorial Economics and Management for Cultural and Touristic Valorization

The factors slowing down social progress and sustainable development in these marginal regions are numerous: unemployment, de-industrialization, depopulation of city centers, social marginality and widespread illegality. In order to overcome such difficulties, we delve into new models in territorial economics and territorial management

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that are becoming established in the fields of cultural and touristic valorization theory and practice [18]. In an era where the relation between the economy and the territory is changing in new and unpredictable ways, several theoretical models have transformed and advanced an ever-evolving research field [19–22]. In particular, the cultural creative economy is defined by three alternative paradigms. Each paradigm may constitute the basis for a specific intervention mode: Richard Florida’s attraction of creative talent [23], Michael Porter’s competitive transformation of the productive system [24] and Amartya Sen’s capability approach towards local communities [25]. With the exception of Florida’s work, none of these approaches were originally developed as a recipe to favor local development through the cultural economy [26]. In the last years, however, the cultural and creative economy has been playing a key role for local development, also due to the relevance that cultural heritage is being afforded as a producer of socio-economic value. In this sense, the models proposed by the so called “Economia Civile” [19] may effectively contribute novel and locally-embedded organization modes to actively spur social and economic development by encouraging behavior inspired by the principles of reciprocity and circularity [27]. The activation of the linkages among the production/working sector, the local community, and the cultural heritage, contributes to create the “cultural commons” [4]. The development of an economic system, indeed, depends on its ability to create value, particularly of shared value [28]: «the concept of shared value can be defined as policies and operating practices that enhance the competitiveness of a company while simultaneously advancing the economic and social conditions in the communities in which it operates. Shared value creation focuses on identifying and expanding the connections between societal and economic progress». This definition highlights the urgency of creating economic as well as social values by tackling society’s needs and challenges. One of the most widespread economic concepts is the so-called a sharing/ collaborative economy. The expression “collaborative economy” refers to collaboration platforms for the facilitation of new entrepreneurial modalities based on an open market for the temporary usage of goods or services that are often supplied by private actors [29]. The collaborative economy impacts on every sector of the society, ranging from firms to associations, and generates new and unpredictable opportunities on the basis of the kinds of actors and of the linkages that these manage to forge [30]. Another important kind of economy is the “experience economy” [31], related to the “customer experience” [32]. The former is becoming a touchstone in strategies for the development of cultural and touristic amenities. The experience economy is defined as a novel phase of the economy [33], in which experiences configure themselves as value-adding touristic activities [31]. In particular, the concept of “experience-based tourism” [34] builds on the emotional and cognitive engagement of tourists who construct their past experience as a memory that satisfies their needs and nudges them to return to the same place [35]. At the same time, the Smart Specialization Strategy (SSS), in the context of the EU’s Cohesion Policy 2014–2020 program, outline the body’s efforts to coordinate research and innovation policies in order to valorize leading productive sectors while

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taking into account their strategic positioning and development trajectories in the global economic context. In particular, the category of “Tourism and Culture” pursues two parallel goals: one the one hand, it seeks to develop new technologies to reclaim, manage, and valorize the cultural and environmental resources of a region; on the other, it seeks to design technology and models for the co-creation of new tourist amenities based on experience and knowledge. 2.2

Collaborative Governance and ICT

Creative governance [36–38] is a complex, dynamic and adaptive system. As such, it is understood here as a tool able to support not only urban or metropolitan areas, but also small municipalities. A “transition” [39] or “reflexive” [40] governance are necessary in order to monitor how cities change and to make sure that these changes are geared towards value-creation. The key of this process lies in the quest, in the experimentation, and in the in-depth analysis in different governance levels: strategic, tactical, and operational [40, 42]. The processes of cultural, creative, and collaborative economy cannot exist without a good governance and a systematic and integrated approach in the fields of institutional innovation, social cohesion, of the promotion of new local economies and urban planning. In this perspective, the “Council of Europe Framework Convention on the Value of Cultural Heritage for Society”, which was signed in Faro (Portugal) in 2005 and entered into force in 2011 (2013 in Italy), outlines rights and duties of citizens for the transformation/conservation of cultural heritage. In doing so, it also differentiates among distinct meanings of its “value” in a multidimensional approach, while stressing the significance of cultural heritage for personal and social development [43]. The convention identifies a shared responsibility, both individual and collective, towards cultural heritage. It thus calls upon citizens to be pro-active in acknowledging the value of such heritage, and upon states to promote a shared valorization in synergy with institutions, citizens, and associations [44]. Awareness towards cultural heritage is understood as citizens’ ability to recognize their identity in that heritage and recognize it as their own, as a ‘common good’, and therefore to cooperate for its preservation. In particular, we can identify cultural good as a particular form of common goods, e.g. as Cultural Commons [4], characterized by shared values and behaviors that make cooperative action possible. In this context, collaborative processes [7, 8, 37, 45] display a close compatibility with common goods and cultural heritage. Indeed, recognizing a cultural heritage as a common good might help design a framework for a “Cultural Commons Valorization” [10] in which collaborative processes function as a tool for the valorization of the cultural heritage, understood as a “cultural commons”, through the involvement and the dialogue with different actors aimed at building common knowledge, build networks, and develop social capital. Based on these considerations, the general goal of the research is to design a new, ICT-integrated model for local development in order to improve cultural and touristic amenities and, at the same time, encourage the development of a networked service provision on the basis of active cooperation of the community.

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In the context of institutional innovation, the principles of subsidiarity and local democracy have become established in the fields of arts, of technological innovation (especially when related to ICT), and in the context of strategies for economic competitiveness. The most important novelty in the application of creativity consists in its ability to promote a sense of community: self-organization and active citizenship abilities as horizontal tools to reduce the gap between people and institutions by allocating resources and responsibilities, and thus increased autonomy, to the lower levels of government [41].

3 I-Cultural Collaborative Process: Towards a New Territorial Governance Based on these premises we seek to develop a concrete and digital “I-Cultural Collaborative Process” [9, 46]. This is understood as a cultural and creative strategic chain to create value [47] for local human resources. The process entails an in-depth analysis of interdisciplinary approaches and tools (drawing on the fields of environmental psychology, place branding, community planning, multi-group evaluation and management) in support of knowing, using, managing and communication about cultural and identity-related resources [48]. The framework (Fig. 1) identifies the three main steps: the construction of the Action Arena, the definition of a Common Vision, and the definition of the Cultural Action Plan. We then define, for each step, the tools of the process and the relevant actions.

Fig. 1. I-Cultural Collaborative Process.

This process entails the following steps: 1. The construction of the Action Arena, i.e. the horizontal forces as well as the vertical forces: both bottom-up (of the citizens) and top-down (of the relevant institutions). To further understand the necessity for cultural and touristic valorization, actors and users are helped to recognize the material and immaterial

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cultural heritage and to identify it as a “common good” through communication and information tools (GIS, media, events, information materials, etc.); 2. The definition of a Common Vision, in which the shared values and goals and the set of rules for the collaborative usages and the preservation of the heritage. In order to define the strategic scenarios of the new cultural and touristic amenities (understood as elements of a shared cultural identity), the tools and the approaches elaborated in the fields of place branding and environmental psychology (storytelling, stakeholder satisfaction surveys, etc.) may be used. ICT solutions may constitute an aid to reach the involved users and actors individually; 3. On the basis of the goals defined in the Common Vision, the third step defines a Cultural Action Plan for each scenario. In these, personalized services and experiences are co-created through the approaches of community planning, multi-criteria management and evaluation: co-design workshops and multi-group evaluation. ICT solutions are helpful, in the co-planning phase, to achieve a correct prototyping through the proposal of new valorization scenarios (IoT and beacon technologies). For the first step, i.e. the construction of the Action Arena, we will create opportunities to involve institutions, stakeholders, researchers and citizens through events, media, images, and information material, in order to encourage their active participation in the valorization process. At the same time, we will seek to build a network of actors and users through GIS [49]. In the second phase, the involvement of the local community (actors and users) will take place through a survey developed together with environmental psychologists. In the survey, we will seek to measure the satisfaction levels of local actors [50] with the cultural and touristic amenities in the region. The number of surveys will be equal to the categories of people identified (e.g. cultural entrepreneurs, artisans, tour operators). These will discuss the products and the services made available in the region through the “Empathy map” framework [51]. The Empathy map is a decision-making facilitation tool that will enable us to explore the profiles of different users through an empathy-based evaluation of the experience (what the person thinks and feels, what s/he hears, sees, says and does, as well as its advantages and disadvantages). In the third step, the involvement takes places through the real and virtual coplanning of cultural and creative services that will flow into the new local amenity. This co-planning workshops are designed based on the results of the needs that will have emerged from a previous analysis in the region. From this analysis (and by drawing on the approaches and tools of community planning, multi-group evaluation [52–54], and ICT and business management [35, 50] with IoT and beacon technologies), we will seek to define an innovative and shared tourist amenities. On the one hand, the main tools will be chosen with the aim of building a better interaction between actors and users. On the other, the goal will be to obtain concrete results in terms of actions and services designed for the different sectors of the community. With the help of co-design workshops, structured along the principles of the “Value proposition” of the Business Model Canvas and of the World Café technique [51, 55], we will explore the groups’ demands in order to define a tailored tourist package in the relevant regions (managers of cultural and/or archeological sites, designers, artisans, tour operators, etc.).

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4 Discussion and Conclusions: The Research Follow Up Through its multi-disciplinary approach, this research seeks to define new models for knowing, using, managing and communicating the cultural heritage of Southern Italy. These models aim at merging the art, the history, and the region itself with ICTs in order to respond to the new social needs. The design of new modes for creating engagement and cooperation, especially if supported by ICTs, might be able to activate new processes of cultural and touristic valorization and thus create development and empowerment for individuals, communities, and entire regions. Indeed, the active participation of local communities can create added-value: the experience of the user/actor configures itself as a decisive influence on the choices of the next user/actor. If put to work, this approach might become an important opportunity for the future of these regions, and a much-needed chance to achieve coordination among local actors and users (institutions, firms, artisans, cultural managers, etc.) with the goal of building and broadening a cultural and creative user-centered tourist package. The possible limits of this approach concern the scarcity of monitoring tools which should, along the principles of a circular-economy, establish how the initial conditions of the Action Arena and of the Common Vision have developed over time and possibly adapt the approaches and the tools to guarantee the effectiveness of the process over a longer period of time. A possible next step for the research is the creation of a “collaborative creative platform” – a physical and digital hub – to provide a set of services needed by the local users and actors. In this scenario, marginal regions may improve their attractiveness by autonomously managing the information needed to design cultural-creative, social, and sustainable-development services for travelers and locals alike. Building a system of cultural and creative services in a larger area may thus help create alliances for a wider network of municipalities of Southern Italy’s marginal areas, while at the same time strengthen their human capital and promoting “open innovation” [56]. Acknowledgments. Within the unitary work, Eleonora Giovene di Girasole developed the Introduction (Sect. 1); Gaia Daldanise developed Sect. 2.1 and Simona Stella Sect. 2.2 about the theoretical background. Gaia Daldanise and Eleonora Giovene di Girasole developed the research methodological approach (Sect. 3) and Massimo Clemente developed the discussion and conclusions on the whole process (Sect. 4).

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Italian Inner Peripheral Areas: Earthquakes and Collaborative Experiences of Heritage Recovery Katia Fabbricatti(&) and Raffaele Amore University of Naples Federico II, Naples, Italy {katia.fabbricatti,raffaele.amore}@unina.it

Abstract. The internal Italian peripheral areas are characterized by a geomorphological conformation that exposes them to altimetric isolation and seismic hazard. In particular, this last has rarely been the direct cause of the depopulation; the frequent seismic events have, more often, exacerbated mainly socioeconomic causes. In some cases, the long-term effects of post-earthquake reconstruction interventions include interesting “resistance/resilience” dynamics. The paper reports the results of the preliminary phase of a research carried out on the case study of Aquilonia, in the pilot area “Upper Irpinia”, involved in the cohesion policy of the National Strategy of Internal Areas (SNAI). The main objective of the research is to highlight the processes, in terms of Heritage Community and Community Resilience, that seismic events, and postearthquake reconstruction policies, can trigger in Italian internal areas. The first results show that very often the modalities of reconstruction of the heritage destroyed and/or damaged by telluric events that do not take into account psychological and social aspects can affect in the long term the dynamics of communities. At the same time, those traumatic events can stimulate processes of rediscovery of material and immaterial heritage by the community and start cooperation actions towards the construction of Heritage Communities, the reduction of vulnerability components and Community Resilience. Keywords: Post-earthquake reconstruction Community
Community Resilience


Inner peripheries
Heritage

1 Introduction In recent decades, the interest of the legislator, the scientific community and public opinion has focused on two apparently distant themes: the post-earthquake reconstruction modalities - and, in general, the seismic vulnerability of the architectural heritage - and the progressive depopulation of the inland areas of the national territory, which are increasingly marginalized compared to large cities and coastal areas. The two issues are closely linked, and are among the most important challenges facing our Nation in the immediate future, within the broader framework of the safeguard and the compatible use of environmental resources. Examining the map of the seismic dangerousness and that of the Italian inland areas, it can be noted that for the whole Apennines, from Tuscany to Sicily, the areas © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 177–187, 2021. https://doi.org/10.1007/978-3-030-48279-4_17

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with the greatest seismic dangerousness coincide with those today defined as “peripheral”, compared to the core areas [1, 2]. For the Campania Region and, in particular, for Irpinia, the overlap is such that most of the municipalities during their history have been affected by telluric events that have significantly characterized their history and socio-economic dynamics. In pre-modern times, populations affected by destructive events such as volcanic eruptions, earthquakes and/or floods rarely moved elsewhere, abandoning their places of origin. Economic factors, such as the lack of adequate alternatives and resources available, and more strictly cultural factors, such as the community’s sense of belonging to the place, were stronger than the perception of danger, which was experienced as something inescapable. Only from the 18th century and then, during the 20th century, in the face of devastating seismic events, were implemented measures that were not limited to the reconstruction of what had been destroyed, but, through precise technical regulations, proposed new construction criteria capable of resisting earthquakes and also, in many cases, the relocation of entire settlements for safety reasons. The recent earthquakes that struck the central Apennines have brought the issue back to the attention of the chronicles and experts, initiating a thorough revision of the technical regulations. For countries such as Amatrice (RI), completely destroyed by the force of the earthquake, the complex theme of reconstruction and the sense of displacement that the affected populations are facing has been proposed again. The frequent seismic events affecting Italy have rarely been the direct cause of the depopulation of ancient urban settlements that constitute the dense network of communities that today we call “peripheral” or “marginal” [3]. More often, in fact, such events have exacerbated mainly socio-economic causes. In some cases, the long-term effects of post-earthquake reconstruction interventions include interesting “resistance/ resilience” dynamics, which concern the social component of the settlements, as well as the physical one. The hypothesis of this research is that traumatic events such as earthquakes, in the medium-long term, can become an opportunity for the rediscovery of material and immaterial heritage by the community, triggering processes of cooperation towards the construction of Heritage Communities [4], the reduction of vulnerability components and Community Resilience [5–7]. The innovative definition of cultural heritage proposed by the Faro Convention [4] allows communities to take an operational role in the decision-making process, towards a direct democracy, with the definition of context-aware policies and strategies. It implies collaborative actions of care and maintenance of cultural heritage, which affect both its vulnerability and that of the community. This can trigger a virtuous circuit in which actions on cultural heritage strengthen community cohesion, reduce urban degradation, generate job opportunities, towards Community Resilience [8]. This paper reports the results of the preliminary phase of a research carried out on the case study of Aquilonia (AV), one of the 25 municipalities of the pilot area Upper Irpinia, involved in the cohesion policy of the National Strategy of Internal Areas (SNAI). The main objective of the research is to highlight the processes, in terms of Heritage Community and Community Resilience, that seismic events, and in particular post-earthquake reconstruction policies, can trigger in internal Italian areas.

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The case study is particularly interesting for the dynamics of “resistance/resilience” that were triggered by the two most recent earthquakes that struck it: the Vulture earthquake of 1930 and the Irpinia earthquake of 1980. Moreover, the recent publication of the interventions foreseen by SNAI for this pilot area [9] offers the possibility to interpret the first results of the cohesion policies promoted for the analysed area.

2 Case Study: Aquilonia (AV), the Ancient Carbonara 2.1

Between Reconstructions and Abandonment: Evolution of the Settlement System of Aquilonia

The village of Aquilonia, called Carbonara until 1862, is an eastern municipality in the Province of Avellino, Southern Italy. It has a history of thousands of years [10, 11]. In the 14th and 15th centuries it was partially destroyed by strong earthquakes. Rebuilt by its citizens in 1627 it was almost completely levelled by a new telluric event. It was still affected by the earthquakes of 1702, 1732, 1851 and 1857, but each time, stubbornly, it was rebuilt by its inhabitants, until the earthquake of Vulture in 1930, when a large part of its settlement was destroyed and 277 people died on a population of about 2800 residents [12]. This last event occurred during the Fascist government. It aimed to tackle the reconstruction quickly and with decisive choices, to demonstrate its proverbial efficiency. The Minister of Public Works was entrusted with the task of organizing the rescue operations and the subsequent phase of reconstruction. A few days after the event were established the guidelines for the reconstruction entrusted to the offices of the Civil Engineers [13, 14]. For all the affected areas (more than 50 municipalities in 7 provinces), it was preferred to avoid the recovery of very damaged buildings, giving priority to the choice of rebuilding elsewhere what had been destroyed. Following this logic, it was immediately decided to abandon the old centre of Carbonara-Aquilonia and build a new town. The chosen area was a plateau about three kilometres from the original urban centre, whose Town Planning was approved with the vote in the April 1931. The project provided for an urban layout typical of the different foundation cities built in those years: a chessboard model that stretched to the natural limits to the north and south of the chosen plateau. Ninety-one “aseismic houses” were built to meet the immediate needs of the population and to avoid the need for temporary solutions [15]. With regard to the ancient urban centre, the crumbling houses were demolished, the streets were cleared of rubble and the houses were propped up waiting to be consolidated and repaired. With the beginning of the war, reconstruction operations inevitably slowed down. Already at the end of the forties, however, the few inhabitants who still lived in the ancient centre of Carbonara moved to the new Aquilonia. The decision to concentrate all public resources in the construction of the new settlement forced even the few people who had chosen to stay in the old agglomeration of Carbonara to move to the new centre - rather than repair and maintain the old houses of the original settlement, which were increasingly in decay. Families with greater economic availability had the opportunity to build their new house on the lot assigned to them, the poorest and most disadvantaged, instead,

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continued to live in the “aseismic houses”. These for decades represented the new centre of the local community, where partly relive the social and human relations that existed before the earthquake of 1930. In the meantime, the old centre of Carbonara, completely abandoned, was used to shelter animals. With the passing of time, economic needs pushed the population to use the remains of the old houses of Carbonara as a quarry to recover building material and, even worse, as a deposit for waste materials and urban waste. After an increase in the population due to a peak birth rate immediately after the earthquake of 1930 (Fig. 1), the crisis of the agricultural economy determined in Aquilonia - as in most of the smaller inland centres of the Irpinia Apennines - a consistent migratory phenomenon that considerably reduced the number of residents, further eroding the social structure. Between the 50s and 60s, there is documented migration mainly in North America, later, the migratory flow was directed mainly to the Northern European nations in economic growth. Here in particular, emigration was supposed to be temporary, but many people never returned to Italy.

Fig. 1. Municipality of Aquilonia: census population (ISTAT).

On November 23, 1980, a new disastrous earthquake struck Irpinia, involving an area of 17,000 km and causing almost three thousand victims. Fortunately, no damage was recorded in Aquilonia, thanks to the construction systems and safety measures implemented after the earthquake of 1930. Despite the absence of direct effects of the earthquake, the Municipality of Aquilonia received funding to carry out a building replacement project as part of a recovery plan (Article 28 of Law 219/81). In particular, the project provided for the demolition of all the still existing “aseismic houses” and their replacement with new buildings for residential use. The demolition and reconstruction plan began in the mid-1990s. Instead of the small houses - pavilions of 4 lodgings of about 24 m2 each, consisting of an above-ground floor of two rooms and a “sottano” for the storage of agricultural tools, hay and straw [16]-, new residential buildings of two floors, with basement, were built with housing of about 60 m2. It was a second “delocalization” for the inhabitants of Aquilonia, with a cancellation of those “neighborhood” relationships that in more than sixty years had been laboriously settled. Variants and slowdowns, with the progressive change in socio-economic conditions, have led in recent years to the interruption of the demolition and replacement operations.

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This has led to the current persistence of a nucleus of 6 “aseismic houses”, constituting a real neighbourhood, and 3 “aseismic houses” spread throughout the territory. To date, although the recovery plan has now expired, the municipal administration would like to complete the demolition of the surviving houses, due to the conditions of abandonment and degradation, depriving the population of an important material evidence of the recent history of the small town of Irpinia (Fig. 2).

Fig. 2. Changes of Aquilonia settlement system: the abandoned village, the “aseismic houses”, the new residential buildings. Photos by the author.

2.2

Recent Dynamics of Re-appropriation and Renewal of Tangible and Intangible Cultural Heritage

In the late ‘80s, in line with a progressive phenomenon of rediscovery of cultural heritage [17] - coinciding with a documented phenomenon of re-appropriation of internal areas [18, 19] - also in Aquilonia, initiatives have been developed to recover the cultural heritage and with it a community identity that had been missing for several generations. These initiatives are closely linked to the direct and indirect effects of the seismic events that occurred in the village: – the birth, in 1994, of the association “Historical centre working group” founded by a group of university students of Aquilonia, for the recovery of the village abandoned after the earthquake of 1930, which over the years had become the village dump; – the realization, in 1996, of the Ethnographic Museum of Aquilonia - following the recovery of objects and furnishings from the “aseismic houses” under demolition-, thanks to the work of the aforementioned association and the donations from the entire community of Aquilonia; – the formation, in 2017, of the “committee aseismic houses common good” - made up of local inhabitants, emigrants, returnees and personalities belonging to the world of culture - as a reaction to the recent decree of demolition by the municipal administration of the last group of “aseismic houses”, which escaped the previous demolition; – an artist’s residency experience, in 2019, in the Ethnographic Museum, linked to the theme of the recovery of the “aseismic houses”, in which, with a participatory art operation, the artist has girded with a ribbon of cloth, hand-stitched by a group of citizens, the entire neighborhood of the 6 surviving aseismic houses.

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These are experiences of cooperation and social innovation based on the rediscovery of the tangible heritage and its values by the population. Characteristic of the experiences is the heterogeneous composition of the community that has carried them out: local population led by local experts, mainly “returnees”, and external experts, supported by emigrant Aquilonians. These initiatives were accompanied by experiences of experimentation with models of renewal of the material and immaterial culture of the territory, carried out with the aim of stimulating the social, economic and cultural rebirth of the territory. Among these, the project “e.colony. A rural design academy”, proposed by a group of local professionals and researchers, aimed at reactivating the abandoned village of Carbonara, through the renewal of local skills, with the contribution of creative know-how by makers, designers, architects, artists, creatives. The idea is to create opportunities to transform the inhabitants themselves into makers, regenerating lost knowledge, integrating the potential of technological innovation with existing local resources, both tangible and intangible [20]. An experimentation of the project was carried out in 2015, involving the local population, students, professionals, designers, researchers. In 2016, the project model, awarded by the sector’s media, was included in a large area urban planning tool. Moreover, the experience, which has involved part of the population, has stimulated the experimentation of new job opportunities through innovation paths. Among these, the production and sale, by a young resident, of two lines of craft beer obtained from the fermentation of local cereals and the purchase of technologically advanced machinery by the carpenter of the place. 2.3

Current Conditions of the Settlement System and Programmatic Interventions

The analysis of the recent demographic dynamics of the Municipality of Aquilonia (Table 1) shows that the resident population has decreased by 11% since 2011. The latest National Statistical Office (ISTAT) survey of 2011 shows a number of 1818 inhabitants, which on 1 January 2019 has been reduced to 1617, with a forecast of 1569 inhabitants by 2021. Table 1. Municipality of Aquilonia: demographic dynamics and population structure (ISTAT). Aquilonia 2011 Aquilonia 2019 Campania 2019 Italy 2019 Pct population age 0–14 10,9% 8,6% 14,4% 13,2% Pct population age 15–64 64,2% 65% 66,6% 64% Pct population age 65+ 25,3% 26,6% 18,9% 22,9%

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The old-age index is increasing: 229.7% in 2011 and 308.6% in 2019 (ISTAT). The population structure (Table 1) is in fact characterised by a percentage of population over 65 higher than the regional and national average (ISTAT 2011 and 2019). Moreover, the data collected show that the percentage of population of working age is lower than the regional and national average. However, this data is influenced by the number of young people residing in the municipality who live outside the municipality for study or work reasons. Moreover, the percentage of population aged 0–14 years is much lower than the regional and national average. Data from the 2011 population and housing census show an unemployment rate of 13% for a workforce of one third of the population, which rises to 47% if only young people are considered (ISTAT 2011). This condition is in contrast with the potential that the territory expresses in terms of resources of ecological, landscape and economic value, underexploited or unused. Among these are the Sites of Community Interest (SCI) Bosco di Zampaglione and Lago di San Pietro, within the European Ecological Network “Nature 2000”; the ruins of the ancient Carbonara, abandoned after the earthquake of 1930, with the archaeological park; places of Samnite and Roman origin, identified in some districts; the productive agricultural landscape, which characterizes the hills and valleys of Aquilonia. The agricultural vocation of the territory is demonstrated by the value of the Agricultural Area Used (UAA), which in 2010 is more than 50% of the municipal area. Moreover, 87.8% of the Total Agricultural Area is used. This data also registers a percentage reduction from 2000 to 2010 of −3.9%, indicative of the demographic decline and the constant dynamics of abandonment of agricultural land. If we refer to the SNAI pilot area, it can be noted that since 1982, immediately after the Irpinia earthquake, the UAA undergoes a negative variation to 2010 of about 22%, with a negative percentage variation (−51.1%) of farmers up to 39 years of age in the period 2000/2010 (ISTAT, general census of agriculture). A further underutilized resource is woodland, which, with an extension of about 1,000 ha in the SCI area, represents a potential of about 300t/y of forest residues from maintenance operations alone (University of Salerno, Forest-Wood-Energy Chain Project, Resolution n. 253 of December 12th, 2009). In particular, the data for those employed in the primary sector (ISTAT 2011) - only 11% of the population with only directly managed farms with family labour - is astonishing. About 40% of those employed in the Municipality of Aquilonia, in fact, work in the industrial sector (ISTAT 2011), in plants located in neighboring municipalities and in particular in the Municipality of Melfi, which houses the Fiat Chrysler Automobiles (FCA) group. The scarce exploitation of the agricultural resource has increased the vulnerability of the territory and generated since the early 2000s the transfer of land to “wind farms”, giving rise to a phenomenon that is irreparably compromising the perception and components of the Irpinia landscape, without representing a factor in the development of the area. The elaboration of data on occupied housing, which is not a simple survey, is in progress, but a first survey shows that out of a total of 748 housing units (ISTAT 2011) about 35% are empty and half of them are only used in the summer months.

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The dynamics analysed highlight problems related to depopulation, population ageing, emigration of qualified people, abandonment of agricultural land and uncontrolled exploitation of land, to which are added the lack of health, transport, training and cultural infrastructure. In the same way, the presence of high socio-cultural capital emerges, linked to the peculiar material and immaterial heritage, as well as high levels of air and water quality, common to many Italian internal areas. This is the socioeconomic scenario of Aquilonia when in 2012 the National Strategy for Internal Areas (SNAI) was launched, a series of actions aimed at counteracting, in the medium term, the demographic decline that characterizes the Italian internal areas. The SNAI has experimented collaborative approaches, with the dual objective of improving the quantity and quality of education, health and mobility services and promoting development projects that enhance the natural and cultural heritage of the internal areas of the Nation, focusing on the revival of local production chains and the promotion of new ones [21]. From the recent report on the implementation of the Strategy [9] it emerges that the pilot area Upper Irpinia has completed the last phase of a procedure that lasted about two years, with the identification of projects to be implemented, financial resources, time schedule, roles and tasks of the parties involved. The projects, approved under the Framework Programme Agreement (FPA) Upper Irpinia for an amount of € 26,026,482.00 - financed with national funds and European funds for Cohesion Policy are divided into actions for the development of basic services in an associated form (32%) and actions for local development (68%). A first analysis of the report shows: an investment of 14% of the funds foreseen in the health sector, with the construction of a Community Hospital, in a municipality of the area, the strengthening of existing hospitals and a Teleradiology project; an allocation of 1% of the funds in the mobility sector, aimed at the design of a mobility plan for a large area and the implementation of local transport services; an allocation of 6% of the funds, for the training sector, aimed in particular at actions to support schoolwork alternation, training programmes to increase the “skills” of young people, with craft and innovation paths, and the professional updating of teachers. The local development sector, financed with European funds, is dedicated the remaining 68% of the investments of the Strategy for Upper Irpinia. In particular, in this sector, interventions are planned for the competitiveness of the forest supply chains through the experimentation of a participatory management of the forest heritage of Upper Irpinia, for the Museum Network and the Cultural and Natural Heritage of Upper Irpinia, with substantial funding for specific interventions on five buildings, for innovation and development of supply chains in the livestock sector, with the establishment of a network of quality breeders and processors. In addition, under the National Operational Programme “Governance and Institutional Capacity 2014–2020”, funds are allocated to support the National Strategy of Internal Areas, with the aim of strengthening the administrative and institutional capacity and digitization of the Public Administration. Within this project, 11% of the resources of the Strategy for Upper Irpinia will be allocated to the Digital Services sector, precisely for the management of ICT services in an associated form. At the basis of the implementation of the Strategy, in fact, there is the integrated management of local public services, as its pre-requisite and driver, with the constitution of the City of

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Upper Irpinia, which includes the 25 municipalities selected by the Strategy [22]. In addition, an associative path has been started among the municipalities, which, however, to date is very limited (1 Union of 8 municipalities - Upper Ofanto Valley).

3 First Findings The research addresses the issue of seismic hazard and depopulation of Italian inland areas, in the more general context of the regeneration of marginalized areas, to address the gap between inland areas and the core areas - according to EU cohesion policies. The research analysed the case of Aquilonia, a peripheral internal area of southern Italy, highlighting on the one hand the evolution of the seismic events that cyclically occurred and the related reconstruction policies, and on the other the socio-cultural dynamics of re-appropriation of cultural heritage and of social, economic and productive renewal that these events triggered. The first results of a preliminary phase of the research show that very often the modalities of reconstruction of the heritage destroyed and/or damaged by telluric events that do not take into account psychological and social aspects can affect in the long term the dynamics of communities, depriving them of the original places of shared memory. At the same time, those traumatic events can stimulate processes of rediscovery of material and immaterial heritage by the community and start cooperation actions towards the construction of Heritage Communities, the reduction of vulnerability components and Community Resilience. The experiences of collaboration developed in the Municipality of Aquilonia are actions for the protection, care, recovery and enhancement of cultural heritage which, if properly supported, can reduce the physical and social vulnerability of the territory and represent an opportunity for rebirth and development [8, 23, 24]. Unfortunately, although small economic dynamics have been initiated, the results of the experiences are limited, also due to the lack of support from the local administration. The case study analysed suggests the need for shared and collaborative policies that, without taking away from these places the right to marginality [25], provide them with basic services and support them in the search of their historical autonomy. Recent cohesion policies, with the National Strategy of Internal Areas, have tried to experiment new planning and implementation models, through participatory approaches and governance of associationism. Yet, examining the SNAI process and the report on implementation in Upper Irpinia, it emerges that the considerable resources allocated still have little impact on structural problems, that these are often addressed to specific problems and not from a supply chain perspective, that the territories have not been listened to in such a way as to bring out and support the numerous bottom-up experiences. Internal areas are at an advantage over metropolitan areas. They can be considered as reservoir of resilience [20], acting as innovation laboratories capable of producing solutions and contaminating other territorial contexts. To design a real geography of innovation, it is necessary that representatives of individual municipalities open up to “cooperative” and “associative” actions with different municipalities, promoting equal rights and increasing the effectiveness of public action, developing a real policy of listening to the vocations of the territory, defining a framework of collaborative governance.

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References 1. Agenzia per la Coesione Territoriale: Strategia Nazionale per le Aree Interne: definizione, obbiettivi, strumenti e governance, Roma (2014) 2. ESPON: Inner Peripheries: National territories facing challenges of access to basic services of general interest, Luxembourg (2017) 3. Birrozzi, C., Conforti, A., Cocchi, C.: The causes of depopulation in the Marche’s areas hit by earthquake. In: Fiore, P., D’Andria, E. (eds.) Small Towns…from Problem to Resource, pp. 63–72. FrancoAngeli (2019) 4. Council of Europe: Framework convention on the value of cultural heritage for society (Faro Convention). Faro, Portugal (2005) 5. Berkes, F., Ross, H.: Community resilience: toward an integrated approach. Soc. Nat. Resour. 26(1), 5–20 (2013) 6. Chelleri, L., Minucci, G., Skrimizea, E.: Does community resilience decrease social– ecological vulnerability? Adaptation pathways trade-off in the Bolivian Altiplano. Reg. Environ. Change 16(8), 2229–2241 (2016) 7. Mulligan, M., Steele, W., Rickards, L., Fünfgeld, H.: Keywords in planning: what do we mean by ‘community resilience’? Int. Plan. Stud. 21(4), 348–361 (2016) 8. Pinto, M.R., Fabbricatti, K., Bosone, M.: Heritage community resilience for sustainable and resilient human settlements. In: Gambardella, C. (ed.) World Heritage and Legacy. Culture, Creativity, Contamination, pp. 1120–1129. Gangemi International, Roma (2019) 9. Special Office for Federalism & Internal Area Development Policies of the Campania Region & ATI Consip.: The National Strategy of Internal Areas in Campania Implementation Status Report, Meridiana Italia (2019) 10. Rosi, M.: La nuova Aquilonia degli anni 1930. In: Colletta, T. (ed.) Storia dell’urbanistica. Campania III, Centri dell’Irpinia. Edizioni Kappa, Roma (1995) 11. Campolongo, F.: La reazione del ’60 a Carbonara ora Aquilonia, Benevento (1907) 12. National Institute of Geophysics and Volcanology (INGV) earthquakes: https:// ingvterremoti.wordpress.com/?s=1930 13. Giro, M: Il terremoto del Vulture del 1930: la condotta economica e politica del regime fascista. In: «Storia contemporanea», a. 16, n. 4, pp. 717–749. Il Mulino, Bologna (1975) 14. Gizzi, F.T., Potenza, M.R., Zotta, C.: Le ricostruzioni in Irpinia e in Basilicata dopo i terremoti del 1930, 1962 e 1980: confronti e implicazioni. In: Galadini, F., Varagnoli, C. (eds.) Marsica 1915- l’Aquila 2009, un secolo di ricostruzioni, pp. 51–68. Gangemi, Roma (2016) 15. Bellomo, M., D’Agostino, A.: Il progetto della ricostruzione tra identità e innovazione. Il caso di Aquilonia. In: Capano, F., Pascariello, M.I., Visone, M. (eds.) La Città Altra Storia e immagine della diversità urbana, pp. 539–546. FedOA Press–CIRICE, Napoli (2018) 16. Ministero dei Lavori Pubblici: L’azione del Governo Fascista per la ricostruzione delle zone danneggiate da calamità. Alterocca, Terni (1933) 17. Bianchini, F., Prkinson, M. (eds.): Cultural Policy and Urban Regeneration: The West European Experience, pp. 21–47. Manchester University Press, Manchester (1993) 18. De Rossi, A. (ed.): Riabitare l’Italia. Le aree interne tra abbandoni e riconquiste. Donzelli, Roma (2018) 19. Battaglini, L., Corrado, F.: Il ritorno alla terra nei territori rurali-montani: diversi aspetti di un fenomeno in atto. Scienze del Territorio 2, 79–86 (2014) 20. Fabbricatti, K.: Interazioni creative tra luoghi e comunità: esperienze di riattivazione delle aree interne. TECHNE 14, 216–223 (2017)

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21. Barca, F., Casavola, P., Lucatelli, S. (eds.): A Strategy for Inner Areas in Italy: Definition, Objectives, Tools and Governance, Issue 31. Materiali UVAL, Roma (2014) 22. Formez PA and IFEL-ANCI: L’associazionismo intercomunale nelle aree interne (2019) 23. Iavarone, R., Gravagnuolo, A., De Vita, G.E., Alberico, I.: Resilient city, an approach to cope with natural hazard. In: Gambardella, C. (ed.) World Heritage and Disaster. Knowledge, Culture and Representation, pp. 763–764. Gangemi International, Roma (2017) 24. Oppido, S., Ragozino, S., Micheletti, S., De Vita, G.E.: Sharing responsibilities to regenerate publicness and cultural values of marginalized landscapes: case of Alta Irpinia, Italy. Urbani Izziv 19, 125–142 (2018) 25. Pezzi, M.G., Urso, G.: Coping with peripherality: local resilience between policies and practices. Editorial note. IJPP VII(1), 1–23 (2017)

Inter_Net Areas. A Culture-Led Strategy of Widespread Projects for Montagna Materana (Italy) Maria Cerreta(&), Angela D’Agostino, Giovangiuseppe Vannelli, and Piero Zizzania Dipartimento di Architettura (DiARC), Università degli Studi di Napoli Federico II, via Toledo 402, 80134 Naples, Italy {maria.cerreta,angdagos, giovangiuseppe.vannelli}@unina.it, [email protected]

Abstract. The research focuses on Italian Internal Areas to rethink the role of the project and evaluation to identify regeneration strategies capable of generating multiple relationships with the territory and new values, through the structuring of a multidimensional process and open project. Combining different ways to explore, understand, evaluate and design the components of the various landscapes of the Montagna Materana (Italy), analyzed in the dual meaning, material and immaterial, has allowed us to develop a dynamic and incremental methodological path, starting from the specific context, intended as a cultural landscape. The development strategy for the Montagna Materana highlights the need to stimulate the formulation of a hybrid strategy and rethink the marginal territory through its infinite potential in a culture-led perspective. The perspective structures a network of different ways of living the territory, outlining an open, non-definitive and absolute project, the meaning of which does not depend on a single final configuration, but lies precisely in the impossibility of foreseeing the point of arrival. Keywords: Cultural landscape
Culture-led strategy decision-making process
Open project


Multi-methodological

1 Introduction Between continents, as well as between the borders of seas and nations, “geographies of relationships” can be drawn, as a set of lines along which goods, people, information, ideas, cultures move. The ends of these lines define places of arrival and places of departure, shaped as open or closed spaces, to enable or exclude possible exchanges. The matrix of daily commuter flows between the Italian municipalities registered by Istat [1] gives a partial image of the extent of these relationships on a national scale. The concentration of the lines generates figures perfectly superimposable to metropolitan areas, to larger Italian cities, to the main infrastructural networks at a territorial level. The geography of relationships is the result of strategic and political choices, of physical, economic and social conditions, of a series of invisible forces with © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 188–197, 2021. https://doi.org/10.1007/978-3-030-48279-4_18

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respect to which it is difficult to establish whether the form is the result of relationships or whether these relationships have been favored by forms of the territory. A highly hierarchical polycentric structure of the national territory appears, which places the pole-cities at the centre and generates a marginal territory (Fig. 1).

Fig. 1. Geography of relationships. Image processed by P. Zizzania through a GIS tool for georeferenced visualization of ISTAT data about daily movements flows between municipalities for study and work reasons [1].

Those areas which, far from the main infrastructural systems, are today identified as Inner Areas fall into this “other territory”. The distance between the small villages, often closely connected to “hostile” morphological configurations of the territory, and their distance from the infrastructure lines, have contributed to the establishment of relationships of heteronomy concerning the big cities. This resulted in a progressive marginality with the consequent increase in migratory flows, the obsolescence of small villages, depopulation, and abandonment of internal areas. The same definition of “Inner Areas” is elaborated starting from the lack of essential services and the distance from those municipalities defined as “service offer centres” [2] (education, health and mobility). On the other hand, these are areas rich in significant environmental resources (water resources, agricultural systems, forests, natural and human landscapes) and cultural (archaeological heritage, historical settlements, abbeys, small museums, trade centres, traditions). In order to identify shared solutions that could decrease the disparity between the “Italy of the poles” and the “Italy of the margins”, with the aim of territorial cohesion, in 2012 the idea of a National Strategy for the Inner Areas (socalled “Snai”) was born, as part of a Partnership Agreement with the European Union for the Programming of Community Funds 2014–2020. Snai can be defined as a breaking device [3], which identifies the issue of internal areas as a “national question” to overcome the welfare and subsistence actions that have characterized interventions in these areas over time [4]. Snai proposes a territorial model that aims at a sort of shared self-sufficiency, generated starting from a territorial synergy between municipalities that renounce their local autonomy in the name of the “common good”. Compared to this model, an investment program in strategic areas and pilot projects is

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being implemented in other Italian regions. In the face of a multiplicity of margins, the synergy between different municipalities and different actors can trigger change. Therefore, the role of the communities, individuals and all the stakeholders who spontaneously or by programmatic choice enter into this process, in which restocking becomes the desired goal, which requires the inclusion of other communities, is fundamental [5]. In the face of a multiplicity of marginality, the synergy between different municipalities and different actors can trigger change. The role of the communities, individuals and all stakeholders who spontaneously or by programmatic choice are involved in this process is therefore fundamental. Restocking becomes the desired goal, which requires the inclusion of heterogeneous communities. Concerning the complexity of this process, particular importance is attached to the increasingly explicit interest in alternative lifestyles to the urban ones, attention to the origin and production process of food, the renewed interest in unknown destinations for experiential, exploratory and slow tourism [6]. This research focuses on the topic of Inner Areas and on the need to rethink the role of the project that takes into account the need to generate multiple relationships with the territory, with specific attention to the Montagna Materana, one of the most internal areas in Italy. The starting point is a reinterpretation of the theme of Inner Areas as a result of relationships that build cultural landscapes (physical, anthropic, economic, environmental, etc.) to identify a strategy of widespread and incremental forecasts, ledcultures [7, 8], which interpret change and do not exclude the scenario of abandonment. This work was developed during the degree thesis in Architecture of Piero Zizzania, and it is part of the research interests that authors explored in different experiences. In Sect. 2 the contribution regards the methodological process where it is described the multiscalar and multimethodological investigation tools used for an indepth knowledge about inner areas and the selected case study; in Sect. 3 the results achieved are presented describing in particular the results related to the definition of the project strategy; in Sect. 4 validity of the methodological process are discussed identifying opportunities for implementing the approach in other contexts.

2 Materials and Methods The structuring of a multi-methodological process, which makes use of heterogeneous tools and the intersection of different points of view, constitutes the approach put in place to address the case study of the Montagna Materana (Fig. 2). The methodological path was structured in three main phases, identified with respect to three objectives: 1. Perimeter, in which the question is defined, and the theme is structured; 2. Re-margin, which is the synthesis of the exploration and identification phase of territorial opportunities; 3. Re-imagine, outlining the strategy and the project that characterizes it (Fig. 3). In phase 1, Perimeter, the starting point was direct observation through exploration in the municipalities of the Montagna Materana. This process has made evident the continuity and discontinuity of types of landscapes, in their double meaning: material, linked to the territorial components, and immaterial, related to the lifestyles and traditions of the settled communities. The inspection also allowed, through interviews,

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Fig. 2. The Montagna Materana

Fig. 3. The phases of the methodological path

photographs and videos, to explore the territorial specificities and analyze preferences starting from the different types of soft data. The experiential path was accompanied by the study of hard data, collected from different sources, supported by the construction of an intercalar database for the visualization in the GIS environment of the distribution on the territory of a selection of significant indicators. The comparison between the soft data and the hard data revealed the diversity and specific features of the municipalities that make up the study area, but also the continuity of the critical issues and potential beyond the administrative boundaries, highlighting a condition of territorial marginality which characterizes much of Basilicata. The action of the perimeter becomes thus fundamental for the definition of relations between the parties and constitutes the first strategic choice for the territory. The perimeter chosen for the Montagna Materana complies with the prerequisites required by Snai, including that of the planning in progress and historically consolidated, thus seeking to overcome the profound difficulties in identifying shared objectives. In phase 2, Re-margining, to “re-centralize the margin beyond the administrative

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border” [9], the TOPSIS [10] method was used, combining the spatial analyzes of the indicators with the multi-criteria analysis tools to support decisions. The application of TOPSIS allows defining an ideal relative combination of the selected indicators for each of the chosen points of view and returns a corresponding value for each municipality, expression of a composite indicator [11, 12], identifying the proximity to the ideal value. The investigation area includes the two poles of the region, Matera and Potenza, extends to the Ionian coast and allows them to identify a network strategy by points, from which to activate an “inclusive prosperity” process [13]. The contribution of the individual constitutes a fundamental part of common well-being from the perspective of a mutual exchange that questions the values that a marginal territory can generate and the ways in which these values can be put online, overcoming the consolidated inertia. To detect the extent and form of the different inertia, interviews were conducted with different social groups, structured through the CATWOE method [14] and decoded through a frequency analysis based on recurring key concepts. The results have been combined through cause-effect relationships using the SODA method and the Decision Explorer software [15], to establish a complex causal network of conditions that produce negative value for the territory in question and to identify the multiple small isolated realities, capable to re-signify the marginal Lucanian landscape through the grafting of innovative and experimental practices [16–18]. Therefore, the functional preconditions proposed by the strategy for the livability of the internal areas seem necessary to combine a transversal cultural prerequisite that can support a croscale team game between local stakeholders and territorial objectives. It emerged that there is a lack of cultural infrastructure capable of interconnecting the different “heteropolarities” with the exceptional micro-realities spread throughout the territory, structuring an incremental network strategy. In phase 3, Re-imagine, the proposal of a strategy of widespread projects for the Matera Mountain is outlined, which is configured as an “enabling context” [19] aimed at the encounter between different modalities, different temporalities, conditions, and multiple possibilities, in a synergistic vision such as to allow a multiplication of opportunities and results. Together with the physical elements of the territory, “perimeters” and “relationships” constitute the components for the construction of the strategy, in which the action to heal constitutes the center of the proposal through a double operation for the purpose of re-imagining: redefinition of marginality and reconnection of the parts.

3 Results The Internal Areas constitute a laboratory of unexplored possibilities, whose role with respect to a broader regional and national-territorial context is to be rethought, were precisely the condition of marginality, understood as a lack of possibilities stimulates creativity and innovation. Snai is, therefore interpreted as an opportunity to explore and test new creative ways of living in the marginal landscape of the internal areas. This approach is particularly appropriate in the internal area of the Montagna Materana, where regional policy and investments have produced a progressive abandonment of agricultural and forestry areas for the benefit of coastal development and river valleys, where the two main industrial centers have settled: Basento valley, today a site of

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highly polluted national interest, and the Val d’Agri, home of the largest plant in Europe for the treatment of hydrocarbons. Another significant fact is that the history of Basilicata is a history of migration, and the Matera mountains have been emptying for over a hundred years. The poor physical accessibility places the area well below the average of the other regions compared to the time needed to reach hospitals and schools. On the other hand, isolation has consolidated over time resulting in a critical condition for the municipalities of Aliano, Stigliano, Cirigliano, Gorgoglione, Accettura, San Mauro Forte, Oliveto Lucano and Craco. The “Small Villages Great Life” Area Strategy has been structured for these municipalities, which identifies the safety of roads and infrastructure as the main objective, without identifying the necessary intervention priorities.

Fig. 4. Aree inter_net. A road of widespread projects for the Montagna Materana.

Starting from this state of the art [20], a proposal has been formulated for the Montagna Materana, which takes into account the differences between the types of landscapes divided into three sub-areas: a low, agricultural part, characterized by bad clay formations spread; a high, wooded part, where the Gallipoli-Cognato Park and the Piccole Dolomiti Lucane falls; and an intermediate part, where forests and gullies mix, defining an intermediate landscape. From the phases 1 and 2 of the methodological path, it was possible to interpret the values that can be generated by the territory, recognizing new possible hierarchies. The municipalities of Stigliano, Oliveto Lucano and Craco are considered as potential poles, in order to trigger an incremental network strategic

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process capable of generating new forms of inclusive prosperity [13]. Three “heteropolarities” have therefore been identified which constitute a thematic territorial hub, from which multiple networks branch out, reinterpreting the different types of landscapes identified along the road between Craco and Oliveto Lucano. The different networks bring together values, meanings, ideas, projects, objectives, goods, work, in which differentiated production chains cross the territory and connect different places. The strategic and incremental hypothesis of projects spread along the road between Craco and Oliveto Lucano is part of the logic of wanting to identify “constellations of new urbanities” [21] (Fig. 4). These include the initiatives of Craco Ricerche, Matera Capital of Culture, Eni’s compensatory investments in research projects and funding for the development of the Lucan territory, the Aliano Landscape Festival, the Calanchi Theater of Pisticci, the Museum of the Arboreal Cults of Accettura, the Corner of the Memory of Stigliano, etc. Taken together, these practices tell of people who transform the condition of marginality into values strictly connected to the characters of the landscapes of the Matera Mountain, even though they are unable to communicate with each other. The proposal, therefore, intends to heal, in the double meaning of redefining margins and mending the parts, in the manner of Maria Lai, the Sardinian artist who places at the centre of her activity the “desire to connect distant elements together” [22].

4 Discussion and Conclusions The strategy of widespread projects for the Montagna Materana comes from a journey and a stay in places. The thread, that is, the road thus becomes the physical and at the same time immaterial device [23] through which to re-imagine the Montagna Materana. The road is a story that crosses diversity: it connects distant and profoundly different landscapes and people. The road is also the favourite place of the Inner Areas, where the relationship between full and empty spaces is reversed, and the distances with respect to urban areas are increased. The road, therefore, is an architecture of geography. “It is by walking that man began to build the natural landscape that surrounds him” [24], transforming the territory into a cultural product. The road can, therefore, be conceived as a line that unites a series of fundamental points, places that define a system of reference and orientation points which are indispensable when travelling [25]. In the Inner Areas, as well as in the territories where the road is the element of the structure as well as the infrastructure of the landscape, we can refer to the Japanese concept of the “BA” which means “place of exchange of knowledge” [19, 26, 27]. An idea, according to which the creation of new knowledge cannot be controlled, but only favoured. “Aree Inter_net”, the title of the project, is nothing more than the construction of a context capable of favouring a multiplication of relationships and possible exchanges. Along the road that connects Craco to Oliveto Lucano the intersections of possibilities are defined by a series of hubs, observers, stops, shelters, places that open up to other sites. Aree Inter_net is a network that intertwines different times and conditions, strengthens heteropolarity, highlights the need to get out of the border in an attempt to connect to other systems, to other networks, to other possibilities; considers the contingent condition relating to loans for Inner Areas, and responds simultaneously to the possibility of maximum investment or total abandonment.

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Fig. 5. Earth Observatory and Sky Observatory

The road starts from Craco, where the first hub is positioned in a strategic point concerning future possibilities, in particular for Craco Ricerche’s forecasts for the abandoned historic centre [28]. An “Earth Observatory” has been thought of which introduces the ghost village and the entire Matera Mountain. Along the road, three significant places have been identified in relation to the grafting of landscapes and other roads, intermediate hubs, resting places that open at the intersection with a sheep track, to the grafting of a path between badlands, at the entrance to the Park of Gallipoli Cognato. The road, going up with hairpin bends, ends in Oliveto Lucano, which is assumed to be a street of workshops for artisans with a small widespread hotel and residences for artists. Along the hairpin bends, embedded in the geography of the soil, the fifth and final hub is the “Museum of the dark”, an “Sky Observatory”, a place to live in the woods at night, a refuge for passers-by with small equipment to support free camping (Fig. 5). Aree Inter_net is a proposal that responds to the need to rethink the marginal territory starting from its infinite potential. A first of all cultural awareness, without which it is not possible to speak of development in this context. It is a sequence of possible hubs connected through a cultural infrastructure that puts different ways of living the territory online. It is an open, not definitive or absolute project whose meaning does not depend on a single final configuration but lies precisely in the impossibility of predicting the point of arrival. It is a strategic project that accepts addition, overlap, growth as much as its abandonment. The proposal, therefore, identifies a solution that allows and defines different objectives for different types of landscapes, opening up to the outside of the area and including different municipalities. The territorial structure thus obtained overcomes the pole-margin dichotomy and attempts to build a new territorial hierarchy through widespread heteropolarities: different poles for different points of view. In this way the sense of the National Strategy and of the Area Strategy is reinterpreted, identifying a hierarchically main objective, rethinking the marginal landscape of the internal areas starting from the relationship, material and immaterial, established with its inhabitants and recalling the concept of “re-configuration mental”: “The landscape is within us before being around us.

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We create the landscape we have in mind in the world we live in” [29]. In the Montagna Materana “precisely because they remained marginal to the development processes, and thanks to the extraordinary peculiarities that they contain, from discarded stones these territories could turn into cornerstones from which to start” [21]. The methodological path has made it possible to structure an integrated, incremental and multidimensional decision-making process, in which the interaction between the project and the evaluation allows different views to dialogue, starting from the specifics of the context. This project for the Matera Mountain highlights the need to stimulate the formulation of a hybrid strategy and rethink the marginal territory through its infinite potential in a culture-led perspective, outlining an open, non-definitive and absolute project, sensitive to changes and in continuous evolution. The complexity of the theme of the inner areas does not allow a reiteration of the solutions, but only a joint reflection on the methodological approach adopted in the case of Montagna Materana. In particular, all research is based on a crucial point that is related to the identification of the specificities according to a place-based and site-specific perspective. The open and nondefinitive project was defined from these results and from the purpose not to reduce them, but to increase them. Indeed, the methodological approach focuses on the cultural identity of the Montagna Materana landscapes, which becomes the centre of the proposed strategy. Author Contributions. The research presented in this paper was developed within the degree thesis in Architecture of Piero Zizzania, Department of Architecture (DiARC), University of Naples Federico II, tutor prof. Angela D’Agostino and co-tutors prof. Maria Cerreta and PhD candidate Giovangiuseppe Vannelli. The authors jointly conceived and developed the approach and decided on the overall objective and structure of the paper. In particular, conceptualization and methodology, Angela D’Agostino and Maria Cerreta; methodology and validation, Giovangiuseppe Vannelli; methodology, formal analysis, investigation, data curation, and software, Piero Zizzania. The authors jointly contributed to the writing of the paper and have read and approved the final version. The figures, presented in each section of this paper, are an original elaboration of Piero Zizzania.

References 1. ISTAT: 15th general population census. Origin-destination matrix of daily trips for study or work reasons (2011) 2. Barca, F., Casavola, P., Lucatelli, S.: Strategia nazionale per le Aree Interne: definizione, obiettivi, strumenti e governance. Collana Materiali Uval, no. 31, Roma (2014) 3. Agamben, G.: Che cos’è un dispositivo?. Nottetempo, Milano (2018) 4. Sciascia, L.: Quei paesi fanno comodo. Il Mattino, Roma (1980) 5. Lucatelli, S., Monaco, F.: La voce dei Sindaci delle aree interne. Problemi e prospettive della Strategia nazionale. Rubbettino, Soveria Mannelli (2018) 6. Meini, M.: Terre invisibili. Esplorazioni sul potenziale turistico delle aree interne. Rubbettino, Soveria Mannelli (2018) 7. Evans, G., Shaw, P.: The contribution of culture to regeneration in the UK: a review of evidence. A report to the Department for Culture Media and Sport, London, UK (2004)

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8. Evans, G.: From cultural quarters to creative clusters: creative spaces in the new city economy. In: Legner, M. (ed.) The Sustainability and Development of Cultural Quarters: International Perspectives, pp. 32–59. Institute of Urban History, Stockholm (2009) 9. De Rossi, A.: Riabitare l’Italia. Le aree interne tra abbandoni e riconquiste. Donzelli, Roma (2018) 10. Hwang, C.L., Yoon, K.: Multiple Attribute Decision Making: Methods and Applications. Springer-Verlag, Heidelberg (1981) 11. Figueira, J., Greco, S., Ehrgott, M.: Multiple Criteria Decision Analysis: State of the Art Surveys, vol. 78. Springer, Heidelberg (2005) 12. Ishizaka, A., Nemery, P.: Multi-criteria Decision Analysis: Methods and Software. Wiley, Hoboken (2013) 13. LINK Le giornate di Bertinoro di Stefano Zamagni. https://www.legiornatedibertinoro.it/ 14. Checkland, P.: Systems Thinking, Systems Practice: Includes a 30-Year Retrospective. Wiley, Hoboken (1999) 15. Rosenhead, J., Mingers, J.: Rational Analysis for a Problematic World Revisited: Problem Structuring Methods for Complexity, Uncertainty and Conflict. Wiley, New York (2011) 16. Cerreta, M., Diappi, L.: Adaptive evaluations in complex contexts: introduction. Ital. J. Reg. Sci. 13(1), 5–22 (2014) 17. Cerreta, M., Poli, G.: Landscape services assessment: a hybrid multi-criteria spatial decision support system (MC-SDSS). Sustainability 9, 1311 (2017) 18. Cerreta, M., Panaro, S.: From perceived values to shared values: a multi-stakeholder spatial decision analysis (M-SSDA) for resilient landscapes. Sustainability 9(7), 1113 (2017) 19. Choo, C.W., De Alvarenga Neto, R.C.D.: Beyond the ba: managing enabling contexts in knowledge organization. J. Knowl. Manag. 14(4), 592–610 (2010) 20. D’Agostino, A.: Da patrimoni in abbandono a reti di paesaggi. Percorsi di ricerca tra centri minori e aree interne dell’Italia centro meridionale. In: Calderoni, A., Di Palma, B., Nitti, A., Oliva, G. (eds.) Il progetto di architettura come intersezione di saperi. Per una nozione rinnovata di patrimonio. Atti dell’8º Forum ProArch, ProArch Ass. Naz. docenti di Progettazione Architettonica (2019) 21. Decandia, L., Lutzoni, L.: La strada che parla. Dispositivi per ripensare il futuro delle aree interne in una nuova dimensione urbana. Franco Angeli, Milano (2016) 22. LINK Fondazione Maria Lai. http://www.stazionedellarte.com/la-fondazione/ 23. Chatwin, B.: Le vie dei Canti. Gli Adelphi, Milano (2010) 24. Careri, F.: Walkscape. Camminare come pratica estetica. Einaudi, Torino (2006) 25. Coccia, L.: La forma del territorio e la sua descrizione. In: Castellano, S. (ed.) Tra geografia e architettura. Appunti di progettazione urbana. Facoltà di Architettura, Napoli (1995) 26. Concilio, G., Tosoni, I.: Innovation Capacity and the City. Springer, Milano (2019) 27. Nonaka, I., Toyama, R., Konno, N.: SECI, Ba and leadership: a unified model of dynamic knowledge creation. Long Range Plan. 3, 5–34 (2000) 28. LINK Craco Ricerche. https://www.cracoricerche.net/ 29. Morelli, U.: Mente e paesaggio. Una teoria della vivibilità. Bollati Boringhieri, Torino (2011)

Territorial Cooperation for Sustainable Development in the Framework of Fisheries Local Action Groups. The Case of Galicia (Spain) Jesús Felicidades García1(&) 1

and María Ángeles Piñeiro Antelo2

University of Huelva, Cantero Cuadrado, 21004 Huelva, Spain [email protected] 2 University of Santiago de Compostela, Praza do Obradoiro, 15782 Santiago, Spain

Abstract. The Common Fisheries Policy (CFP) applies the experience of the LEADER method and Community-led Local Development (CLLD) with the objective of the sustainable development of coastal areas. This important transformation of CFP through decentralisation and subsidiarity, partnership and innovation, networking, and interregional and transnational cooperation is done through Fisheries Local Action Groups (FLAGs), which develop joint actions that allow them to exchange experiences and supports interregional and transnational cooperation between fisheries communities. The purpose of the study is to analyse the scope of the cooperation developed in Galicia in the EFF (2007–2013) and EMFF (2014–2020) planning periods, by reviewing the FLAG development strategies and the actions financed, both study visits and good practice seminars, as well as cooperation projects. The results show that the development of cooperation actions within the framework of FLAGs, despite having increased since 2007, is still very limited in its complexity and its scope is, in most cases, regional. In conclusion, we reflect on the complexity of cooperation, the need to advance along this path, and the suitability of the FLAG to lead the process. Keywords: Cooperation


Fisheries Local Action Groups (FLAGs)
CLLD

1 Introduction The Common Fisheries Policy (CFP), through the European Fisheries Fund (EFF) and now the European Maritime and Fisheries Fund (EMFF), supports interregional and transnational cooperation between fisheries areas. This cooperation is carried out through the Fisheries Local Action Groups (FLAGs), which develop joint actions that allow them to share experiences and address the challenges of the coastal development of the territories involved. Spain has significant experience of local development, both through its pathway in LEADER [1, 2], and in coastal communities through fishermen’s guilds (cofradías) and associations, which often inspire fishing projects that fit in with these approaches © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 198–207, 2021. https://doi.org/10.1007/978-3-030-48279-4_19

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[3]. In recent years, new opportunities and stimuli for cooperation and the strengthening of spatial interrelations have emerged in the CFP, first with the adoption of the LEADER approach and then with the implementation of CLLD [4, 5]. As in LEADER, the perception of cooperation between coastal communities as an inherent component of development initiatives could contrast with its limited capacity to attract the activities and funding, especially transnationally [6, 7]. In the framework of the FLAG, cooperation can be structured on two levels. On the first level, these groups themselves represent a form of cooperation, both because of the associative and participatory nature of public representatives, local governments and companies in decision-making bodies, and because of their objectives, which are specified in a Local Development Strategy (LDS) that guides the actions of the group itself. There is also a second level of cooperation, expressly supported by the regulations and funds derived from CFP. This is the level at which this work is focused, which encourages and supports FLAGs to carry out joint actions with another group taking a similar approach either in the same region, in another region or EU state, or with non-EU countries, including with rural development groups (LAGs). In the case of Spain, the characteristics, partners and scope of this cooperation are very much conditioned by the intervention of regional governments, since the management of funds is decentralised [8]. The case study used here focuses on Galicia (Spain) – the Spanish region where fishing activities have the greatest relative significance in the local economy and society. Galicia is also a pioneer in calling for specific cooperation projects in Spain (2016). The Galician FLAGs have launched cooperation actions, which between 2007 and 2013 were mainly seminars and study visits. This was extended in the following period with projects and an investment of around € 750,000 between 2016 and 2018. Few studies have theorised and evaluated the scope of cooperation of local and rural development. In addition to the technical evaluation reports [1, 9], the little scientific production on the subject [10, 11] has recently been joined by two works on transnational cooperation in LEADER [6, 7] and a study on the organization of cooperation between Spanish fisheries areas at a regional level [12]. In this context, this paper aims to deepen the characteristics of cooperation and, to some extent, testing their potential in the CLLD scheme of fisheries-dependent areas. Our hypothesis is that the development of cooperation actions within the framework of the FLAG, despite having increased since 2007, is still very limited in its complexity and its scope, and is, in most cases, regional. Specifically, the research questions are as follows: What is the scope of cooperation within the framework of the FLAG? What is the weight of cooperation within LDS?

2 Territorial Cooperation for Coastal Development Common Fisheries Policy, through Axis 4 of the EFF, introduces and maintains, in the current period FEMP 2014–2020, the LEADER method as a place-based policy intervention for coastal development through the decentralised and participative management of a part of its funds. The creation of Axis 4 and the FLAG allowed the effective implementation of this important transformation of CFP through decentralisation and

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subsidiarity, partnership and innovation, networking, and interregional and transnational cooperation, which coincide with the principles defined by the LEADER Programme in its successive stages over the last 30 years. This policy of coastal territorial development is based on a system of governance that emphasises the local scale, with fishing activity at the centre of the economy –with synergies in recreation, tourism and ecosystem conservation– [13] and with maritime identity as a key resource [14]. To date, the main result of this transfer to fishing communities has been the constitution of local stakeholder systems and the establishment of increasingly strong collective responsibilities [5]. In general, integrated and place-based approaches contribute more to the highly complex task of influencing coastal territorial development than approaches that focus only on individual sectors [5, 13, 15]. An adequate territorial development policy at the local level allows for flexible actions and tools to be used for different tasks, including the mobilisation of actors, solidarity and cooperation. This is also related to discussions on “Blue Growth” and Maritime Spatial Planning [16]. There is a consensus in the literature on the contributions of the LEADER method to the creation of a governance model and to the extension and consolidation of local stakeholder systems [17, 18]. This model is currently maintained in the CLLD guidelines as a perspective due to its capacity to expand the scope and effectiveness of rural development [19] and of fishing areas [5]. However, the most questioned principles of LEADER are related to its capacity to generate innovation and social capital, and to involve all potential actors and interest groups, beyond the excessive control of public administration partners and local elites [20]. On the other hand, the few studies that have theorised and evaluated the scope of cooperation [6, 7, 10–12] concludes that, despite the high expectations created, the impact of cooperation projects has been less than expected and, in general, cooperation as an instrument has been underused [6, 9]. There is a great diversity of cooperation in coastal, urban and rural areas of the EU, stimulated by economic, social and environmental objectives. Cooperation, insofar as it aims to help local actors boost the potential of their areas, can be studied from a systemic and territorial approach [10, 11]. The geographical perspective of this cooperation is based on the fact that relations between actors and social groups try to fit into a broader territorial context, from the dual strategy of local development - subsistence and global insertion [21]. On the one hand, cooperation between actors in a community outlines relations between community and the characteristics of their territory, especially in terms of identity and local legitimacy. This aspect is considered to be one of the determinants of the configuration of geographical space and territorial development, and therefore of the growing role of European policy at the local level [22]. On the other hand, the neoendogenous approach to rural development recognizes the role played by extra-local actors that can have a positive impact on the territory [23, 24]. In this sense, the capacity of actors to carry out joint actions with other groups from other places, regions or countries in the pursuit of shared objectives, contributes to the development of a perspective on the problems of local communities, to the acquisition of new knowledge and useful resources, and to the construction of structures that determine the future functioning of cooperation. These structures are based on a process of adaptation to socio-territorial conditions, and especially to the set of organizations and institutions present in the territories, which interact and co-evolve in terms of governance [25, 26].

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Cooperation incorporated into rural development, and now into fisheries policy, means working with stronger links and connectivity, and more competitiveness, beyond the territory itself. This allows for an increase in the political influence of action groups, innovation and the demonstrative effect of the actions [7]. In addition, the transnational aspect of cooperation allows for the highest degree of learning and the improvement of personal and institutional networks. Cooperation also means a process of adaptation to socio-territorial conditions, and especially to a set of actors and institutions that interact with each other. This allows for experimental work to take place at the local level to test new formulas of cooperation. However, this opportunity can also lead to a weakening of the cooperative approach, giving rise to paradoxes and the perverse effects of cooperation, such as the loss of a local perspective in favour of exogenous interests [7], the loss of the local legitimacy of groups in the eyes of the communities they lead [11], or the rise of competition and the development of hierarchies and gaps between groups and territories that are both connected and disconnected, generating winners and losers [10].

3 Sources and Methodology This work incorporates the results of the literature review on cooperation and its links with local development, in the framework of European programmes and policies for rural and coastal areas. Emphasis is placed on the LEADER Programme, and on the application of the CLLD approach to CFP since 2007. The methodological work has been developed in two phases: i) analysis of the cooperation objective in the framework of the CFP, ii) analysis of the fund distribution phase, with emphasis on the nature of the projects financed, their objectives and the levels of cooperation achieved. In the first phase, a detailed study of the scientific literature on the definition, objectives and results of cooperation under the LEADER Programme and the application of its methods in the field of fisheries was carried out. The legal texts related to the CFP, EFF, EMFF, and Spanish and Galician Operational Programmes were also analysed to see the objectives of cooperation at European, national and regional levels. In addition, the Local Development Strategies (LDS) approved by the FLAG were analysed to understand cooperation at regional and local levels. For the second phase of the analysis, which examined the distribution of funds from a quantitative point of view, secondary data from the following sources were used: (a) Annual Reports on the implementation of the European Fisheries Fund, published by the European Commission annually between 2007 and 2014; (b) Annual Reports on the implementation of EFF and EMFF between 2007 and 2018 by the Spanish Government (which provides data at the state and regional levels); (c) information published by the Galician Government through its official publication (DOG) regarding the cooperation projects financed. These official sources were completed with the information provided by the FLAG coordination networks at the European level

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(FARNET, https://webgate.ec.europa.eu/fpfis/cms/farnet2/), the national level with the Spanish Network of Fishing Groups (REGP) (https://regp.pesca.mapama.es) and the Spanish Network of Women in the Fishing Sector (https://www.mapa.gob.es/es/pesca/ temas/red-mujeres/), and at the Galician level (Acción Costeira, https://galp.xunta.gal/). These networks provide detailed information on each of the projects financed by the fisheries funds, related to the nature and objectives of each project, their partners and the financial support given, how they were executed, the employment generated or maintained, and the scope of the cooperation and adaptation to the objectives of LDS.

4 Territorial Cooperation in the FLAG Framework in Galicia The theoretical basis of this work is related to a territorial dimension for governance and territorial capital [22, 25] -see also the neo-endogenous approach [7, 23, 24]-, addressed in the CLLD method and decentralization of local development. It also relates to the knowledge, resources and cooperation structures in the FLAG scheme and its adaptation to the socio-spatial contexts and to the institutional framework of governance and local development, contributing empirically to deepening the evolutionary perspective of governance [25–27]. On the other hand, the background of the case study is established from the management of funds for the Sustainable Development of Fisheries Areas (EFF Priority Axis 4) in Galicia. The Regional Government selected seven FLAGs in the period 2007–2013, which would be extended to eight in the following period 2014–2020 due to the splitting up of one of the groups, and the incorporation of Galician cities into the scope of action of the FLAGs. In this way, the entire coastal area of the region was included in the scope of the development strategies designed by the groups. 4.1

Learning from the LEADER Programme

Networking between FLAGs and specific measures for inter-territorial and transnational cooperation started to be formally promoted through EFF Regulation (EC) No 1198/2006, in Articles 43 and 44 under Axis 4. In the early stages of the development of the FLAG, formal and informal cooperation, through networking between fisheries groups, and also with more experienced LEADER groups, was highly appreciated. In these initial phases of CLLD implementation, cooperation was also established between the European Network for Rural Development (ENRD) and the Fisheries Areas Network (FARNET) [28], created in 2009 as a platform to support FLAGs and for the exchange of good practices. FARNET, in the first five years since its creation (2009 to 2013) received € 10,353,546 from the EFF. The cooperation of these European networks supporting rural and coastal development in Europe was reinforced through the state and regional networks [29]. This was the case in Spain, through the Red Española de Grupos de Pesca (REGP) and Red Española de Mujeres en el Sector Pesquero; in Galicia, with Rede de Grupos de Acción Local do Sector Pesqueiro, and in Portugal with Rede Nacional de Grupos de Ação Costeira, with which Galician

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groups collaborate in the framework of cross-border cooperation actions for the development of coastal communities and the economy. With the launch of the 2014–2020 programming period, both Regulation (EU) No 508/2014 on the FEMP (Articles 62 and 64) and Regulation (EU) No 1303/2013 containing common provisions on the European Structural and Investment Funds (ESI) will apply (Article 35). This new period establishes a very favourable scenario for both types of cooperation in the framework of participatory local development. At the community and state level, cooperation is promoted between local groups and actors existing in the territory, some financed by different ESI Funds, and whose scope can go beyond EU countries [30]. But regions can also promote cooperation projects, and this is the case in Galicia, where the Galician Government has open calls for projects1.

Fig. 1. Galician FLAGs.

4.2

Results

EFF, 2007–2013 This period was dominated by simpler cooperation actions, which took the form of study visits between groups and seminars for the dissemination of good practices. These exchanges were reinforced and multiplied as the programme progressed (Table 1).

1

ORDER of August 3, 2016. DOG 166, 02/09/2016, Xunta de Galicia.

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Table 1. Visits and seminars for cooperation with Galician FLAGs. Source: Spanish Government, Annual Reports on the implementation of EFF. 2011 2012 2013 2014 Visits Seminars Visits Seminars Visits Seminars Visits Seminars 5 2 4 5 5 7 10 12

There were few cooperation projects in the Axis 4 period in Galicia, and most of them were led by a FLAG. This was the case for projects such as Mar Galaica, an initiative created in 2012, led by the FLAG Costa Sostible, and that is related to the supply of fishing tourism products and services (MAP, 2012); or Come o mar, initiated in 2013, which included seafood and gastronomic tourism activities involving more than 400 restaurants [30]. The seven Galician FLAGs cooperated in both projects using their own funds. During this period, cooperation projects approved in the general calls for projects were exceptional. The first of them, Enredadas: Cultura e oficio das redeiras, was presented in 2012 by 4 net-mending associations of two FLAGs (A Mariña-Ortegal and Costa da Morte), and is a clear example of cooperation at a regional level. The first international cooperation projects were also developed, such as Sustainable and Holistic approaches to development in European Seaboards, which focused on improving the capacity of coastal areas, taking advantage of exchanges of knowledge and flows of human and social capital activated through cooperation, and seminars during the years 2014 and 2015. It was led by the Gruppo di Azione Costiera dello Stretto from Italy, with the participation of eight Spanish FLAGs (among them two Galician ones: Mariña-Ortegal and Costa da Morte), but also LEADER groups, such as the Galician LAG As Mariñas-Betanzos, which is a good example of cooperation between LAGs and FLAGs. There was also a low number of cooperation projects in Galicia during the LEADER/FEADER funding period. Measure 421, which is aimed at promoting transnational and interregional cooperation through cooperation projects (and initially endowed the Rural Development Programme of Galicia with € 3,426,000), was deprogrammed during this period, with the inter-territorial cooperation projects of Galician LAGs then being financed through specific calls by the Spanish Government within the framework of the National Rural Network Programme [31]. EMFF, 2014–2020 There are major differences in the importance that FLAGs attach to cooperation, which is largely reflected in the treatment of this aspect in their strategies and in the budgets allocated for this purpose (Fig. 1). Interest in initiating or strengthening not only internal but also interregional and transnational cooperation is an objective of the eight LDS analysed, either as a strategic objective or as a transversal objective, although only five of the FLAGs’ Financial Plans detail the estimated budget for cooperation actions. The Galician Government has made available a budget credit of € 681,116 between 2017 and 2019 for applications to inter-territorial and transnational cooperation projects, of which 85% comes from the EMFF. Thus, a specific and open call for projects

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was made in 2016 and, as a result, 10 cooperation projects were approved between 2016 and 2018, with public funding of € 743,732.12. Two of the projects, Morada Atlántica and its extension Morada Atlántica+ Espazo Atlántico, are transnational as they are cooperating with a FLAG in Portugal. In all of these cases, there is regional collaboration between FLAGs, and the projects are related, on the one hand, to the promotion of tourism, especially fishing tourism, and on the other hand, to the support and promotion of associationism and the work of women at sea. In addition, in 2016, the Regional Government organized a workshop with the aim of promoting cooperation, addressing the lessons learned in the implementation of the EFF, identifying barriers and needs, and seeking project ideas that promote cooperation beyond networking. Despite these actions to boost cooperation, during 2019, the autonomous government did not publish any other resolution on approved inter-territorial and transnational cooperation projects, which seems to indicate certain difficulties in their development.

5 Conclusions Inter-territorial and transnational cooperation in Galicia, since 2007 through the EFF, has developed mainly at the regional level. This experience has allowed FLAGs to be established as part of the complex system of governance in coastal areas, and to learn from previous approaches and policies for rural development in Europe. The application of the LEADER/CLLD approach to the EFF and EMFF funds, with the objective of the sustainable development of fisheries areas, began early in Galicia compared to the rest of Spain, with clear support from the Regional Government for the development of Axis 4 through the promotion of FLAG actions. The results of an analysis of the experiences of coastal cooperation in Galicia indicate that the first steps in inter-territorial cooperation, as recommended in all the regulations and support documents for the FLAGs, began with the closest geographical area (cooperation with regional neighbours) in order to strengthen the role of the FLAGs in the governance system of coastal communities. The period 2007–2013 saw a proliferation of study visits, not only interregional but also at the state and European level, as well as attendance at seminars for the exchange of good practices, organised largely by networks such as FARNET, the Spanish network of fishing groups, the Portuguese FLAG network, or the Spanish women in fisheries network. At the same time, cooperation in the form of projects was started. In this sense, the Galician Government, an intermediate body for funding, became aware of the need to promote cooperation through experiences that reflected a greater degree of maturity in the collaborative work of the FLAGs. The aim was to learn the lessons of LEADER and to not repeat its mistakes. In fact, between 2016 and 2018, 10 cooperation projects have been funded, representing 13.5% of the total 74 projects approved by the eight Galician FLAGs in those years. Despite this, there have been certain difficulties in the development of cooperation actions, which were also identified in LEADER [6, 7, 11], even with a programme with a much more consolidated trajectory. In future research, it will be necessary to explore the complexity of the most advanced cooperation formulas, especially interregional and transnational projects,

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which is a weakness of this type of initiative. Here, we understand complexity as referring to diversity and difficulty. Diversity, in the sense of the existence of very diverse groups, with different levels of organisation, cohesion, technical capacity and, above all, the capacity to integrate local actors. And difficulty in facing the regulatory, linguistic, financial and cultural obstacles that need to be overcome in order to tackle projects that can provide a response to common problems, such as climate change, the ageing of the most rural and peripheral coastal areas, or the decline in the relative weight of the activities of the fisheries sector in the local economy. It is also necessary to raise the question of who should lead cooperation actions. Whether it is necessary to continue leaving the promotion and dynamisation of these actions in the hands of the Galician Government, or whether, on the contrary, the leadership of the FLAGs should be reinforced, without forgetting that involving the private sector in cooperation actions is a pending issue.

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The “Blue Vision” of Ionian Coastal Rural Area Maria Assunta D’Oronzio1(&), Gianluca Gariuolo1, Gabriella Ricciardi2, and Mariacarmela Suanno1 1

Centro di ricerca Politiche e Bio-economia, CREA - Consiglio per la Ricerca in Agricoltura e l’Analisi dell’Economia Agraria, 85100 Sede di Potenza, Italy {massunta.doronzio,mariacarmela.suanno}@crea.gov.it, [email protected] 2 Centro di ricerca Politiche e Bio-economia, CREA - Consiglio per la Ricerca in Agricoltura e l’Analisi dell’Economia Agraria, 90145 Sede di Palermo, Italy [email protected]

Abstract. At the end of 2017, the Coastal Areas Consultation Group was established as part of the activities of the Italian National Rural Network where scholars, experts and active local development operators debated, compared ideas and paths and exchanged knowledge, skills and experience on ongoing initiatives in national rural coastal areas. This led researchers from the CREA Centre for Policy and Bio-economy Research (CREA PB) to start a study on the Ionic area to delve into the characteristics of integrated local development. The Ionic area is characterized by strong production sectors and weak economies, in which strategic choices have also been made in a multi-sector and integrated territorial approach, capable of re-understanding and considering, within it, the strength and weakness of the same production system in the area. The area covers four regions (Basilicata, Calabria, Puglia, Sicilia) with 131 municipalities to 2018, with an area of 8,165 km2 and a population of more than 2 million. In these regions, as part of rural and coastal development policies, there are 24 local action groups, 18 of them in LEADER, 6 in Fisheries and 1 which is the only real multi-fund approach in the Jonic area. This work is structured in three sections: the first, contextualizes the socioproductive analysis of the Ionic area; the second, presents the results of the Ionic area for the planned actions, partly implemented, by the Leader and Fisheries LAGs. Finally, in the third section, the conclusions of the work carried out were drawn with possible directions to make more effective interventions. Keywords: Rural areas


Development strategies
Blue economy

1 The Characteristics of the Development of the Ionic Area The area has four regions (Basilicata, Calabria, Puglia, Sicilia) with 131 municipalities to 2018, with an area of 8,165 km2 and a population of more than 2 million. A population concentration of more than 200,000 is recorded in five cities: Catania, Messina, Siracusa (Sicilia), Taranto (Puglia) and Reggio Calabria (Calabria). Along-side this high concentration of population there are numerous large municipalities, between © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 208–218, 2021. https://doi.org/10.1007/978-3-030-48279-4_20

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50,000 and 200,000 inhabitants (Catanzaro, Catania, Acireale) and also municipalities below 20,000 inhabitants in Basilicata and Calabria (Cirò Marina, Cutro, Nova Siri, Scanzano Ionico), regions that have experienced a strong depopulation over the years (Fig. 1).

Fig. 1. Ionic Flags and LAGs. Source: Processing by CREA PB

In the area analysed is located 84,000 farms, namely 26% of the farms in the entirety of the coastal municipalities, which cover a SAU of about 400,000 ha. In this area there are about 400 agritourism farms, a figure not to be underestimated, although as a percentage the value is only 16% compared to the rest of the coasts; the figure should be related to the beds present, which in Ionian amount to 219,444. The food, beverage and tobacco industries, on the other hand, are 2,779 (Table 1). The strength of this area has represented by elements of the “sea economy” as defined by the 7th Report on the Economy of the Sea – Unioncamere: Fish supply chain, Marine extractive industries, Shipbuilding industry, Handling of goods, Accommodation and food services, Research, regulation and environmental protection, Sports and recreational activities. The blue economy’s business system is characterized by the number of companies, at national level, by the tourism and Accommodation and food services sector, about 43.6 of the total, followed by the fish supply chain, 17.3% with 33,705 companies. Sports and recreational activities (15.4%) and shipbuilding

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Table 1. Overview of the main socio-structural data of coastal and Ionian municipalities. Ionic costal area 131 8.165 2.277.521 48.612

Municipalities (N.) Surface area (Km q) Population 2011 estimate (N.) Trade (number of persons employed) Units 145.306 Manufacturing (number cf 10.526 persons employed) Food and drink industries 2.279 (number of persons employed) Farms (N.) 84.240 Agritourism farm s (N.) 393 Bed availability (N.) 219.444 UUA 2010 (Ha) 442.097 FA 2010 (Ha) 389.682 Source: CREA PB Processing on ISTAT Data

Municipalities

642 43.122 16.671.831 382.998

Ionic municipalities/Coastal municipalities (%) 20 19 14 13

1.348.881 86.862

11 12

16.942

16

322.503 2.451 2.606.382 2.198.051 1.820.371

26 16 8 20 21

(13.9%) are the lowest weight for the number of companies. The sector in which the largest group of companies is concentrated is that of Accommodation and food services, closely linked to tourism, with 43.6% of the total number of companies (almost 85,000). Also in terms of added value and employment, the tourism segment of the blue economy represents the most representative sector with 13,934.90 M€ and 332,300 units. In the four Ionian regions, there are 24 LAGs, 18 of them in LEADER (Start 2020 in Basilicata; Sibaritide, Kroton, Due Mari, Serre Calabresi, Terre Locridee, Area grecanica, Basso TirrenoReggino – Ba.Ti.R. in Calabria; Luoghi del Mito e delleGravine, Magna Grecia, Capo di Leuca, Terre del Primitivo in Puglia; Eloro, Natiblei, Taormina-Peloritani: Terra dei miti e della bellezza, Terre di ACI and Terre dell’Etna e dell’Alcantara in Sicilia), 6 in Fisheries (Coast to coast in Basilicata; Borghi Marinari dello Ionio, Flag dello Stretto, Ionio 2 in Calabria; GAC dei due Mari, GAC Riviera Etnea dei Ciclopi e delle Lave in Sicilia) and 1 which is the only real EAFRD- EMFF multi-fund approach (Terre d’Arneo in Puglia). The number of LAGs in the area could suggest that there are specific needs and policies that require differentiated action. In the area only three Calabrian LAGs hold stakes in the flag’s share capital: Ba.Ti.R., with a 25% stake in the FLAG delloStretto, and Terre Calabresi and Terre Locridee, who hold 2.08% in the Ionian FLAG 2, respectively. It should also be noted that many coastal municipalities, even in the course of previous programming, are part of LAGs strategies that in some cases encompass marine territories, as well as from the Ionian sea, also from the Tyrrhenian sea, as in the case of the Ba.Ti.R LAGs and The Due Mari in Calabria, Coast to Coast in Basilicata and Taormina-Peloritani in Sicilia, or

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from the Sea of Sicilia, as in the case of the Eloro LAG. The LAG Natiblei, out of a total of 17 municipalities participating in the partnership, is bathed by the Ionian sea only in the few kilometers of Carlentini beach, while for the LAG Magna Grecia that out of 12 municipalities only 2 overlook the Jonio.

2 Methodology of Analysis The empirical analysis of the ionic area was divided into several phases, developed based on cross-reading and descriptive and interpretive analysis of official regional and local planning documents and a first study on coastal areas realized by CREA PB [1] listed below: RDP 2014–2020 and OP EMFF 2014–2020 [2] of the regions of Basilicata, Calabria, Puglia, Sicilia [3] and Local Action Plans (Italian PdA) [4] of the 18 LAGs whose territories are washed by the Jonio Sea and 6 FLAGs situated on the Ionian Sea. The study of LAG and FLAG PdAs allowed to verify the perception that local communities have elements of strength and weakness that characterize the geographical areas of reference and the strategies identified to contribute development socioeconomic and environmental areas through PdAs of LAGs and FLAGs. In cases where this connection has not been highlighted, it has proceeded in function of the content of the Action Plans. In particular, with regard to cross-cutting actions, such as human capital formation or technology transfer that the classifications carried out by the LAGs have been respected, which in some cases have grouped them together in “transversal scope”, while in others they have linked them to thematic objectives 1 and/or 3 considering them closely linked and synergistic. The grouped shares were then classified on the base of the allocated public and private financial resources, the measures/submeasures of the RDP and the actions of EMFF. Based on the financial weight of each share class expressed as a percentage of the total public resources allocated by the LAG and FLAG respectively for each thematic scope, the shares were classified by high, medium, and low value. In particular, classes of shares whose public resources were valued at 4% or less than those calculated for the entire thematic scope were considered “low value”; of “average value” are those whose public resources correspond to between 4.1% and 10%; Finally, “high value” shares have a percentage weight of more than 10.1%. The analysis considers the 2019 annuity of the PdAs, in this annuity the LAGs are engaged in the intermediate review under art. 21, par. 2, Regulation (EU) No 1303/2013 and in maximizing expenditure in order to avoid financial cuts linked to disengagement of resources, as per Regulation (EU) No 1303/2013, art. 136. The analysis ended with a comparison between the two models of local, rural and coastal development of the Ionic arc, aimed at identifying possible common models of local development and interventions that could foster greater synergies between the EAFRD and EMFF funds.

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3 Overviews of Results Public resources amounting to 89% of the LAGs were made available for the development of the Municipalities of the Ionic arch. In particular, the public budget of the LAG PdAs is 74,324,046.22, of which 44,966,047.96 of EAFRD share, while the amount assigned to the FLAG PdAs is 9,527,874.67, of which 4,763,937.34 of EMFF. About 20% of financial resources of LAGs (Ba.Ti.R., Due Mari, Coast to Coast, Taormina-Peloritani, Eloro, Natlibei, Magna Grecia) fall in the inland rural areas so have out of this analysis. Puglia and Sicilia Regions support the implementation of PdAs through the multi-funded strategy, EAFRD and EMFF funds in Puglia and EAFRD and ERDF in Sicilia. Puglia use two EAFRD and EMFF funds, with EAFRD as a Lead fund exclusively for the areas benefiting from Italian Strategy for Inner Areas [5]. LAG Terra d’Arneo of Puglia region, is important by two particular characteristics: unique multi-fund LAG in the Ionian area and allocated 100% of the financial resources on a “sustainable tourism” theme. Aggregating the financial data, 10 thematic areas have been activated among those declined in the 2014–2020 Partnership Agreement [6]: 9 have been activated by LAGs EAFRD, and 5 from the FLAGs EMFF. More than 76% of the total public resources are divided mainly between two thematic scopes (Thematic scope 1 for € 34.465.990,95 and Thematic scope 3 for € 29.640.279,93). Nearly 24% of public financial resources are planned to promote social inclusion and legal action in areas of high social exclusion (4.535.000,00), cross cutting actions and measures designed to enhance the knowledge and communication system (3.806.452,68), interventions to enhance and manage natural and environmental resources (3.011.982,82) and social inclusion of specific disadvantaged and/or marginal groups (2.673.641,85) (Fig. 2). Almost all LAGs (16; with the exception of LAGs Luoghi del Mito e delle Gravine and Terra d’Arneo) and all Ionic FLAGs (6) have concentrated a significant part of their Action Plans on development actions and innovation of local supply chains and production systems. In fact, the public financial resources allocated to the first thematic area cover 40.63% of the total public resources allocated to the Ionic LAGs, amounting to 30.195.350,95 and 44.82% of public resources total of the Ionian FLAG PdAs, for a total of 4.270.640,00. Another important tranche of Local Strategies of the Ionian LAGs was focused on the thematic “sustainable tourism”, chosen by 14 LAGs and 3 FLAGs, absorbing 36.78% of EAFRD and 24.16% of EMFF. Once the main thematic scopes chosen by the Ionic LAGs and FLAGs and the substantial difference in financial weight between these areas and the other activated areas were verified, the analysis of the actions was focused on those related to the areas thematic 1 and 3. A total of 154 actions were activated within the thematic scope 1 for a whole of 34 sub-measures of the 2014–2020 RDP/EMFF 2014–2020, as well as “specific actions”, i.e. different but consistent and synergistic actions with sub-measures provided for RDPs. In particular, LAGs with their actions (114) activated 24 sub-measures (related to 7 measures) and 3 specific actions. The actions planned by the FLAGs (40) in this area, on the other hand, can be traced back to 10 actions of the EMFF (Table 2). With 64% of public resources earmarked for thematic 1, the priority intervention for FLAGs is for the structural modernisation of ports, landing sites, auction halls and

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Fig. 2. Classification of local development strategies of the Ionian arc for thematic scopes and public financial resources. Source: Processing by CREA PB

shelters (1.43). Also relevant for FLAGs are interventions to support the promotion and marketing of fisheries products (action 5.68) which absorb about 9% of the public resources they have allocated to the subject 1. More than 8% of these resources concern about processing and marketing fisheries and aquaculture products (action 5.69). Also for LAGs, one of the most active actions and to which a significant rate of public resources has been allocated, over 5.1 million euros, refers the restructuring and modernization of farms (4.1), for which were allocated 17% of the public resources planned for the thematic scope. Major resources (over 6 M€) have been dedicated to measures to support the diversification of agricultural activities, which are considered more impactful and support for the economic growth of farms and also for their redevelopment socially (4.1). It’s also worth mentioning the decisive role played by the 6.4.c sub-measure for the LAGs Terre del Primitivo, Eloro, Natiblei e TaorminaPeloritani, which alone have intended to support the creation and development of nonagricultural enterprises in the areas of trade, crafts and crafts tourism, services and technological innovation with more than 4,65 million euros. Thanks to the LEADER experience, actions are planned to support cooperation: cooperation actions for short supply chains and local markets (sub-measure 16.3) and for the diversification of agricultural activities (submeasure 16.9) almost 6% of the public resources in the thematic scope are allocated. The introduction of innovations in business contexts (submeasures 16.1 and 16.2) are another element considered important for the jonic rural coastal territories, which not all Regions have assigned to local development policies. Human capital has a significant impact with interventions involving vocational training and the acquisition of knowledge by those in the agricultural, food and forestry and

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Table 2. Actions planned by Ionic LAGs and FLAGs in thematic scope 1 “Development and innovation of local supply chains and production systems”. Source: CREA PB Data Processing Operations

LAG

Structural Support for modernisation tangible and intangible investment aimed at improving viability, competiveness and sustainability of single and associated farming business Fishing ports, landing sites, auction halls and shelters

15 Sibaritide, Kroton, Due Mari, Serre Calabresi, Terre Locridee, Area grecancia, Basso Tirreno Reggino, Terre dell’Etna e dell’Alcantara

5.177.987,83

18 Ionio 2, FLAG dello Stretto, FLAG GAC dei Due Mari, GAC Riviera etnea dei Ciclopi e delle Lave 12 Support for investments in the Kroton, Due creation and development of non- Mari, Serre agricultural activities Calabresi, Magna Grecia, Teere del Primitivo, Capo di Leuca, Natiblei 4 Teere del Support for investments in the creation and development of non- Primitivo, Eloro, Natiblei, agricultural activities-Tourism TaorminaPeloritani Actions with “high value” LAG Leader FLAG EMFF Leader + EMFF public resources thematic scope 1 LAG Leader FLAG EMFF Leader + EMFF

2.719.832,00

Sub measures RDP/action OP EMFF 4.1

1.43

6.4a

6.4c

Total

Total

Actions (n.)

Allocation of fund LAG (€)

6.041.660,00

4.656.960,00

15.876.607,83 2.719.832,00 18.596.439,83 30.195.350,95 4.270.640,00 34.465.990,95

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fisheries sectors. A total of 81 actions were planned in the area of sustainable tourism. In addition to the Leader specific actions (n. 2), the others (n. 72) can be traced back to 15 sub-measures of the 2014–2020 RDP (n. 9) and to 4 actions of the OP EMFF 2014– 2020 (Table 3). For the thematic scope 3, there is a “high value” for coastal areas to support diversification (1.40) and to support marketing (5.68), to which public resources are allocated of 59% and 26% respectively of public resources. The FLAG Coast to Coast has allocated 47% of its resources to the development of tourism, carrying out actions aimed at revitalizing the economy and fishing communities through the enhancement of sea culture as a local identity element. The aim is to facilitate fishing and tourism activities, investments in the collection of waste at sea in order to improve the quality, control and traceability of fishing products. The Borghi Marinari FLAG has provided for the activation of 3 actions for the enhancement of the territory of Sibaritide and Crotonese, strengthening the appeal of local food excellence and integrating them with excellence in the field of food production. Considerable are the interventions for the enhancement of coastal nature trails, underwater routes and archaeological itineraries. Finally, economic diversification activities are closely intertwined with the previous ones. They relate to all forms of differentiation aimed at fishermen’s families and the new generations precisely in the field of increasing the added value of fishery. It is pointed out that a similar activity of enhancement has also been promoted by the GAL Terre del Primitivo, which has focused the strategy on the creation of a widespread museum, coinciding with the entire territory of the LAG and conceived as a “local system of points of interest, visitor centers, experience centers, farms, connected through material and paths intangibles paths built around the identity product of the area, the Primitivo wine. This highlights how the needs of rural coastal areas in some cases overlap and need to be integrated with those carried out in rural areas to increase the effectiveness of interventions in the territory. As the Terra d’Arneo LAG is in fact the pioneer of multi-fund experience (EAFRDEMFF) in the Ionic area, it was deemed interesting to analyze in more detail the actions of this partnership. First of all, this LAG has built the entire strategy on sustainable tourism, considered the real driver of the development of the territory. The aim of the planned actions is to promote the protection, improvement and enjoyment of environmental and cultural heritage. With the action “Strengthening the sustainability of the Rural Quality Park”, interventions are planned to redevelop the natural and landscape heritage through the strengthening of the constraints of protection, the historical and cultural heritage in order to expand the tourist offer cultural and receptive, as well as interventions to support the marketing of sea products. The action “Rural Quality of Hospitality” aims to retrain the ability of the territory to attract tourists, enhancing resources capable of integrating traditional coastal tourism, qualifying the skills of operators and encouraging their propensity for cooperation. The action “Between the land and the sea is in the way of doing” serves as a connector of the above actions, as it guarantees support to

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Table 3. Classification of actions triggered by Ionic LAGs and FLAGs in thematic scope 3 “Sustainable tourism”. Source: CREA PB Data Processing Sub measures RDP/Action OP EMFF 1.30

6.4c

7.5

7.6

5.68

Operations

LAG

Diversification and new forms of income Support for investments in the creation and development of nonagricultural activities-Tourism Support for broadband infrastructure including its creation, improvement and expansion, passive broadband infrastructure and provision of access to broadband and public e-government Studies/investments for the maintenance, restoration and upgrading of the cultural and natural heritage of village

Coast to coast, Terra D’Arneo

3

1.360.000,00

Terre del Primitivo, Terra D’Arneo, Cap o di Leuca, Natiblei, Terre dell’Etna e dell’Alcantara, Terre di Aci Sibaritide, Due Mari, Area grecanica, Basso Tirreno Reginno, Luoghi del mito e delle gravine scarl, Magna Grecia, Terre del Primitivo, Capo di Leuca, Eloro, Terre dell’Etna e dell’Alcantara, Terre di Aci Area grecanica, Terre del Primitivo, Terre d’Arneo, Capo di Leuca, Eloro, Terre dell’Etna e dell’Alcantara, Terre di Aci Coast to coast, Borghi marinari dello Ionio LAG Leader FLAG EMFF Leader + EMFF LAG Leader FLAG EMFF Leader + EMFF

9

5.645.000,00

20

7.280.412,61

9

6.109.948,31

4

591.823,00

Marketing measures

Total actions with “high value”

Total public resources thematic scope 3

Actions (n.)

Allocation of fund LAG (€)

19.035.360,92 1.951.823,00 20.987183,92 27.338.456,93 2.301.823,00 29.640.279,93

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the companies of production of goods and services related to local typicality and to promote cooperation and networks. With its strategy, the LAG Terra d’Arneo shows that it wants to capitalize on all the opportunities offered by the maritime economy, such as “blue growth”, land sea connectivity, environmental protection and sustainable tourism, entrusting to their integration a crucial role in job creation and economic growth in the territorial context. With regard to the rural development strategies of LAGs, the priority interventions with the “high value” relate to the promotion of tourism of the territory and the enhancement of identity agri-food products, creating territorial brands, improving the usability of the territories, through the creation of environmental thematic routes and the recovery of the possible historical trail (sub-measure 7.5). The third category with a “high value” for Ionian LAGs is composed by interventions to support the creation and development of non-agricultural enterprises in the areas (sub-measure 6.4.c). These are territories that have already carried out important activities in the tourism sector, such as those of the construction of the hotel villages. In these Leader areas there are important fishing activities tourism and fish tourism well integrated in the sector. In addition, the list of quality and traditional products is enriching itself with seafood that are part of the local culture. These interventions, which absorb a share of public resources equal to 20,65% of the total allocated to the topic 3, aim to support the diversification of business activities, promoting the development of cultural and tourist interventions, in order to encourage an integrated tourism cultural offering. In general, therefore, the strategies aim to exploit the strengths of the territory, represented for example by quality agrifood and artisanal products and by a rich and important, architectural, environmental, cultural heritage, landscape, to support the development of rural and coastal areas through forms of integrated development.

4 Conclusions New paradigms and models of development based on agricultural and fishing activities that have a different relationship with the environment, the territory, local actors, production and the principles of solidarity, fairness and ethnicity are identified in the Ionic area. In some case a strategy is focused on specific goals, in others new paths are experimented or new projects are started integrated with actions specific to the Ionic area. In general, therefore, the strategies aim to exploit the strengths of the territory, and the overall strategy of the area is integrated, as shown by the analysis carried out either in terms of funds, or social capital/council of directors, and shows how, the needs of the territories requires actions to be carried out in a synergistic way. The higher geographical coverage by LAGs in rural coastal areas helps to outline the main features of a composite and varied picture of the following elements: • a greater presence of financial resources by agriculture than fisheries; • it is a stronger and more competitive agricultural sector, connoisseur of policies and markets; • in the area of fisheries, there are stringent support requirement;

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• the LEADER’s greater capacity and ability to respond to the needs of the territory also through cross-cutting actions [7], which are not activated by FLAGs. These elements were also recognized and highlighted during the first work of the Coastal Area Consultation Table “LAG Network and Coastal Areas” [8], which identified some issues of greater interest on which to experiment with more collaboration between LAGs and FLAG (good practices sharing, diversification, sustainability, cooperation), they then recognized a greater development of the agricultural sector with regard to some issues. And it is precisely in order to capitalize on the increased experience gained by LAGs that the Table promotes knowledge transfer actions and good practices from LAGs to FLAGs. The analysis of the different local development strategies shows how, according the general objectives agreed with the territory, the various actions have been planned in a synergistic way. The multi fund, which has been the subject of limited experimentation in the 2014–2020 programming, shows the ability to establish useful collaborations in the implementation of the programs financed by the various EIS funds, focusing on simplifying the relevant systems of governance and procedures for accessing EU funding; further benefits can be attributed to the reduction of possible interference between the work of LAGs and FLAGs that could overlap, resulting in possible duplication of interventions or even conflicts or operational obstacles.

References 1. D’Oronzio, M.A., Tudini, L. (eds.): Lo sviluppo locale di tipo partecipativo nelle aree rurali e nel settore della pesca. Rete Rurale Nazionale – Rete LEADER, Roma (2018) 2. Operation Program (OP) EMFF 2014–2020 Regulation (EU) No 508/2014 3. Basilicata, Calabria, Puglia and Sicilia Regional Rural Development Program (RDPs) 2014– 2020 4. Plan of Actions of 18 LAGs and 8 FLAGs 5. D’Oronzio, M.A., Tudini, L., Ricciardi, G.: Seminario Il GAL e l’integrazione delle politiche di sviluppo locale, 25 October 2017, REPORT Sessione tematica LEADER e zone costiere. Rete Rurale Nazionale 2014–2020, Roma (2017). ISBN 978-88-3385-012-2 6. Partnership Agreement (PA) 2014–2020 of Italy 7. Muscas F., Striano M.: I GAL nella Politica di Sviluppo Rurale 2014–2020. Volume II Centro-Sud. Rete Rurale Nazionale – Rete LEADER, Roma (2018) 8. D’Oronzio, M.A., Ricciardi, G.: Report Tavolo di concertazione delle zone costiere. Incontro del 12 Marzo 2019. Rete Rurale Nazionale 2014–2020, Roma (2019)

Local Seafood Products: Consumers and Territory for a Rural Development Strategy in the South of Italy Lorenzo Cortese, Agata Nicolosi(&) , Mariangela Petullà, Valentina Rosa Laganà, Donatella Di Gregorio, and Claudio Marcianò Department of Agriculture, Mediterranea University of Reggio Calabria, Reggio Calabria, Italy {lorenz1985,avv.petulla}@alice.it, [email protected], {anicolosi, donatella.digregorio,claudio.marciano}@unirc.it Abstract. This paper aims to identify how the local fish products of the seaside villages are a key factor in the development strategies and diversification of the “Strait Coast” FLAG area in the Costa Viola and in the Aeolian Islands. The main objective of the research, based on interviews involving 240 consumers, was to examine the consumption of blue fish and local seafood and the motivation to purchase in order to examine the possible strategies to make competitive the fishing “areas” also focusing on the integrated enhancement of fish, touristic, agro-food, artisanal and naturalistic-environmental resources of the territory. Keywords: Local seafood products groups


Consumers
Fisheries local action

1 Introduction Fishing and tourism activities related to fishing represent an innovative diversification strategy that offers fishermen and their families new sources of income and employment. By taking advantage of these activities it is possible to keep young people in the area, encouraging generational change with a view to tradition/innovation and quality of life. In addition, the rural areas and the seaside villages become, today, territorial systems in which economic activities are increasingly integrated with each other and where the role of agriculture and fisheries take on different characteristics depending on the different functions that are called to carry out. This statement is much more felt in the area of the “Stretto Coast” FLAG in the Costa Viola and in the Aeolian Islands, where the territory is the result of a balanced coexistence between sea and mountains. In Costa Viola area, man has used to the best fishing and agriculture and he has intervened with additions and transformations, shaping the mountain with terraces and giving life to rural and marine villages: five towns and several beautiful villages, Scilla and the village of Chianalea, Bagnara, © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 219–227, 2021. https://doi.org/10.1007/978-3-030-48279-4_21

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Palmi, Seminara, Villa San Giovanni. Added to this, there are the examples of territorial enhancement in favor of the consumer/tourist, such as the “heroic viticulture” that contributes to safeguarding the territory. GTI “Scilla” and “Costa Viola” wines, the “Armacia” wine, one of the Italian “Vini Estremi” certified by CERVIM are produced, these are examples of viticultural biodiversity at risk of extinction, due to the difficulty of company management and high production costs. Wines that over time have won several prizes and awards1 and are increasingly appreciated and sought after by consumers [1, 2]. As for the Aeolian Islands, it is useful to remember that one of the strongest pressures on ecosystem equilibrium is mass tourism which, in some periods of the year, is particularly intense in terms of number and characteristics of permanence. In order to better manage this human flow, which, in some cases, is seen as weakness of the territory due to the high intensity recorded in limited periods of time, which do not allow the environmentally sustainable use and a better use of resources natural present, it is advisable to promote activities related to ecotourism, such as fishing tourism and agritourism [3]. The incentive of these forms of hospitality, together with the improvement of the quality and image of sea products and agriculture carried out in the areas, also through the enhancement of quality certification systems, allows us to better exploit its resources, allowing at the same time recovering the disused production facilities and restoring the production potential. This way of understanding the passion for fish and typical products, associating it with the discovery of the territory of origin, is in tune with the broader trend of the postmodern consumer in seeking an experience rather than the purchase of a good and involves that consumers who consider the typical product as something that goes beyond simple food, but represents a lifestyle, a ritual moment or a means of social ascent [4, 5]. From a hobby for a select few and connoisseurs, gastronomic tourism has taken over the features of fashion in recent years, within a broader expansion of interest in this sector that has now reached the proportions of a mass phenomenon. In this context, the motivations that guide consumer choices of seafood products exercised by consumers, places and methods of purchase (where they buy it, frequency of purchase and quantity), are signals that highlight changes in food models and the importance that consumers attribute to the diet and sustainability of production systems [6–8]. In addition, fisheries activities focused on fishing in general and on swordfish in particular, are examples of the enhancement of the territory in favor of the consumer/tourist, emphasizing the role that small-scale fisheries play in preserving seaside villages and sustainable tourism [9, 10]. In this paper we explore consumer’s behavior related to fish consumption in the area of the “Stretto” Coast Flag and the Aeolian Islands. In the next Section the methodology is described while the main results pointed out in Sect. 3.

1

The wines of the Enopolis Cooperative have received various prizes at the CERVIM annual International Mountain Wine Competitions.

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2 Methods Knowing the reasons for buying the local catch is useful for the development of appropriate policies and for the implementation of marketing strategies that can stimulate healthier and more sustainable food choices. Criteria used by consumers in food choice is not always adequate to individual nutritional needs and the motivations that guide these choices are influenced by different factors such as cultural, social, psychological and food attitudes and choices that may be aware/rational and/or emotional/spontaneous. Consumer behavior was explored through a survey. A questionnaire was given to 240 consumers in southern Italy, available at the interview and intercepted directly with face to face interviews. The questionnaire was administered in coastal areas (the archipelago of the Aeolian Islands, Reggio Calabria city and the Costa Viola area) in the period between July and September 2015, in particularly crowded places such as ports, bus terminals, fairs and main roads in which a sample with uneven characteristics could be encountered. The questionnaire is based on questions with free/pre-formulated answers inserted in a way to identify the following characteristics: the consumption of different fish products (molluscs, crustaceans, seafood and bluefish), their availability and the places where these are purchased (including direct relationship “fisherman-consumer”), the reasons for purchase, the quantities of fish products purchased by type and consumption occasions. A judgment was asked about the quality/price ratio; it was asked to consumers questions about preferences for local catches, their attention to traceability, labeling and ethical aspects and environmental and social sustainability of purchased fish products. Based on the data collected, one database was created with the help of SPSS software to analyze consumer preferences and the reasons for choice. The database of collected data was processed, analysed, and initially interpreted through descriptive analysis to highlight the principal characteristics and then making use of Multiple Correspondence Analysis (MCA). The MCA is obtained using a standard correspondence analysis on a matrix of indicators [11–14]. In order to implement the MCA, five dichotomous variables were selected, as shown in Table 1. Table 1. The variables chosen for the MCA Question to consumers

Variable name

Modalities (*)

What importance do you attach to? – Food safety Health Yes No – Taste Taste Yes No – Price Price Yes No – Sustainability of Sustainability Yes No fishing system – Togetherness Togetherness Yes No (*) As regards the modalities relating to variables, the importance attributed by consumers was indicated as follows: Yes “it is important”, No “it is less important”

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3 Main Findings 3.1

Description of the Sample

In order to provide a characterization of the sample, a summary of the general characteristics of the interview participants. The consumers interviewed have a mediumhigh cultural level; in a slight majority they are women. The age classes are equally distributed. They claim to have a medium-high (35% of cases) or medium-low (30%) income and 32.1% prefer not to answer (Table 2). Table 2. Descriptive statistic of the sample n.

%

Gender

Male Female

117 123

48.8 51.3

Age

18–32

83

33.2

33–47 >47

82 75

32.8 34.0

Primary/Middle school High school University degree Employee

57

23.8

113 70 70

47.1 29.2 29.2

63

26.3

46

19.2

23 38

9.6 15.8

Education

Profession

Self employee Retired, housewives, other Unemployed Students Source: own elaboration

n. Family income

Family members

Why place survey

High Upper middle Lower middle Low Not answered 1 2 >3 I live here Work here Holiday

Other

%

2 84

0.8 35.0

72

30.0

5 77

2.1 32.1

25

10.4

49 166 137

20.4 69.2 57.1

35

14.6

52

21.7

16

6.7

In 53% of cases the person who make food purchases is the interviewee, in the remaining cases another family member. Families are made up of about 70% of three or more members. The respondents are mainly employees and teachers (29.2%), self employers, traders, entrepreneurs (26.3%). Retired and unemployed are around 9–10%, in the remaining cases they are housewives, students or other (25.8%). Tourists and nonresident workers amount to 94 subjects (39.17%).

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Results and Discussion

As shown in Table 3 and Fig. 1, those who consume sea products are 96.3% of the sample, of which 68.8% consume both frozen fish and fresh fish, 25.8% of the sample consume only fresh fish the remaining 1.7% consume only frozen fish. It is interesting to note the fresh consumption of and local blue fish (72.5%) and tuna and swordfish (62.9%). The intercepted consumers purchase the local fresh fish mainly and/or ordered from the fishmongers (86%), however they organize their purchases of fresh and/or frozen product by also going to the supermarket/hypermarket (49%).

Table 3. Type of consumed fish (%) Type Only fresh Only frozen Both Total consumed fish Not consumed Sea products 25.8 1.7 68.8 96.3 3.7 Seafood 26.3 7.9 48.3 82.5 17.5 Blue fish 72.5 1.3 18.8 92.6 7.5 Tuna and Swordfish 62.9 2.1 30.0 95.0 5.0 Molluscs 33.3 7.1 45.8 86.2 13.8 Crustaceans 25.0 8.3 47.9 81.2 18.8 Source: own elaboration

Crustaceans Moluscs Tuna and Swordfish Blue fish Seafood Sea products 0 Only fresh

20 Only frozen

40

60 Both

80

Not consumed

Fig. 1. Consumption of fish by type (Source: own elaboration)

100

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The other interviewees purchase fresh local fish from street vendors (33%) and/or connected by fishermen on quay (21%). Some consumers (17%) buy both from the fishmonger and directly on the boats. Furthermore, these consumers also buy industrial fish in supermarkets with foodstuffs ranging between 6% and 13%. The common reason of the purchase of local fish products for the connection with the territory and for environmental sustainability is highlighted among consumers. The reasons for the consumption of fresh fish products have been examined on the basis of some attributes recognized as important for the consumer (Fig. 2), they encompass the different characteristics taken into account when purchasing fresh fish. The consumer chooses it because he appreciates its intrinsic and organoleptic characteristics, capable of satisfying his needs increasingly attentive to the rediscovery of local traditions, considered synonymous of quality, authenticity and safety. The reasons concerned: – the quality of the products: the reasons are related to the safety and reliability of the product; nutritional characteristics (87.5% much and 9.2 very much); for safety (75.8% and 17.1%) as there is adequate traceability of the catch, it is considered to be genuine and there is clear information, for the sustainability (60% very much and 30% much). The product is purchased mainly fresh for its higher quality than frozen fish (90.4% much and 5.8% very much) and for its taste (87.1% and 9.6%).

Fig. 2. Reasons for the purchasing of fresh fish products (Source: own elaboration)

– the cultural, social and psychological aspects, the motivations are related to attitudes and purchasing and consumption habits: the interviewees are greatly influenced by the seller’s advice (43.8%) and on average influenced by the advice of others (37.1%). In addition, 60% of the sample likes to cook it and says that it characterizes the Table (44.6% much and 31.7 very much) proving to be a product with

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multiple gastronomic uses. The price is also a signal that assumes importance during the purchase phase (40.8%). As for the frequency of purchase, blue fish is purchased once or twice a week by 42.5% of respondents. Seafood (45.8%), tuna and swordfish (41.3%), molluscs (44.2%) and crustaceans (39.6%) are purchased once or twice a month. As for the quantities, all types of product are purchased up to 1 kg. Many of the interviewees also stated that, in the last year, fish consumption has remained constant (75.4%). The links between consumers in the common awareness of buying local fish products for the link with territory and for environmental sustainability are highlighted. The variables identified, from among those that showed greater connectivity with quality attributes and purchasing motivations, related to social and cultural habits. Compared to other combinations, the five variables chosen for the MCA analysis show the highest percentage of variance explained. The variance explained is equal to 52.4% (32.7% for dimension 1 and 19.7% for dimension 2). With respect to dimension 1, we find the consumers who love conviviality and consume fish on several occasions, they consider fresh, safe, nutritious and tasty local fish products. They are consumers attentive to the link with territory and to environmental sustainability. They buy fresh products for the price, find them from the fisherman and the supermarket for traceability of the product. In many cases they buy directly from the fisherman’s boats, or rely on street peddlers. These are conscious and rational choices that regard intrinsic and extrinsic attributes to quality. Negative values for “dimension one” indicate consumers who are indifferent to these requirements.

Fig. 3. Multiple correspondences analysis: choices and buying behavior of the interviewed consumers

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As for “dimension two”, it highlights social and cultural aspects. Consumers who have positive values for “dimension two” have established buying habits, a good link with the territory, they buy for taste and quality and are also attentive to togetherness. In Fig. 3, Multiple correspondence analysis (MCA) shows consumer profiles combining the two dimensions.

4 Conclusions Smart Specialisation is an innovative place-based policy approach that aims to boost growth and jobs at regional, national and European levels. It enables the identification and development of competitive advantages by concentrating efforts and resources in the identification of innovation niches. Smart Specialisation advocates for the conjugation of economic, innovative and scientific potential of a territory responding thus, to societal challenges [15]. In the European Union, over the last 5 years, more than 120 Smart Specialisation Strategies have been designed and implemented by Member States and regions. Financially, these strategies have been supported with more than €67 billion available under the European Regional Development Fund (ERDF) and topped-up by national and regional public and private funding. The Italian Blue Economy employs over 413,000 people and generates around €19.8 billion in GVA. It is dominated by the coastal tourism sector, which contributed 49% to jobs and 36% to GVA in 2017 [16]. In conclusion, the motivations that encourage the consumption of fresh local fish range from the habit linked to tradition and good availability, to its intrinsic and organoleptic characteristics. The study highlights changes in eating habits and the importance that consumers attribute to the diet and sustainability of production systems. There was a high perception of consumers regarding ethical aspects and the sustainability of fish caught using low environmental impact techniques. Moreover, it has been ascertained how buyers of fresh local fish stand out in their lifestyle, attitudes, preferences structure, recognizing importance to product quality and sustainability of the marine environment and the territory of seaside villages, in the confidence on seller and in recognition of the important role that fishing plays on a small scale in preserving fishing villages and promoting sustainable tourism. Acknowledgments. This study was supported by the “Stretto” Coast FLAG. Calabria Region European Fisheries Fund (2007–2013), Priority axis 4: Sustainable Development of Fishehries Areas - Measure 4.1. Strengthening the Competitiveness of Fisheries Areas.

References 1. Nicolosi, A., Cortese, L., Romeo, G., Laganà, V.R., Marcianò, C.: Erratic behavior and beauty of Costa Viola. In: Piccinini, L.C., Chang, T.F.M., Taverna, M., Iseppi, L. Proceedings of the 20th International Scientific Conference (2017)

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2. Romeo, G., Marcianò, C.: Evaluating the economic performance of fishing systems using fuzzy multicriteria analysis in a fishery local action group in South Italy. Fish. Res. 218, 259–268 (2019) 3. Nicolosi, A., Laganà, V.R., Cortese, L., Privitera, D.: Using the network and MCA on tourist attractions. The case of Aeolian Islands, Italy. Sustainability 10, 4169 (2018) 4. Castellini, A., Disegna, M., Mauracher, C., Procidano, I.: Consumers’ willingness to pay for quality and safety in clams. J. Int. Food Agribus. Mark. 26(3), 189–208 (2014). https://doi. org/10.1080/08974438.2014.897668 5. Nicolosi, A., Cortese, L., Di Gregorio, D.: The caper of the Aeolian Islands: production and consumption for a sustainable development of the territory. In: Proceedings of the 18st IPSAPA/ISPALEM International Scientific Conference, pp. 423–439 (2015) 6. Furesi, R., Madau, F.A., Pulina, P., Sai, R., Pinna, M.G., Pais, A.: Profitability and sustainability of edible sea urchin fishery in Sardinia (Italy). J. Coast. Conserv. 20(4), 299– 306 (2016). https://doi.org/10.1007/s11852-016-0441-0 7. Donati, M., et al.: Towards a sustainable diet combining economic, environmental and nutritional objectives. Appetite (2016). http://dx.doi.org/10.1016/j.appet.2016.02.151 8. Benedetti, I., et al.: Exploring the Italians’ food habits and tendency towards a sustainable diet: the mediterranean eating pattern. Agric. Agric. Sci. Procedia 8, 433–440 (2016). https:// doi.org/10.1016/j.aaspro.2016.02.040 9. Nicolosi, A., Fava, N., Marcianò, C.: Consumers’ preferences for local fish products in Catalonia, Calabria and Sicily. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) ISHT 2018. SIST, vol. 101, pp. 103–112. Springer, Cham (2019). https://doi.org/10.1007/978-3319-92102-0_12 10. Palladino, M., Cafiero, C., Marcianò, C.: Institutional relations in the small-scale fisheries sector and impact of regulation in an area of Southern Italy. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives. ISHT 2018. Smart Innovation, Systems and Technologies, vol. 101, pp. 495–504. Springer, Cham. https://doi.org/10.1007/ 978-3-319-92102-0_52 11. Idda, L., Madau, F., Pulina, P.: The motivational profile of organic food consumers: a survey of specialized stores customers in Italy. In: Proceedings of the 12th Congress EAAE, Ghent, Belgium, 26–29 August 2008 (2008). http://ageconsearch.umn.edu/bitstream/43946/2/152. pdf. Accessed 30 Jan 2018 12. Greenacre, M.J.: Correspondence Analysis in Practice. Chapman and Hall, Boca Raton (2007) 13. Laganà, V., Skoglund, W., Marciano, C., Nicolosi, A.: Gastronomic culture and landscape imaginary. In: Piccinini, L., Reho, M., Chang, T., Taverna, M., Iseppi, L. Proceedings of the 21st IPSAPA/ISPALEM International Scientific Conference, pp. 481–495 (2018) 14. Nicolosi, A., Cosentino, S., Strazzulla, M.: Quality and prospective of Sicilian saffron. Acta Hortic. 850, 293–298 (2010). https://doi.org/10.17660/ActaHortic.2010.850.50 15. Cassalia, G., Tramontana, C., Calabrò, F.: evaluation approach to the integrated valorization of territorial resources: the case study of the tyrrhenian area of the metropolitan city of Reggio Calabria. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) ISHT 2018. SIST, vol. 101, pp. 3–12. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-92102-0_1 16. European Commission, The EU Blue Economy Report (2019). https://prod5.assets-cdn.io/ event/3769/assets/8442090163-fc038d4d6f.pdf. Accessed 20 Nov 2019

Land Consumption Versus Urban Regeneration Salvatore Losco1(&) and Claudia de Biase2 1

Engineering Department, University of Campania Luigi Vanvitelli, 81031 Aversa, CE, Italy [email protected] 2 Architecture and Industrial Design Department, University of Campania Luigi Vanvitelli, 81031 Aversa, CE, Italy

Abstract. Soil consumption refers to the decrease of fertile soil, naturalness, occupation of agricultural space for extra-agricultural uses, for urban diffusion, for the expansion of the urban footprint, for landscape contamination, for the loss of quality and beauty. The Environmental Terminology and Discovery Service (ETDS) of the European Environment Agency identifies unambiguous definitions of the concepts and indicators inherent to the consumption of the soil, in particular: Land Use, Land Cover, Landscape Fragmentation, Soil Sealing, Urban Sprawl and Land Take. The interpretative possibilities and the consequent effects on the physical planning choices of the territory are neither trivial nor discounted. Information sources are essential for monitoring the consumption of land, recording its evolution over time and space. About 50% of the world population lives in the cities, in Europe this percentage rises to 80% at least. Almost 70% of harmful emissions is caused by the cities even though the urbanized areas occupy only 2% of the earth’s surface. According to the United Nations, within the 2030, 59% of the world population will be concentrated in urban areas (Global Report on Human Settlements 2011). For these reasons, the battle for a sustainable development takes place in the cities and especially in the areas of urban/metropolitan suburbs and urban sprawl. There are two categories of interventions to counteract these effects: compensation actions to mitigate the effects and preventive measures to tackle the causes. Both represent the aims of urban planning. In order to contribute to the debate on the formalization of new eco-planning techniques, the paper offers an interpretive reading of the environmental sustainability criteria applicable to urban planning. The revision of the classical economistic finalization of the dynamics of transformation requires the search for new settlement patterns. The city itself extends more and more into the territory even if it changes the concept of the traditional city: changes new cities with a proper integration between the new and the existing one. Keywords: Soil consumption


Land take
Territorial/urban regeneration

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 228–239, 2021. https://doi.org/10.1007/978-3-030-48279-4_22

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1 Land Consumption Cities account for 54% of the world’s population - in Europe this percentage rises to 60-80% - and almost 70% of harmful emissions are caused by cities despite occupying only 2% of land (see Fig. 1), according to the United Nations, by 2030 59% of the world’s population will be concentrated in urban areas [2]. The contemporary city is deeply different from the traditional compact one, rooted in the collective imagination.

Fig. 1. Urban population and city expansion. BSD (Source: [1]).

The urban sprawl is one of the distinctive traits, configuring a fragmented urban expansion, unstructured, indifferent to any evaluation of the effects on the environmental dimensions of this model. It has been the subject of various studies both to improve its understanding (knowledge of the causes) and to elaborate planning techniques aimed at containing it (mitigation of the effects). The traditional city, by expanding its boundaries, has connected itself to other urban nuclei, has broken the traditional relationship between compact anthropized spaces and open natural spaces ones, has overcome the hierarchical and functional distinction between city and country, in so doing has generated a hybrid territory, in which the characteristics of urbanity and rurality merge, compromising each other and generating the urbanized/anthropized territory [3].

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This settlement model sets the continuous erosion of a limited, irreplaceable, nonrenewable and precious resource: the soil. Soil consumption also alters the ecosystemic balances of the territory. These effects are not always immediately recognizable, manifesting themselves in their severity at a distance of time or in places far from those where the consumption of soil has occurred. The environmental effects are related to the carbon-cycle with the increase in greenhouse gas emissions, to the watercycle with the increase of hydraulic risk in areas of high anthropization, to the climatecycle with the phenomenon of the urban heat island, to biodiversity with the extinction of thousands of living species [4]. The most obvious effects of soil consumption are the loss of the physical and biological capacity of agricultural land ranging from CO2 fixation, the integrated water-cycle, the microclimate and ecological connections, the alteration of the landscape and the historical identity of places and the deterioration of the quality of living. In addition to the effects, it is necessary to understand the causes of such consumption, to investigate its territorial outcomes and, finally, to experiment with appropriate governance planning tools to intervene on them. The causes of soil consumption can be ascribed to the changes: demographic and socio-economic (in particular to the increase in the number of small families) lifestyles, ever-increasing need for housing and infrastructure, exponential increase in the use of private cars (which has made possible the urbanization of peri-urban areas, with the consequent urban-sprawl), new forms of industrial and tertiary production (linked also to the phenomenon of globalization), increase in the informal and illegal-city and the increase of urban taxes (which has also increased the phenomenon from an economic point of view). The European Spatial Development Perspective [5] recognizes in the model of the compact-city the priority objective to pursue for the development/transformation of contemporary urban settlements, the compact-city must be able to relate the transformations of the settlements both on the urban scale and on the wider and more articulated scale of the metropolitan and regional scale. In Europe, several countries such as the United Kingdom, Germany and the Netherlands have introduced a mix of regulatory and fiscal measures to contain urban sprawl [6] and the European Commission itself has long been committed to promoting a more sustainable use of land [7]. According to estimates developed by the European Environmental Agency under the Corine Land Cover project, every year over 100.000 ha of natural or agricultural land, an area comparable to the extension of Berlin, are consumed or urbanized in the EU (EU 27) for housing, production or recreation [8]. This is an unsustainable trend in the long term, especially if we consider that soil consumption tends to affect the best soils, i.e. those with the highest value for geophysical, agronomic, environmental and landscape characteristics [9]. Moreover, the expansion (and dispersion) of artificial or urbanized surfaces, generating greater mobility of goods, people and services, inevitably leads to an increase in energy consumption and emissions of pollutants [10]. In the last ten years, Italy has seen a growing increase in soil consumption. The main cause is the expansion of the city and the urban population continues to grow it has reached almost 65% [11] of the total. In Campania Region, the total surface area of cities has increased tenfold since the unification of Italy. From 1861 to 1961, the curve representing the expansion of the city is homothetic to the curve of population growth so that the progressive doubling of the population corresponds to that of urban areas. From 1961 on, the two curves diverge: urban expansion grows exponentially while the

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demographic curve flattens, so that the urbanized areas quadruple in the last forty years in contrast to a substantially stable population. The scientific debate, at national and European level, on the subject of soil consumption, agrees one assumption: soil is an exhaustible resource for the environment and the landscape, therefore, central to urban and territorial planning and management.

2 Urban Regeneration Pseudo-urban contexts, characterized by fragmentation of functions, are also places of environmental fragmentation, i.e. in the context of man-made territory the natural areas are divided into more or less separate parts. The double fragmentation that can be observed in man-made territories represents not only one of the major causes of urban imbalances, but also one of the main threats to the conservation of biodiversity, making it necessary to study the connectivity of the territory/landscape [12]. It represents the degree to which the environment facilitates the movement of flora and fauna and, in the context of the ecological restoration of the territory, is now an important shared objective. A distinctive feature of contemporary anthropized territory is precisely the fragmentation. Cusinato [13] in 2004 writes that, we would be witnessing a process of socio-spatial fragmentation, i.e. different segments of society would tend to separate permanently even from the spatial point of view, cluttering in specific portions of the urban territory, under the action of both agglomerating forces within the individual segments, and mechanisms of segregation put in place by the dominant ones, so that the urban fragmentation would result from the joint operation of social and spatial fragmentation. Vidal [14] already stated that urban fragmentation, as a phenomenon directly linked to the explosion of traditional urban morphology (referring to different historical periods) can be generated both for the construction of the urban complex through different parts (generating a continuous discontinuity) and for the deconstruction of the urban, social or economic whole in various sectors (generating a discontinuous continuity) [15]. Without getting into the debate on urban fragmentation, but by focusing only on ecological fragmentation, also starting from the Index of fragmentation of the urban landscape (included in the Urban Index [16] - Indicators for Urban Policies), it is clear that fragmentation refers, by contrast, to the concept of network that represents the system of connections to which one should strive through the implementation and/or restoration of ecological continuity. In the strategies of conservation and reconstitution of biodiversity, it is therefore not enough to protect individual isolated natural areas, but it is essential to connect or network them through landscape-environmental restoration, ecological restoration and the creation of new natural areas. The increasing anthropization (often with functional and morphological urban fragmentation with reduction of biodiversity, consumption of resources) of urban and territorial contexts, the awareness of the impossibility of regenerate all resources as well as their conservation for future generations mean that ecology (urban and landscape [17]) and Land Planning [18] are looking for a synthesis in order to provide an interpretative contribution to the analysis of environmental/territorial issues and to identify intervention techniques aimed at their mitigation or restoration of habitats. In

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this perspective, it is necessary to plan land transformation interventions aimed at achieving greater efficiency in the management of available resources, such as the control of land consumption, biodiversity, the production and maintenance of ecosystem services, and the reduction of climate-changing gas emissions. The ecological objectives that increase and improve the eco-systemic quality of the habitats and the degree of biodiversity of the territory thus become part of the priorities of the urban planning, the traditional physical planning, recognizing in them the superior public interest, evolves towards the Eco-Planning. The planning, design, implementation and management of an Ecological Network, at various scales, is identified as a priority element of a Green Infrastructure, a macro-network instrumental in reducing environmental/territorial problems. In this cultural and technical context, Eco-Planning is experimenting with new techniques to mitigate the effects of strong anthropization for a better quality of life of the communities settled. The EN can represent a valid tool of the urban planning in the reconstruction/construction of the continuity of the natural or para-natural eco-systems. Urban planning opens up new design perspectives oriented towards mitigation and adaptation, using design techniques that become a fundamental part of urban planning (ecological system/network) and that direct the use of land towards ecological criteria and optimization of resources in a perspective aimed at achieving a new urban condition of closure of cycles and greater environmental sustainability.

3 Urban Regeneration Interventions to Impact on the Causes International literature has worked out interesting theorizations in order to update the physical planning principles, that find many common points and integration possibilities, just think to the four infrastructures proposed in eco-planning [19] and to reference thresholds, structured into five categories, shown in the text Sustainable Urbanism [20]. Nature’s Green Infrastructure or eco-infrastructure, the blue one or water ecoinfrastructure, i.e. natural drainage and hydro preservation systems and hydrologic management in general, Grey Infrastructure or engineering infrastructure, i.e. roads, sewer systems, wastepipes, as support systems for the urban sustainable development and Red Infrastructure or human infrastructure, i.e. built environment, including human activities and social, economic and legislative systems, constitute an important methodological instrument to decode and plan contemporary city’s complexity. Even reference thresholds span five comprehensive areas of concern: density, sustainable corridors, neighborhoods, biophilia, and high-performance buildings and infrastructure. Density. Sustainable urbanism is not achievable at low densities below 7–8 Dwelling Units per Acre (DU/A). The sites should be dense enough to set the place walkable and provide the place with public traffic system. Sustainable corridors are building blocks of sustainable regions. The main indicators of such a corridor are its density and land use mix. To achieve a well-based density and to free people from automobile dependence, a minimum of 7 DU/A is required. For even better service and modes, a density of 15 DU/A for trolley transfer and 22 DU/A for light trail system are necessary. Transit corridors are the backbone of sustainable urbanism, linking neighborhoods together with districts and other regional destinations. Biophilia (Human access to

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nature) concerns in detail biotopes, stormwater systems, locally grown food and local waste management. High-Performance Buildings and Infrastructure. The impact of urban planning on building energy usage is shown. Building orientation and massing have significant influence on the energy used by the unit, even before any energy efficiency measures are incorporated into the design. The term high-performance infrastructure refers to core best practices improving the performance of the entire roadway system. This design includes street and sidewalk, underground utilities, stormwater infrastructure, landscapes, and streetscape elements. The two texts quoted propose two eco-planning methodologies, eco-planning, which appears to be more suitable for the masterplan scale, and Sustainable Urbanism, more suitable for urban design scale, but it is just the contemporary sustainable project scale that is strongly contradictory if compared to urban project’s scale of the modern movement. Hence, identifying a methodology is necessary to integrate and/or rethink normal procedures of local urban plan drawing, through some survey and operative actions, aiming at a better environmental sustainability above all through soil consumption containment. To this purpose a sequence, which is structured in three steps, renovating drawing up criteria of the local plan, is proposed. To each of the three steps corresponds the drafting of a thematic cartography and of a table of the quantities to be considered. The first step consists in drawing up a thematic cartography of the local soil’s use at the state of fact, realized with a classification criterion of uses which can be ascribable to the organization according to the macro-classes of the classification introduced by the European Corine Land Cover project. The proposal of classifying soil uses includes some preliminary and substantial operations for the development of the following methodological operations: boundary parameters of the anthropized soil, structured in urbanized soil and free urban areas, boundary parameters of agricultural soil, of natural and semi-natural soil, of damp areas and of water bodies. On the basis of the chart on local soil use a table is drawn up quantifying urban and extra-urban uses, whose objective is the computation of the concrete use of soil resource, which is propaedeutic to whatever type of estimative or compensative approach that the local town planning wants to put forward. The continuity table associated to the board quantifies surfaces according to prevailing use classes, shown in the cartography both in absolute values and in terms of covering indexes. The second step provides drawing up an interpretation cartography and a corresponding quantification table and returning useful information in order to evaluate the possible transformation potentials of the classified soils. The cartography for the evaluation of soil consumption estimates the variation possibilities of soil uses also in relation to landscape and environment constraints and highlights the following information: green uncultivated areas and parks and gardens represented in the preceding cartography; abandoned and/or underused areas which must be specifically identified within urbanized anthropized areas; areas with functional and environmental incompatibility with the context, that is the areas characterized by the coexistence of activities which are incompatible between them (residence/industry); transformation predictions falling in free urban areas, in agricultural areas, in natural and semi-natural areas, in dump areas and water bodies that have not yet been brought about (plan residual), hence representing a potential soil consumption.

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By drawing up a third thematic cartography, the third step completes estimative procedures of soil transformation at local scale. The map is prepared after the evaluation of soil transformation options and aims at summarizing the transformation scenario of the town planning on the basis of the prefigured state of right. The third cartography provides useful information to qualify and quantify potential urban processes. The chart provides a mapping of the main operations of soil transformation produced by the local town planning scheme: soil transformations aiming at reuse, that is to say to transformation predictions of soil uses, which concern areas belonging to the specific category of the urbanized space in the first cartography; soil transformations aiming at completion, that is to say transformation predictions of soil uses, which concern areas belonging to the specific category of urban green areas in the first cartography; soil transformations aiming at expansion, that is to say to transformation predictions of soil uses concerning all the areas belonging to the specific category of agricultural, natural and semi-natural and dump areas and water bodies identified in the first cartography. All the areas undergoing transformation are represented and quantified with a table. The computation of transformations comes to a balance of the urbanization state of soils, which represent a useful potential to provide clear information concerning the amount of the whole soil transformation put forward by the town planning scheme. Compact city powerfully makes a comeback in contrast with the settlement scattering model. Criteria of environmental sustainability are causing an innovation of urban standards with the coding of new ecological-urban standards, in particular [21]: • the definition/identification of parameters expressing environmental carrying capacity; • the definition/identification of parameters expressing urban carrying capacity; • the new function of urban green spaces which is no more only ornamental but becomes an ecological infrastructure; • the dimensioning of naturalistic equipment; • the definition/identification of typologies of soil’s and polluted waters’ reclamation; • the definition/identification of rules improving sewage and waterworks systems; • the definition of accessibility levels of big transformation areas. In the strategy for rebuilding a complementarity relationship between city and countryside a fundamental role is played by anthropized countryside [22], which is no more an agricultural space and not yet an urbanized space [23]. Then, the reconquest of the urban space springs from the reuse of these areas. If recovered and used for an ecocompatible agricultural productive function, all these residual, marginal or interstitial spaces within the city can play an active role of environmental rebalance. Just think to presently abandoned spaces or to spaces waiting for a destination: they are true urban gaps, along motorways or the rails of railway line, between two buildings as within an urban settlement, acting only as waste containers or unauthorized rubbish dump or car wild parking. The acquired awareness of the limited resources is able to open a new design season, linked to the search for reversible development models, provisional balances rather than definitive solutions, alternative production systems, fed by weak, seasonal, eco-compatible genetic energies. The contemporary city has completely misaligned itself with respect to the functions on which it was designed (zoning) and

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has spontaneously fluidized adapting to new needs. The fundamentals of contemporary design change, bringing to light new categories of reference, such as the reversibility of processes and uses, the disassembly of architectural systems, the integration between the designed environment and the natural environment.

4 Brief Considerations About Two Relevant European Experiences of Urban and Territorial Regeneration The absence of policies, regulations and, in part, of territorial and urban planning plans that are truly suitable for countering uncontrolled phenomena of urban sprawl, with all that this entails in terms of irrational land consumption and damage to the entire territorial “capital”, push the debate and scientific research towards an update on the subject of “territorial governance”, as well as towards the identification of development strategies and models - ecologically oriented - that aim to protect and enhance the territory in a sustainable way. It is clear, as Secchi recalled, that “Sometimes the real difficulties encountered were not so much or only in choosing adequate or welldimensioned activities, but rather in identifying “a possible sense of them” [24]. Several European countries have been tackling this issue for years, albeit with different approaches. In the English experience, for example, the question of the reuse of disused areas, especially industrial ones, has been analysed from the perspective of a wider process of regeneration of the socio-economic fabric, enormously compromised by the closure of industrial plants, compared to the modern conception that regeneration is (in most cases) ecological and environmental. From the above it derives that the urban planning strategies used to tackle the problem were essentially aimed at “redevelopment”, i.e. the process of redevelopment oriented towards social and economic development. In order to tackle the problems caused in the urban fabric by the processes of deindustrialisation, the UK Government adopted a series of policies until the mid-1990s, which were grouped into three different branches: spatial targeting, publicprivate partnerships and new agencies [25]. The regeneration of the Ruhr region, Germany’s largest regeneration project is a further indication. If there is an example of environmental regeneration this is the IBA Emscher Park: one of the most polluted places in Europe has gradually become the symbol of how the administrative, design and intellectual machine can work. The area includes 17 municipalities, which can now be covered by bicycle for about 230 km. By reclaiming it and renaturalising hundreds of hectares, 5000 new jobs could be provided. The entire area has been repopulated from a place of steel mining to a place of social inclusion; from a working-class city to active citizenship (see Fig. 2), As is well known, “The complex problems of the Ruhr industrial basin (urban, territorial, ecological-naturalistic and socio-political-cultural) were addressed en bloc by the regional government of the Land of Westphalia, which set up an exceptional intervention body for the occasion: IBA Emscher Park S.r.l. (International Construction and Architecture Exhibition). As Giani writes: “Having bet on the creation of a park, capable of stimulating and contaminating the settlements, is in line with German culture, which since the 1950s has considered green areas a territorial infrastructure - like roads and railways - and a necessary factor for urban development” [27].

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Fig. 2. Social and ethnic mosaic (Source: [26]).

The procedural steps were mainly two, the first one of territorial marketing which consisted in selling a new image of that territory, the second one of economic revitalization offering 800 thousand hectares to investors.

5 Some Conclusive Remarks In order to better understand the phenomenon of soil consumption, it is appropriate to place it within a broader horizon, that is, the model of western economic development emerged from the industrial revolution that has produced a great alteration in the balance of ecosystems and a great environmental change. In order to have an effective impact on the causes, it is necessary to rethink this model in favour of more sustainable economic visions of green economy. The sharing of a definition of soil consumption is a desirable assumption at national and international level so as to standardize the analysis of the phenomenon and make comparable data on the various regional and national situations. The consequences on excessive soil consumption impact on the natural and man-made environment, whose significant boundaries [28] must be redefined from time to time [29]. There are several possible ways to contain soil consumption, a purely quantitative approach, which restricts the areas of expansion or provides minimum density limits, must necessarily be complemented by a qualitative approach, aimed at predicting the outcomes of the government of territorial changes. Environmental sustainability emerges from physical planning both through weighed urban choices, agroforestry outputs, potentiality of short chains like woodenergy, and through its immaterial aspects, like CO2 compensation and compensation activities linked to Kyoto protocol. Ecological guidelines for planning suggest fixing environmental sustainability objectives with reference to three main territorial subsystems on which town planning scheme is set: the infrastructural, the environmental

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and the settlement system. Environmental sustainability in an anthropized territory is characterized by three main indicators: the renewability level of energy sources taken from the outside, the output of the transformations inside the city and pollution level of heat, noise, carbon oxide and waste. The return to the balance man-nature implies the refoundation of physical planning rules and the identification of new techniques [30] in order to design and/or regenerate a sustainable city through the renewal of social and economic relationships in a collaborative sense using the technologies too. The new eco-planning shall be founded on building procedures deriving from: the integration of traditional with analyses by loops, able to rebuild the eco-systemic model of the city; the knowledge of urban growth limits, stopping the uncontrolled and homologating expansion; the notion of the settlement as a living urban system, overcoming the notion of urban green spaces as residual space and promoting the city to the rank of integrating place between naturalness and artificiality in a harmonious balance; the selfdetermination of local communities and the knowledge of social attitudes to direct the city towards a multiethnic identity allowing the strong and the weak to live together with equal dignity; urban quality as irremissible founding element [31]. Not only in Europe, but also in Italy, spatial planning experiences of regulation and quality control of land use are beginning to take hold, based on building densification, on the ordering role of collective mobility on iron, on functional interaction, on morphological attention to fringe areas, on the relationship between urban and suburban fronts, on ecological compensation, on the strategic location of valuable functions, on polycentrism and on new centralities often as part of a wider process of territorial/urban regeneration. Attributions Within the present contribution, which is the result of the authors’common drawing up, personal contributions can be identified as specified as follows: Land consumption and Urban regeneration interventions to impact on the causes by Salvatore Losco, Urban regeneration and Brief considerations about two relevant european experiences of urban and territorial regeneration by Claudia de Biase, Abstract and Some conclusive remarks joint drawing up.

References 1. Cities and Biodiversity Outlook, p. 12. http://bit.ly/1p9nemW (2012). UN, World Urbanization Prospects, p.13. http://bit.ly/1p9nemW. EC (2014 Revision), Guidelines on best practice to limit, mitigate or compensate soil sealing, p. 55. http://bit.ly/1gPhvig (2012) 2. UN-Habitat: World Cities Report 2016. Urbanization and development. Emerging futures, UN-Habitat, Nairobi (2016) 3. Salzano, E.: Fondamenti di Urbanistica, p. 7. Roma-Bari, Laterza Edizioni (2004) 4. European Commission: Guidelines on best practice to limit, mitigate or compensate soil sealing. Publications Office of the European Union, Luxembourg (2012) 5. European Commission: ESPD European Spatial Development Perpective. Towards Balanced and Sustainable Development of the Territory of the European Union, Office for Official Publications of the European Communities, Luxembourg (1999)

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6. Prokop, G., et al.: Overview of best practices for limiting soil sealing or mitigating its effects in EU-27 Final Report. Technical Report for European Commission (2011) 7. European Commission: Overview of best practices for limiting soil sealing or mitigating its effects in EU-27, SWD (2012) 101. Publications Office of the European Union, Luxembourg (2012) 8. European Environment Agency, Joint Research Centre: The State of Soil in Europe. A contribution of the JRC to the European Environment Agency’s Environment State and Outlook Report, SOER 2010. Publications Office of the European Union, Luxemburg (2012) 9. European Environment Agency: The European environment. State and outlook 2010. Land use, EEA, Copenhagen, 2010a. European Environment Agency, The European environment. State and outlook 2010. Soil, EEA, Copenhagen (2010b) 10. European Environment Agency, Urban sprawl in Europe. The ignored challenge EEA, Copenhagen (2006b) 11. ISTAT - Population and housing census, Roma (2011) 12. Andreucci, M.B.: Progettare Green Infrastructure, pp. 69–70. Wolters Kluwer Italia, Milano (2017) 13. Cusinato, A.: Una ipotesi interpretativa della frammentazione urbana. In: XXV Conferenza Italiana di Scienze Regionali (2004). https://aisre.it/images/old_papers/023-Cusinato.PDF 14. Vidal, R.: Metrópolis en recomposición: elementos para una teoría de la fragmentación urbana. Observatorio Geográfico de América Latina (1997) 15. Volpe, C.: Frammentazione Urbana (2018). https://carminevolpe.wordpress.com/2018/02/ 22/frammentazione-urbana/ 16. Urban Index - Indicatori per le Politiche Urbane. https://www.urbanindex.it/. Accessed 31 Jan 2020 17. Ecologiae. http://ecologiae.com/ecologia-del-paesaggio/25838/. Accessed 1 Feb 2020 18. Childe, G.: Man Makes Himself. Watts and Co., London (1936) 19. Yeang, K.: Ecomasterplanning, pp. 15–39. John Wiley and Sons Ltd., London (2009) 20. Farr, D.: Sustainable Urbanism: Urban Design with Nature, pp. 182–384. John Wiley and Sons Ltd., Hoboken (2008) 21. Losco, S.: Urban planning and environmental dimension: the sustainable quarter. Int. J. Hous. Sci. Appl. 36, 41–49 (2012). Coral Gables - Miami 22. Losco, S.: Campagne urbanizzate e periferie metropolitane: Un Parco agricolo-urbano nell’area nord della provincia di Napoli, pp. 1648–1678. Topscape Paysage (2012) 23. Losco, S.: Quando non si valutava: urbanesimo e periferie negli ultimi quattro decenni. In: Colombo, L., Losco, S., Bernasconi, F., Pacella, C., (a cura di): L. Colombo, Pianificazione Urbanistica e Valutazione Ambientale, pp. 89–148 (2012) 24. Secchi, B.: Un problema urbano: l’occasione dei vuoti. In: Casabella, vol. 503, pp. 18–31. Milano (1984) 25. Robson, B.: Those Inner Cities. Oxford University Press, Oxford (1988) 26. Reicher, C, Kunzmann, K.R., Polivka, F., Roost, F., Utku, Y. (eds.) Schichten einer Region. Kartenstücke zur räumliken Struktur des Rhurgebeits, pp. 130–131 (2011) 27. Giani, E.: Concept Ruhr-Operazione Landschaftspark-Emscher Park. Parco del paesaggio. In: Giornale IUAV, no.134, pp. 1–7. Venezia (2013) 28. Tira, M.: Per un assetto territoriale a geometria variabile. UPL J. Urban Plan. Landscape Environ. Des. 1(1), 257–272 (2016). Department of Architecture University of Naples Federico II, Naples

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29. Losco, S, Macchia, L.: Ecologia e Pianificazione del Territorio verso l’Eco-Planning. In: Aa, V (ed.) Atti della XXI Conferenza Nazionale SIU-Società Italiana degli Urbanisti, Confini, Movimenti Luoghi. Politiche e progetti per città e territori in transizione, Firenze, 6–8 giugno 2018, pp. 1–10. Planum Publisher, Roma- Milano (2019) 30. Losco, S.: Teoria e Tecnica nella Pianificazione Urbanistica: Temi e questioni emergenti, In: (a cura di): Losco, S.: Teoria e Tecnica nella Pianificazione Urbanistica. Tradizione e innovazione. In: Documenti per un dibattito, vol. 1, pp. 104–140. Poseidon Editore, Napoli (2003) 31. Colombo, L.: Il metodo in Urbanistica. Tradizione e rinnovamento nel piano, pp. 158–162. Masson Editore, Milano (1988)

Knowledge and Innovation Ecosystem for Urban Regeneration and Resilience

Social Network as Tool for the Evaluation of Sustainable Urban Mobility in Catania (Italy) Giovanna Acampa(&), Giorgia Marino, and Claudia Mariaserena Parisi Kore University of Enna, 94100 Enna, Italy {giovanna.acampa,claudia.parisi}@unikore.it, [email protected]

Abstract. The urban transport system is a key element for the sustainable economic and social development of a city. According to the vision embedded in the new Sustainable Urban Mobility Plan, citizens have to actively participate in the promotion of the related strategies. They can be involved through traditional questionnaire surveys or through IT tools. Traditional methods are often expensive and time-consuming to collect quality data. Therefore, this paper presents a method to evaluate the sustainability of urban mobility by means of social network analysis. We have found that the material available on social networks (feedbacks to posts published on major relevant sites) can provide a comprehensive picture of the users’ opinions on the urban mobility in Catania. As result of this analysis, we list the main issues affecting Catania mobility and suggest a strategic action plan. Keywords: Social network analysis
Evaluation
Sustainable urban mobility

1 Introduction Sustainability is a widely discussed topic in project quality evaluation [1, 2]. Moreover, if we consider the introduction of Building Information Modeling and the model validation that it requires, this concept becomes a key factor in every sector of civil engineering and architecture [3–6]. In the specific context of transport and urban mobility, sustainability plays a central role in the economic and social development of a city [7]. In the 1992, for the first time, the European Commission introduced the concept of “Sustainable Mobility” [8] pointing at transport modes that can minimise environmental, economic and social impacts (air and noise pollution, climate change, traffic congestion, etc.). European Directive 2014/94/EU1 strongly recommends to all European cities to adopt the Sustainable Urban Mobility Plan (SUMP). In Italy, it was implemented in the

1

Directive 2014/94/EU of the European Parliament and of the Council of 22 October 2014 on the establishment of an infrastructure for alternative fuels.

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Legislative Decree n.257 of December 16th 20162 and the Ministerial Decree n.397 of August 4th 20173. Until then, Traditional Transport Planning was focused on issues such as traffic, traffic flow capacity and speed, infrastructures, planning by experts. With the enactment of the European Directive, it was necessary to implement sustainable criteria in the mobility planning in order to enhance people’s quality of life. Taking into account the importance of involving citizens in the planning of a sustainable urban mobility plan, the collection of their opinions becomes a key factor. There are recent Social Media analysis in the field of urban transport that replace or implement in a novel way the traditional survey methodology. The latter is in fact expensive and time-consuming if quality data is to be collected. In order to counter this problem, some researchers developed ad-hoc software in order to analyse sustainable urban mobility issues in the User Generated Content on Social Media. Serna et al. [9] combined Natural Language Processing and Sentiment Analysis to automatically identify sustainable urban mobility issues within the posts. Candelieri and Archetti [10] developed a computation module in order to collect tweets both from users of the urban mobility services and from official sources, such as the Twitter account of the public transportation company in Milan, and then analyzed their content through machine learning techniques. Sdoukopoulos et al. [11] used an open source software that provides easy access to social media network data streams in order to assess and improve the sustainable urban mobility indicators. So, the social media as a source for data collection has become widely used [12– 17]. For long time, researchers have used questionnaires to collect data. Despite its widespread use, many authors define it as an obsolete method [18, 19] and others as a “static method” [20] that does not take into account the speed in which opinions and preferences change. Moreover, high-quality data requires high collection costs and a lot of time investment due to the number of persons to be involved and the time they need researchers, who design the surveys. Interviewers have to collect the data and respondents have to voluntarily provide answers, while they often give superficial answers due to their lack of interest. The solution adopted in this paper is to rely on open source software that analyses social network data to identify citizens’ opinions on the sustainability of urban mobility in the Metropolitan City of Catania. On the basis of a previous research carried out by Acampa et al. [17], this paper proposes a method to evaluate a satisfaction index of residents as defined by the European Commission applying it to urban mobility in Catania Metropolitan City. The results of the positive and negative reactions of citizens could provide some suggestions for the Sustainable Urban Mobility Plan.

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Legislative Decree No 257/16. Implementing rules for Directive 2014/94/EU of the European Parliament and of the Council of 22 October 2014 on the establishment of an infrastructure for alternative fuels. Subsequently modified by the Ministerial Decree n. 396 of 28 August 2019.

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2 Materials and Methods 2.1

Sustainable Urban Mobility Plans (SUMPs)

The SUMP is a strategic planning tool that develops the vision for the urban mobility system on medium-long term (10 years). The plan “has as its central goal improving accessibility of urban areas and providing high-quality and sustainable mobility and transport to, through and within the urban area. It regards the needs of the ‘functioning city’ and its hinterland rather than a municipal administrative region” [21]. According to the Guidelines for developing and implementing a Sustainable Urban Mobility Plan published by Eltis (The Urban Mobility Observatory), the involvement of citizens and stakeholders is one of the eight crucial principles for a successful Sustainable Urban Mobility Plan ([22] pag. 11). Comparing traditional mobility planning and sustainable mobility planning ([22] pag. 10) the SUMP aims to involve citizens as never before, particularly in four crucial planning steps: 1. 2. 3. 4.

discussion on scenarios (Activity 4.2); development of visions (Activity 5.1); selection and validation of action packages (Activity 7.2); implementation (Activity 11.2). In addition, SUMP is enhanced by the involvement of citizens when:

5. analyzing the mobility situation (Activity 3.2); 6. ensuring broad public support for planned actions (Activity 8.4); 7. assessing successes and failures (Activity 12.1). 2.2

Methodology

As we have seen in the literature review, the use of social network for the evaluation of the urban mobility system is a recurring topic. This paper shows a method to evaluate the aforementioned system through the analysis of users’ reactions on social network. The proposed procedure is divided in 6 steps: 1. Definition of the topic: focus on a topic that is of common interest to citizens4. 2. Selection of the sources: search online journals, magazines, blogs discussing on the chosen topic. 3. Analysis of the social network pages: look in journals, magazines, blogs that usually have social network pages (Facebook, Twitter, etc.) to share news with users. 4. Selection of the social network analysis tool: there are open source and fee-based software available on Internet that can query social network pages and extract information that usually are known only to the administrators of each page.

4

Overtourism, urban waste, urban mobility system, water supply system, wastewater treatment system, etc.

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5. Users’ reactions analysis: Each user reading a post can express its opinion by sharing news, writing a comment or just posting a reaction (Love, wow, sad, angry, etc.). 6. Dissatisfaction or satisfaction index computation: the reactions collected over the selected period of time are quantified and a satisfaction index relating to sustainable urban mobility computed following these steps: a. Within the selected social networks, pick the “angry-sad” reactions related to the sustainable urban mobility (A) and separate them from the rest (the total number of posts with “angry-sad” or “love-wow” reactions) (B). b. Calculate the functions A = f(x), B = z(x) of reactions A and B over time (days/months) for each year (n = a, a + 1,….., N); c. Calculate the integrals TAa and Tab of the functions f(x) and z(x) for each N year: Z

aþ1

TAa ¼

fðxÞdx

ð1Þ

zðxÞdx

ð2Þ

a

Z TAb ¼

aþ1

a

d. According to the reactions analyzed, calculate the satisfaction index (isat): isat ¼

TAa TAb

ð3Þ

7. Identification of events with negative or positive impact: Social network pages collect negative and positive reactions to the posts that refer to events with negative or positive impact on the citizens.

3 Results 3.1

Case Study: Metropolitan City of Catania

We chose Catania as case study because, despite its geographical and demographic size, it does not have an efficient sustainable urban mobility system. Moreover, despite the deadline set by the Ministerial Decree n. 397 of August 4th 2017 and subsequently modified in the Ministerial Decree n. 396 of August 28th 2019, Catania has not yet prepared a Sustainable Urban Mobility Plan. Mobility System The 10th report on “Sustainable mobility of the main 50 Italian cities” prepared by Euromobility, under the patronage of the Ministry of the Environment, Land and Sea, places Catania at the 41st position [23].

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In 1969, the adoption of the city’s General Master Plan reduced the opportunity for new developments by allocating small areas for new urban facilities. This also caused problems to the mobility system, creating inconvenience both to citizens and to local public transport (LPT). According to the general Urban Traffic Plan [24], public transport in Catania plays a marginal role compared to private transport (80% of journeys are made by private vehicles). This trend is common to southern Italian cities in which the development of public transport is delayed due to the lack of investment and of strong demand. The bus transport service is managed by Azienda Metropolitana Trasporti Catania “AMT” and consists of 45 lines [25]. The current structure of the AMT services has several flaws. Even if AMT lines cover a good portion of the urban territory, the whole city mobility system is not efficient enough, due to the scarcity of preferential bus routes, which inevitably causes traffic congestion and delays in the scheduled timetable. The Catania Metro is a normal track gauge and electric traction operated by the company “FCE-Ferrovia Circumetnea” since 1999 [26]. The original project foresees a single metro line from Misterbianco to the Airport “Fontanarossa”, crossing the center of Catania, for a total of 47 km, 39 stations of which 21 in the Catania Municipality. Currently, only 7 km of metro line and 9 stations are in operation (Nesima-Stesicoro line). The other sections are under construction. 3.2

The Proposal Methodology Applied to Catania

1. Definition of the topic. Catania Metropolitan City is the second largest city in Sicily after Palermo and its main industrial, logistical and commercial center. It is located on the slopes of the Etna Mount and on its east side faces the Ionian Sea. The city’s residents are about 300.000, its area is about 180 km2 large and its population density about of 1.700 inhabitants/km2 [27]. It is a highly anthropized area which suffers from a strong delay in the process of developing its mobility since many years. The characteristics of the mobility system have negative consequences both for citizens and for Local Public Transport (LPT) services. The urban configuration, the continuous growth of the metropolitan area and the increase in the use of private vehicles has led to a continuous increase in traffic congestion. Over the years, the city has adopted a model whose low quality and environmental standards that create a metropolitan environment among the least sustainable in Europe. 2. Selection of the sources. Several magazines and associations dealing with Catania are published on Internet nd all of them discuss different problems of the city (urban waste, mobility, tourism, cultural heritage etc.). For our study we investigated the LiveUnict, Mobilità sostenibile Catania, CataniaPubblica.tv, Quotidiano di Sicilia section on Catania, Catania news, Live Sicilia Catania and Sicilia Report section on Catania. 3. Analysis of the social network pages. Each association/magazine mentioned above has at least one page on social networks such as Facebook, Instagram, Pinterest, Twitter to publish its news. We selected Facebook pages as social network to be analyzed because it is the most popular and active in terms of post, follower and comments. For our study, we examined in particular Mobilità Sostenibile Catania.

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4. Selection of the social network analytical tools. To analyze users’ reactions to each page, we used “Social Insider”5. It is an open source tool that breaks down information on the activity of a social network page providing data on: number of followers, type of post, reactions over the time and interactions with the users including comments and post shared. 5. Analysis of reactions to posts. We focused on the years 2018 and 2019. Social Insider created graphs on users’ reactions over the two years taken into account automatically (see Fig. 1).

Fig. 1. Reactions trend on Mobilità Sostenibile Catania

Social Insider computes all the reactions referring them to their topics. So, we made a distinction between posts discussing mobility and posts discussing other issues. Figure 2 shows two functions representing the angry-sad reactions trend from 1 January 2018 to 31 December 2019. • The orange curve is the total angry-sad reactions of users regarding all topics over time (curve A); • The blue curve is the angry-sad reactions of users regarding only mobility over time (curve B). During the first year (2018), the curve A is very close to curve B. This means that the topic of mobility is very frequently treated. 6. Satisfaction index computation. a. For each month of each year taken into account (2018 and 2019), from the total number of posts with “angry-sad” reactions (B), we selected the “angry-sad” reaction number referring only to posts related to Sustainable Urban Mobility (A)6. b. The distribution of “angry-sad” reactions relating to sustainable urban mobility over time defines the function A = f(x), while the distribution of total “angrysad” reactions over time defines the function B = z(x).

5

6

Social Insider is a social media competitive analysis tool which delivers a full view of a competitors’ digital strategy on Facebook, Instagram and Twitter [28]. The same operation can also be done for positive reactions (e.g. “love-wow” reactions), but for this research we choose to focus only on “angry-sad” reactions to select the main problems on the topic.

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c. In order to compute the dissatisfaction index, we calculate the integrals of the functions A = f(x), B = z(x) for each year. Z

Jan2018=9

TAa ¼

A dx

ð4Þ

B dx

ð5Þ

Dec2018=9

Z TAb ¼

Jan2018=9

Dec2018=9

d. The satisfaction index in this case turn to a dissatisfaction index and is: idiss ¼

idiss

R Jan2018 A dx TAa ¼ RDec2018 ¼ 63% Jan2018 TAb Dec2018 B dx

TAa ¼ ¼ TAb

ð6Þ

R Jan2019

A dx ¼ 69% Dec2019 B dx Dec2019

R Jan2019

ð7Þ

The ratio Idiss defines the incidence of citizens’ dissatisfaction with the sustainable urban mobility in relation to the totality of the topics on the page. 7. Identification of negative impact events. From the posts published in Mobilità Sostenibile Catania, we identified 4 peaks (see Fig. 2 and 3) referring to following events:

Fig. 2. “Angry-sad” reactions trend from “Mobilità Sostenibile Catania”

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Fig. 3. Issues causing main negative reactions

• Unauthorized parking: citizens complain about the number of cars parked in unauthorized places (Via Etnea, Piazza Stesicoro, Villa Bellini, Via dei Crociferi). Citizens want more control by the municipality and accuse traffic police of noncompliance with their work [29]. • Traffic congestion: private transport is much more popular than public transport. This means an increase in traffic and more travel time with environmental (air pollution) and economic (higher travel costs) consequences [30]. • Restricted traffic zone: Despite the signs placed in the restricted traffic zone showing the areas which are only for pedestrians, this regulation is often ignored [31]. Table 1 shows the impact of the main issues affecting the sustainability of urban mobility in Catania on citizens’ reactions.

Table 1. Impact of the main issues affecting urban mobility Issues Unauthorized parking Traffic congestion Restricted traffic zone

% 54 28 18

4 Conclusion Taking into account that the satisfaction index is decreasing from 2018 to 2019, we suggest to take the following actions within the sustainable urban mobility plan:

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• Urban regeneration in the areas around metro stations: focus on Transit Oriented Development (TOD)7 to improve accessibility. This process would allow the redevelopment of the suburbs as the city centre would become easily accessible through the metro. This way the most degraded areas would be enhanced and acquire more interest from citizens and tourists [32]. • Study of the public transport system: negative reactions show that the urban bus service is slow, has too many stops and lines. Thus, citizens prefer private transport. Lanes open only to public busses could reduce travel times. • Promoting the development of cycle and pedestrian paths: cycle paths and pedestrian areas enhance historical centres. The reduction of cars in favour of public transport also reduces environmental problems and increases the state of psychophysical well-being of citizens. • Eliminating unauthorised parking: more parking spaces should be prepared in the suburbs and the road network should be remodelled to avoid the city centre being overcrowded by cars; • Extending the restricted traffic zone and pedestrian spaces: it might be even enough to segregate a small stretch of road from traffic to create a new small pedestrian space, with trees creating shade and benches.

References 1. Acampa, G.: European guidelines on quality requirements and evaluation in architecture. Valori E Valutazioni. Semestrale anno XII, 47–56 (2019) 2. Fattinnanzi, E., Acampa, G., Forte, F., Rocca, F.: The overall quality assessment in an architecture project. Valori E Valutazioni, 3–14 (2018) 3. Acampa, G., Garcìa, J.O., Grasso, M., Diaz-Lopez, C.: Project sustainability: criteria to be introduced in BIM. Valori E Valutazioni (2019) 4. Acampa, G., Bona, N., Grasso, M., Ticali, D.: BIM: building information modeling for infrastructures. In: Presented at the International Conference of Computational Methods in Sciences and Engineering 2018 (ICCMSE 2018), Thessaloniki, Greece (2018) 5. Acampa, G., Forte, F., De Paola, P.: B.I.M. models and evaluations. In: Mondini, G., Oppio, A., Stanghellini, S., Bottero, M., Abastante, F. (eds.) Values and Functions for Future Cities, pp. 351–363. Springer, Cham (2020) 6. Acampa, G., Cabillo, I.C., Marino, G.: Representación del dibujo frente a simulación de los sistemas BIM. Oportunidad o amenaza para la arquitectura (2019) 7. Herrero Jimenez, L.M.: Transport and mobility: the keys to sustainability. http://www.fgcsic. es/lychnos/en_EN/articles/transport_and_mobility 8. Commission: A Community Strategy for “Sustainable Mobility”. Green Paper on the Impact of Transport on the Environment. COM (92) 46 final. Accessed 20 Feb 1992. http://aei.pitt. edu/1235/

7

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9. Serna, A., Gerrikagoitia, J.K., Bernabé, U., Ruiz, T.: Sustainability analysis on urban mobility based on social media content. Transp. Res. Procedia. 24, 1–8 (2017). https://doi. org/10.1016/j.trpro.2017.05.059 10. Candelieri, A., Archetti, F.: Analyzing tweets to enable sustainable, multi-modal and personalized urban mobility: approaches and results from the Italian project TAM-TAM. In: Brebbia, C.A. (ed.) Urban Transport XX. WIT Press, Southampton (2014) 11. Sdoukopoulos, A., Nikolaidou, A., Pitsiava-Latinopoulou, M., Papaioannou, P.: Use of social media for assessing sustainable urban mobility indicators. In: Brebbia, C.A., Longhurst, J.W.S., Marco, E., Booth, C. (eds.) Sustainable Development Studies. WIT Press, Southampton (2018) 12. Ilieva, R.T., McPhearson, T.: Social-media data for urban sustainability. Nat. Sustain. 1, 553–565 (2018). https://doi.org/10.1038/s41893-018-0153-6 13. Ruiz, T., Mars, L., Arroyo, R., Serna, A.: Social networks, big data and transport planning. Transp. Res. Procedia. 18, 446–452 (2016). https://doi.org/10.1016/j.trpro.2017.01.122 14. Hosseini, M., El-Diraby, T., Shalaby, A.: Supporting sustainable system adoption: sociosemantic analysis of transit rider debates on social media. Sustain. Cities Soc. 38, 123–136 (2018). https://doi.org/10.1016/j.scs.2017.12.025 15. Casas, I., Delmelle, E.C.: Tweeting about public transit—gleaning public perceptions from a social media microblog. Case Stud. Transp. Policy. 5, 634–642 (2017). https://doi.org/10. 1016/j.cstp.2017.08.004 16. Gal-Tzur, A., Grant-Muller, S.M., Kuflik, T., Minkov, E., Shoor, I., Nocera, S.: Enhancing transport data collection through social media sources: methods, challenges and opportunities for textual data. IET Intell. Transp. Syst. 9, 407–417 (2015). https://doi.org/10.1049/ iet-its.2013.0214 17. Acampa, G., Grasso, M., Marino, G., Parisi, C.M.: Tourist flow management: social impact evaluation through social network analysis. Sustainability 12, 731 (2020). https://doi.org/10. 3390/su12020731 18. Savage, M., Burrows, R.: The coming crisis of empirical sociology. Sociology 41, 885–899 (2007). https://doi.org/10.1177/0038038507080443 19. Mayer-Schönberger, V., Cukier, K.: Big data: a revolution that will transform how we live, work, and think. Houghton Mifflin Harcourt, Boston (2013) 20. Fedrigo, F.: Le potenzialità dell’analisi dell’utilizzo dei social network a fini di marketing Caso studio sulle sigarette elettroniche (2013). http://dspace.unive.it/bitstream/handle/10579/ 4885/820994-1173345.pdf 21. European Commission: A Concept for Sustainable Urban Mobility Plans. https://ec.europa. eu/transport/sites/transport/files/legislation/com%282013%29913-annex_en.pdf 22. Eltis, The Urban Mobility Observatory: Guidelines for developing and implementing a Sustainable Urban Mobility Plan (2nd edition)|Eltis, https://www.eltis.org/mobility-plans/ sump-guidelines 23. Euromobility: Dati osservatorio 2018. https://www.euromobility.org/dati-osservatorio-2018/ 24. Comune di Catania: Piano Generale del Traffico Urbano » Uffici » Il Comune » Comune di Catania. https://www.comune.catania.it/il-comune/uffici/piano-generale-del-traffico-urbano/ 25. AMT spa: Azienda Metropolitana Trasporti. http://www.amt.ct.it/ 26. Ferrovia Circumetnea: Ferrovia Circumetnea|Catania. https://www.circumetnea.it/ 27. ISTAT: Popolazione residente al 1° gennaio. http://dati.istat.it/Index.aspx?DataSetCode= DCIS_POPRES1 28. Socialinsider: Social Media Competitors Analysis and Reporting Tool| Socialinsider. https:// www.socialinsider.io/

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29. Alessandro Sofia: Il parcheggio di via Etnea non è colpa del dissesto: cartoline della Catania senza direzione (2018). https://www.futurapress.it/2018/12/17/il-parcheggio-di-via-etneanon-e-colpa-del-dissesto-cartoline-della-catania-senza-direzione-2/ 30. Lombardi, G.: Catania, Torino, Verona, Roma: le città italiane più * malate * di automobili. Da 61 a 70 auto ogni 100 abitanti [Aci, Istat, Isfort] (2019). https://benzinazero.wordpress. com/2019/03/13/catania-torino-verona-roma-le-citta-italiane-piu-malate-di-automobili-da61-a-70-auto-ogni-100-abitanti-aci-istat-isfort/ 31. BlogSicilia.it: Ztl notturna, Catania risponde alle polemiche su Facebook “Serve contro cambiamenti climatici” (2020). https://www.blogsicilia.it/palermo/ztl-notturna-cataniarisponde-alle-polemiche-su-facebook-serve-a-contrastare-i-cambiamenti-climatici/513117/ 32. Acampa, G., Contino, F., Grasso, M., Ticali, D.: Evaluation of infrastructure: application of TOD to catania underground metro station. In: Presented at the International Conference of Computational Methods in Sciences and Engineering 2019 (ICCMSE 2019), Rhodes, Greece (2019)

How to Assess Walkability as a Measure of Pedestrian Use: First Step of a Multi-methodological Approach Francesca Abastante(&) and Marika Gaballo Politecnico di Torino, 10125 Turin, Italy {francesca.abastante,marika.gaballo}@polito.it

Abstract. One of the most important problems to face over the past thirty years is how to make cities sustainable and resilient, with the overall changes that are affecting cities, resulting from the constant urbanization of the current century. In this perspective, designing walking networks is important to create a functional and multi-modal city in transport choices and make urban settlements sustainable and inclusive, because a sustainable city is also a walkable city. This is what the UN also aims for, among other topics, in its SDGs’ 2030 Agenda. Despite the positive impact of walkability on public space, it is still difficult fully include it in government strategies, because of its novelty in the scientific debate. This paper has a double purpose: (i) to argue the problem, related to what trends and strategies have been implemented to face it; (ii) to investigate in depth walkability, understanding its definition in the scientific panorama, how is evaluated and how its evaluation could be useful in urban transformation processes. Keywords: Walkability approaches


2030 agenda and SDGs
Walkability evaluative

1 Introduction Cities are facing a complex challenge according to the sustainability topic, which is fueling the search for new solutions. The United Nation (UN) through the 2030 Agenda and its objectives highlights this challenge [1]. Among the others, in this framework appears the “walkability” topic: a sustainable city need to be a “walkable” city [2] since the act of walking has ecological, social, economic and political benefits. In this sense, planning a “walkable city” could lead to improve the livability of the people living in [3]. This implies a shift from the traditional mobility concept to a broader perspective able to include the livability of a territory, moving the attention from the object, understood as the mean of transport, to the subject that uses the mean of transport [4]. Accordingly, it is necessary to take into consideration the intrinsic and extrinsic characters of a territory as well as the preferences and habits of the pedestrians. This paper aims at reporting the first results of an on-going research whose overall objective is to develop and define a multi-methodological approach able to evaluate the © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 254–263, 2021. https://doi.org/10.1007/978-3-030-48279-4_24

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“walkability” of a territory in the perspective of guiding future urban projects. The multi-methodological approach, currently under development, will provide the conjoin use of quantitative analyses mainly based on indices and indicators, qualitative analyses (i.e. surveys) and Geographic Information Systems (GIS) [5, 6]. To properly frame the research, the first fundamental step relates to the identification of indices and indicators. We therefore started analyzing the evaluation procedures currently suggested in the scientific literature on “walkability”, in order to understand which indices and indicators are proposed to assess the “walkability” of a territory. After the introduction the paper is structured as follows: Sect. 2 briefly frames the complexity of the urban planning; Sect. 3 focuses on the concept of “walkability”, with particular attention to its definition and subjective dimension; in Sect. 4 an analysis of the assessment dimension of the walkability is provided. Finally, the last section relates to the conclusions and future development of research.

2 Towards a Changing Route: The 2030 Agenda and the SDGs One of the main aspects that need to be faced when talking about sustainability of the city is the mobility, since it involve complex movements of people and networks which are strictly connected [7, 8]. The relationship between movements and environments is becoming the driving force for a sustainable mobility stressing the importance of the physical, social and technical conditions necessary to “staging of contemporary urban motilities” [7]. In this sense, the sustainable mobility could be fundamental to support the design and plan of cities at a “human scale” [4]. The increasing level of unsustainability that slowly affected every city at the global level requires the need of an international changing route related to urban mobility and accessibility [9]. Despite the sustainable mobility is perceived as a brand-new concept, actually the European Union (EU) started to promote it since the 1990s. Through the Green Paper on the urban environment [10] the EU stressed the interaction of all modes of transport and proposed taxation for polluting vehicle, while the importance of “walkability” has been brought to the attention by the European Charter of Pedestrian [9]. Moreover, in 2011 has been identified the so-called Sustainable Mobility Plan as a strategic planning tool, launching new awareness of sustainable mobility. In this complex context, an important step forward is represented by the 2030 Agenda and the Sustainable Development Goals (SDGs) which are defined as an urgent call for actions by developed and underdevelopment countries in a global partnership [11]. Under the SDGs the walkability is explored and analyzed according to different perspectives, underlining the fact that this could represent advantages on several aspects [2, 12, 13]: (i) economic (loss of money for other transport modalities and the time lost in traffic jams), according to SDG9 “Industry, innovation and infrastructure” and SDGs11 “Sustainable cities and communities”; (ii) political (saving non-renewable resources), according to SDGs4 “Quality education”, SDG7 “Affordable and clean energy” and SDG13 “Climate action”; (iii) social (equity of mobility), according to

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SDG9 “Industry, innovation and infrastructure” and SDG11 “Sustainable cities and communities”; (iv) ecological, according to SDG7 “Affordable and clean energy”, SDG11 “Sustainable cities and communities” and SDG13 “Climate action”. Through the 2030 Agenda, the EU aims to stimulate universities in terms of research and the public administrations (PA) in terms of planning to pursue the sustainability objectives by exploring the 2030 Agenda issues, including “walkability”. With regard to the PA, it often showed a sort of immobility. In the past, they have been unable to provide effective strategies able to contain the traffic sprawl, which resulted in an increase in the number of vehicles and caused huge environmental and social negative impacts [14]. This consolidated unsustainable situation contributed in turn to a worsening of environmental conditions and a decrease in safety in the use of public spaces by pedestrians, particularly for the weak categories (as elderly people, children and disables). In this complex panorama, involving both citizens/users and experts/ administrations seems to be an urgent call to reach a sustainable and equally affordable mobility status. Moreover, it appears important to include the aforementioned categories in the design of accessible and secure spaces, minimizing the negative impacts at the environmental level [12, 15, 16]. In this perspective, the “walkability” should become crucial in the government strategies related to sustainable environment and mobility [9].

3 The Concept of Walkability The act of walking, or “walkability”, is “old as the hills” but we can start identifying an interest from researchers, planners and PA in the United States (US) in the second postwar period together with the increasing interest in the public space planning. In fact, the planning of public space and the “walkability” are intertwined in a relationship of nonnegligible causality: the one involves and enhances the other adding psychological well-being, aesthetic pleasure, promoting social exchanges or simply spending free time outdoors [17, 18]. The interest on the “walkability” concept further increased at the beginning of the early 2000: the climate change and the need for sustainable cities and societies [1, 19] pushed the scientific communities and the PAs to identify different development models able to reduce the pollutant emissions improving the so-called “soft-mobility” [20]. Moreover, different studies affirm that the consolidated use of traditional mode of transport (as cars and motorized vehicles) can be considered as a matter of “social inequality”, underlining the urgent need to find alternative and more equitable methods of mobility [12]. In this sense, the “walkability” can be considered as the easiest, cheaper and socially equal form of “soft-mobility” [21]. In this panorama, according to the literature [4–6, 22–32] all the researchers agree in affirming that “walkability” is first of all a tool of measure useful to assess the degree of pedestrian uses of a certain areas. Despite this shared vision, it is important to stress out that a proper widespread definition of this concept is still missing: some authors define walkability as “the safety,

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security, economy, and convenience of traveling by foot” [24], while some others stress the attention on a more qualitative perspective assimilating “walkability” with the “quality of a place” [33]. Those differences in terms of definition are imputable to several factors. First, the action of “walking” in an urban context is ambiguous itself since people walk for many reasons (need or pleasure) and it is therefore tricky try to catalogue the “walkability” [34]. Second, when talking about “walkability” we can highlight the presence of many different stakeholders affected by the concept as politicians, citizens, experts. Third, “walkability” impacts multiple aspects and different spheres of the reality as planning, transport, economy, society. Finally, as many other planning aspects, the “walkability” can be observed, analyzed and assessed according to different territorial scales: from a macro scale, understood as a city, to a micro scale, understood as a single street [5, 6]. We can therefore affirm that the variables of “walkability” are many, making the design and assessment of this concept site-specific and highly subjective [25, 35]. The subjectivity is a key concept underlined by many authors [22, 25, 26]: the basic element of “walkability” is the pedestrian and therefore a person with its own preferences, attitudes, needs and beliefs [26]. This does not mean that the “walkability” of a territory should be taken for granted being a natural act. On the contrary, it requires proper design and it should be included in the planning of sustainable cities as a an important mode of transport, in the perspective that a good “walkability” planning controls the way people move and determines the way they will move in the future [13]. Moreover, it is proved that the environment in which people walk is decisive in making an individual choice to walk, influencing positively or negatively the “walkability” of a given urban space [22, 33]. Accordingly, it emerges the fundamental role that the “walkability” can have to give a design basis to possible improvements, to evaluate the desirable future state and to contribute planning more sustainable and livable cities [3, 25, 26].

4 The Assessment Dimension of the Walkability In the tricky context around the concept of “walkability”, the focus of the present research is related to the assessment of “walkability” in the perspective of a sustainable planning of cities. In fact, according to literature [4, 13, 22–31] evaluate walkability is crucial for many reasons: to plan the public space, to create more sustainable and livable environments and to integrate subjective elements to the evaluation, objectifying them with solid structures [25]. Moreover, the walkability assessment can be useful in several areas: from the merely cognitive, informative, to the one inherent to a proposal of intervention, and new projects, up to provide a basis for devising new strategies and policies. Following the example of several approaches for operationalizing a literature review [36, 37], a review framework was applied to analyse the current assessment methods in the “walkability” field over the past 20 years (2000–2019). It is important to underline that the aim of this literature review was not to provide a complete panorama of the theories around “walkability”, but it was to identify

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operative assessment methods able to measure the “walkability” degree of a territory in the view of laying the foundation for the future development of a multi-methodological framework. The process followed has been inductive: we observed which techniques/ evaluations approaches were proposed in the scientific literature starting from 3 main keywords: “walkability assessment”, “walkability measure” and “walkability indicators”. Those have been used as search parameters in the Scopus and Google Scholar databases [38, 39]. The research turned 30 papers from which 12 have been further excluded since they do not deal with possible assessment methods. The 18 papers resulted from the research have been carefully analysed. 4.1

Results of the Literature Review

In analyzing the 18 papers identified, we were able to identify the main assessment methods used in the scientific literature [25, 40] according to the purpose of the assessment and the territorial scale of application (Table 1). Table 1. Main approaches used to evaluate “walkability” Type Quantitative

Qualitative

Method Statistical model Weighing of indexes and indicators Survey

Empirical investigation and software

Purpose Provides an objective state of art [27] Allows to obtain a global index structured on the basis of the indices considered, divided into indicators [23] Outlines users’ perception of nonphysical and objectively measurable characteristics [28] Provides scientific robustness to analysis [4]

Scale Micro and intermediate Micro, intermediate and macro Intermediate and macro Intermediate and macro

As showed in Table 1, the main assessment method identified from the literature review conducted are two-fold: i) quantitative, apt to assess objective and measurable aspects of the “walkability”; ii) qualitative, able to identify subjective/perceptive aspects of the “walkability”. The quantitative methods can be classified into statistical models and weighting of indices and indicators, aiming to depict a numerical state of the art of the current situation of a territory and to identify a global index of the “walkability”. The qualitative methods are related to the use of surveys and empirical investigation of the reality with the objective of outline the users’ perception and habits. Since the “walkability” can be considered as a site-specific concept [5, 6, 25], the territorial scale of analysis is fundamental in every paper analysed. From Table 1, it emerges that the assessment method able to be applied to all territorial scale is the “weighing of indexes and indicators”. In addition, the analysis of the literature stressed

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that qualitative methods are used at the micro scale only in combination with other quantitative (especially statistical) methods [21] and never in a single used. This does not mean that there are not studies dealing with qualitative research considering the micro scale. However, the focus of those studies is to provide a description of the walkability and “soft-mobility” in a social perspective rather than proposing an assessment method to measure the phenomenon for proposing planning strategies [41–43]. Starting from the aforementioned reasoning, we decided to primarily focus on the “weighting of indices and indicators” for different reasons: i) the SDGs of the Agenda 2030 are based on indices and indicators [35] and therefore this assessment method seems to better respond to the current EU needs; ii) it is the only method among the one analyzed that it is able to consider the different territorial scales in an assessment perspective; iii) it is an objective assessment method and therefore it could constitute the solid foundation for a multi-methodological framework [22, 23, 40]. According to this decision, among the papers dealing with the assessment method “weighting of indices and indicators”, we identified the most widespread indices and indicators used (Table 2). Table 2. Main indicators used in literature with their indices Indices Safety

Quality of routes

Comfort

Intermodality

Indicators Presence of intersections Drivable speed Existence of conflict area between pedestrian and vehicular traffic Types of roads Sidewalk’s length Condition of the pavement Non-sliding paths (with obstacles) Well connected Slope Presence of trees/meadows Adequate lighting Possibility of stopping due to benches Architectural variety Buildings with monotonous colors Possibility to see the continuity of the route Presence of commercial activity Presence and coverage of public transport stops Cycling

Frequency 7 papers

12 papers

12 papers

2 papers

From Table 2 emerges that: (i) the indices “quality of route” and “comfort” are the most analysed in the papers [5, 6, 27, 29–31]; (ii) the index “safety” is faced by 7 papers; (iii) the index “intermodality appears in 2 papers analysed [7, 31]. This may be

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due to the fact that the index “intermodality” needs more in-depth ad hoc analyses taking into account different variables. However, we think that it is still important to consider intermodality, especially with regard to the logic of an integration of different transport modalities [12]. Table 2 highlights also the main indicators composing the indices. According to the literature the index “safety” can be measured through 4 indicators, the “quality of routes” contains 5 indicators, the “comfort” 7 indicators while the “intermodality” contains 2 indicators. It is not surprisingly to notice that the majority of the indicators refers to the “comfort” index, due to its high subjectivity. In identifying indices and indicators, we checked the weights that each index assumes in each paper dealing with it. This allowed us to highlight the range of weights, measured in percentage, for each index (Table 3). Table 3. Ranges attributed to each index evaluated, found from the analysis of the papers Indices Safety Quality of routes Comfort Intermodality

Range 25–50% 21–40% 10–30% 10–20%

From Table 3 emerges that the index “safety” assumes the highest range (25–50%) followed by “quality of routes” (21–40%), “comfort” (10–30%) and “intermodality” (10–20%). It is possible to notice that the ranges identified are wide. This could be due to the fact that the indicators are closely related to the territory under exam and therefore cannot be considered as absolute assumptions, but adapting them from time to time in relation to the scale.

5 Conclusions and Future Developments Downstream of this first step of an ongoing research, we can affirm that “walkability” is a broad and complex concept [2]. This implies that, although the issue of “walkability” has been promoted at an international level, it is still difficult to take it fully into account in urban planning processes and practices. Accordingly, the literature review so far conducted highlights the difficulty in identifying a shared assessment method to evaluate “walkability”. This could be due to the lack of a univocal definition and to the fact that this can be considered as a sitespecific aspect. In fact, it emerges that the assessment of the “walkability” of a place is strictly related to the territorial scale of analysis which requires different assessment methods [5, 6]. A further element making difficult the assessment of “walkability” relies in its intrinsic subjective/perceptive dimension. From the papers analysed in this research strongly emerges a tendency in focussing more on the physical and empirical aspects of the “walkability” quite ignoring the subjective and human component. This is mainly because the subjective component is still very difficult to objectify and incorporate into the evaluation being intangible [44].

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Despite we based this first step of the research on the analysis of the “weighting of indices and indicators”, we are aware that this is not sufficient to properly evaluate “walkability” taking into account the complexity of this issue. However, the preliminarily research here reported constitutes the first fundamental step to move towards the definition of a multi-methodological approach able to evaluate the “walkability” of a territory in the perspective of guiding future urban projects. The future development of the present research will involve the use of a case study [45] in Italy at an intermediate territorial scale in order to verify/validate the range of weights identified in Table 3. This case-study approach [45] will allow us to analyse other assessment methods as empirical investigation and surveys in order to simultaneously consider the objective and subjective dimensions of “walkability” starting from the users’ perception. The results obtained during this second phase will be analysed by using a fourth assessment method suggested by the literature review which is the statistical analysis (Table 1), with the ambitious aim of moving the pedestrian’s choices into a quantifiable and measurable data at the same level to the objective ones. Finally, according to the recent researches [5, 6, 45] the multi-methodological framework will include a third “visual” step based on GIS [46] so to have a more holistic picture of the situation on one hand and to provide technical support for future strategic and/or design choices on the other, contributing to the evaluation itself [4, 47]. It is proved in fact that GIS are able to contribute improving bottom-up approaches in a circular governance [48], enhancing awareness about a complex problem as the “walkability”, sharing objectives among the actors involved in urban planning processes to come to more effective and sustainable projects [14, 49].

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10. Publications Office of the European Union. https://op.europa.eu/en/publication-detail/-/ publication/0e4b169c-91b8–4de0-9fed-ead286a4efb7. Accessed 17 Jan 2020 11. Italian Agency for Development Cooperation. www.aics.gov.it/home-ita/settori/obiettivi-disviluppo-sostenibile-sdgs/. Accessed 3 Jan 2019 12. Davico, L., Mela, A., Staricco, L.: Città sostenibili. Carocci, Roma (2006) 13. Zakariaa, R., et al.: Conceptualising the indicators of walkability for sustainable transportation. Jurnal Teknologi (Sci. Eng) 65(3), 85–90 (2013) 14. Ambarwati, L., Verhaeghe, R., Pel, A.J., Van Arem, B.: Development of public transport system strategies to control urban sprawl. IACSIT Int. J. Eng. Technol. 6(6), 443–451 (2014) 15. Cucca, R.: Partecipare alla mobilità sostenibile Politiche, strumenti e attori. Carocci, Roma (2009) 16. Salzano, E.: Fondameni di urbanistica. Laterza & Figli, Roma-Bari (1998) 17. Gehl, J.: Life Between Buildings: Using Public Space. Vam Nostrand Reingold, X edition published in 2011. Island Press, Washington (1987) 18. Hendee, C.: More on the cover story: a short history of walkable urbanism and transitoriented development. Denver Bus. J. (2014) 19. Lombardi, P., Abastante, F., Torabi Moghadam, S., Toniolo, J.: Multicriteria spatial decision support systems for future urban energy retrofitting scenarios. Sustainability 9(7), 1–13 (2017) 20. La Rocca, R.A.: Soft mobility and urban transformation. TeMaLab J. Mob. Land Use Environ. 3, 85–90 (2010) 21. Bereitschaft, B.: Equity in microscale urban design and walkability: a photographic survey of six pittsburgh streetscapes. Sustainability 9, 1–20 (2017) 22. Cambra P.J.M.D.: Pedestrian accessibility and attractiveness – indicators for walkability assessment. Instituto Superior Técnico de Lisbona (2012) 23. Apolloni, L., Capasso, L., D’Alessandro, D.: How walkable is the city? application of the walking suitability index of the territory (T-WSI) to the city of Rieti (Lazio Region, Central Italy). Epidemiol. Prev. 40(3–4), 237–242 (2016) 24. Krambeck, H.V.: The global walkability index. Department of urban and planning and department of civil and environmental engineering, Massachusetts Institute of Technology (2006) 25. Handy, S., Reid, E.: Measuring the unmeasurable: urban design qualities related to walkability. J. Urban Des. 14(1), 65–84 (2009) 26. Shatu, F., Yigitcanlar, T.: Development and validity of a virtual street walkability audit tool for pedestrian route choice analysis—SWATCH. J. Transp. Geogr. 70, 148–160 (2018) 27. Cerin, E.: Objective assessment of walking environments in ultra-dense cities: development and reliability of the Environment in Asia Scan Tool—Hong Kong version (EAST-HK). Heal. Place 17(4), 937–945 (2011) 28. Domokos, S., Wiitala, C., Tier, A.: Walkability on University Avenue. Dalhousie University, Nuova Scozia (2014) 29. Ford, A.M.: Walkability of Campus Communities Surrounding Wright State University. Wright State University, Dayton (2013) 30. Lee, S., Talen, E.: Measuring walkability: a note on auditing methods. J. Urban Des. 19(3), 368–388 (2014) 31. Hashim, N.R., Keat, L.K., Yaacob, N.M.: Campus walkability in malaysian public universities: a case-study of universiti Malaya. Plan. Malays. 14(5), 101–114 (2016) 32. Sony, S.W., Destri, N.: Pedestrian Facilities Evaluation Using Pedestrian Level of Service (PLOS) for University Area: Case of Bandung Institute of Technology. R. M. Bandung Institute of Technology, Bandung (2017)

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33. Bradshaw, C.: Creating – and using – a rating system for neighborhood walkability towards an agenda for “local heroes”. In: XIV International Pedestrian Conference of the School of Cooperative Individualism Boulder (1993) 34. Solnit, R.: Storia del camminare. Bruno Mondadori, Milano (2000) 35. Miola, A., et al.: Interlinkages and policy coherence for the sustainable development goals implementation. JRC Technical Reports (2019). https://publications.jrc.ec.europa.eu/ repository/bitstream/JRC115163/sdg_interlinkages_jrc115. Accessed 20 Jan 2020 36. Parashar, S.: The place of housing stability in HIV research: a critical review of the literature. Hous. Theory Soc. 33(3), 342–356 (2016) 37. Abastante, F., Lami, I.M.: Social housing evaluation procedures: literature review and steps forward. GEAM-Geoingegneria ambientale e mineraria 150, 15–28 (2017) 38. Scopus. https://www.scopus.com/. Accessed 17 Jan 2020 39. Google Scholar. https://scholar.google.com/. Accessed 17 Jan 2020 40. Congiu, T., Fancello, G.: Misurare la camminabilità. In: Fancello, G. (ed.) Sessione special Camminabilità e mobilità alternative, vol. 7, pp. 2–4 (2017) 41. Bissell, D., et al.: The Routledge Handbook of Mobilities. Routledge, Abingdon (2014) 42. Bissell, D., et al.: Micropolitics of mobility: public transport commuting and everyday encounters with forces of enablement and constraint. Ann. Am. Assoc. Geogr. 106(2), 394– 403 (2016) 43. Bissell, D., et al.: Narrating mobile methodologies: Active and passive empiricisms. In: Mobile methodologies, pp. 53–68. Palgrave Macmillan, London (2010) 44. Spoon, S.: What Defines Walkability: Walking Behavior Correlates. University of North Carolina at Chapel Hill for the degree of Master of Regional Planning, Department of City and Regional Planning. Carolina Digital Repository (2015) 45. Stake, R.E.: The Art of Case Study Research. Sage Publications, Thousand Oaks (1995) 46. Abastante, F., Lami, I., Lombardi, P.: An integrated participative spatial decision support system for smart energy urban scenarios: a financial and economic approach. Buildings 7(4), 103 (2017) 47. Yin, L.: Street level urban design qualities for walkability: combining 2D and 3D GIS measures. Comput. Environ. Urban Syst. 64, 288–296 (2017) 48. Peeters, W., Eyckmans, J.: Strengthening bottom-up and top-down climate governance. Clim. Policy 13(3), 1–21 (2013) 49. Lami, I.M., Abastante, F., Bottero, M., Masala, E., Pensa, S.: Integrating multicriteria evaluation and data visualization as a problem structuring approach to support territorial transformation projects. EURO J. Decis. Process. 2(3–4), 281–312 (2014)

Integral Medicine for Wellness Cities Carmelo Antonio Caserta(&) Calabrian Association of Hepatology - Foundation of Medical Solidarity, Reggio Calabria, Pellaro, Italy [email protected]

Abstract. Science has taken strange paths throughout history. Sometimes the horizons of meaning are lost with absurd effects on those very needs that inspired it in the first place. They are not scientific revolutions, generated by new evidence that requires the adoption of a new rationality. They are not even an improvement on the tools and strategies that should ensure progress towards a more effective form of interpretation and reality checks. It is a question of the affirmation of a different epistemological order which, in the absence of a priori evidence that proves its effectiveness, can only be justified by the creation of a sphere of functional power with contingent interests, whether they be corporate, social or economic. This is what has happened to medicine. Re-examining the history of our medical knowledge we can observe that, during the nineteenth century, the focus was distracted from the articulated and dynamic social dimension to the finite dimension of the body. This reductive process has had the effect of keeping observation within an isolated and simplified clinical area, which excludes the more complex nature of the other involved phenomena. This paradigm, intended as a technique of observation and manipulation of the finished product, has now reached the limit of ethical, epidemiological and social sustainability. It marks a step but no longer seems able to guarantee its original promises. Now, we need an integral medicine that considers physical and mental health as the result of the interaction between individual, social, economic and environmental factors. In integral medicine health is only now, considered as a complex system, the understanding of which is only possible by identifying the relationships between the different composite factors and their relationship with the whole. Keywords: Integral medicine


Healthy Cities
Scattered park

1 Focus on the Body Currently we attribute responsibility for individual health to genetic characteristics, lifestyles or accessible medical technology. Observations dating back to the 1970s have shown that there are other factors, other than those of individual health, which expose risk to disease. For example, it has been observed that migrants have acquired the risk of diseases typical of the areas in which they settled [1]. At the same time, some studies have shown that social inequalities of

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mortality have continued to grow despite the possibility (given to every citizen) of access to a good healthcare system through universal health services [2]. Health is the result of the interaction between various factors since the second half of the 19th century. After a study conducted in Silesia to eradicate a typhus epidemic among a population of Polish miners, Rudolf Virchow (professor of pathological anatomy of the University of Berlin) developed the hypothesis that it was, above all, the economic conditions, the level of education, the working environment and residential context of the population that determined the spread of the infection. An effective medical action cannot be limited to the simple cure of the disease but had to include important social changes: improving medicine may ultimately prolong human life, but improving social conditions can achieve this faster and more successfully. According to Virchow’s vision, medical discipline is not a technique relegated to a strictly delimited space, accessible only to a few specialists, but requires the contribution, sharing and civil control and, therefore, collaboration with other disciplines whose practices have important consequences on the well-being of the community. Going far beyond the role of the academic clinician, he stated: It is not clear that our struggle is a social one, that our job is not to write instructions to upset the consumers of melons and salmon, of cakes and ice cream, in short; the comfortable bourgeoisie. It is to create institutions to protect the poor, who have no soft bread, no good meat, no warm clothing?… It is so sad that thousands must always die in misery, so a few hundred may live well. Therefore, it is politics and ethics that circumscribe the sphere of commitment of knowledge that appears subordinated to the realisation of the common good: Medicine is a social science and politics is nothing else but medicine on a large scale [3]. Virchow’s ideas had profoundly influenced the health reforms implemented during Bismark’s time. Even in Italy, the hygienist Pagliani, in the nascent Regno d’Italia, accepting these same questions, inspired a health law that focused primarily on infrastructure for hygiene, such as water and sewage collection, quality homes and nutrition. He was well aware that all those factors contributed to the well-being of the Community [4]. The progressive shift of the medical view from the social and environmental context to the human body [5], has determined an epistemic change, relegating medical action exclusively to that of the clinical setting. The effects of this are evident: a discipline impermeable to contamination by other factors, governed by a class of super-specialists, exclusive holders of an increasingly complex and sophisticated knowledge, whose production, distribution and verifiable effectiveness escape social and political control. Guided by this paradigm, medical action is preoccupied with the anxiety of verifying and consuming new technological advance, fuelling the representation of knowledge capable of guaranteeing the defeat of the disease, and the control of the aging process up to an indefinite lengthening of life expectancy. The net result of this medicine is that of imprisoning the physician in the role of a body control technician, rather than encouraging him to share, with other knowledge, more finite and realistic practices aimed at spreading shared well-being. Today, this interpretation of medicine appears painfully distant from the actual needs and expectations of the community and beyond their possibilities.

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The advances, in terms of reduction of morbidity, improvement of quality of life and increase in life expectancy, which have been obtained by increasingly sophisticated and expensive medical technology, have almost reached the limit of possibilities. Furthermore, they are frustrated by the inequitable distribution of health resources and negative public health effects caused by the economic, social and cultural inequalities and environmental degradation. This medical paradigm takes resources away from crucial areas for public health such as education, work, environmental protection and safety. It is not concerned with ensuring equal access to technological advances. It has escaped any form of control, pushed to the extreme limits of sustainability and constitutes the most serious threat to one of the fundamental values of our society: the universality of a health system based on the value of solidarity. This paradigm, sustained even during periods of crisis, by rich profits that manage to fuel the offer of increasingly sophisticated technological patents, the costs of which are difficult to sustain, even by strong economies. It has continued to grow and prosper until the economic and social unease of recent years has led to the onset of new diseases from poverty and health inequalities. This even in the wealthy West.

2 The Crisis of Techno-Medicine: Historical Evidence The World Health Organization (WHO) highlights that chronic non-communicable degenerative diseases, (obesity, diabetes and hypertension), are the cause of over two thirds of deaths, worldwide. Many of these diseases can be ascribed to the absence of services, the absence of urban spaces that disadvantage the implementation of health practices, such as physical activity or healthy eating and to the harmful exposure to polluting agents [6]. According to ISTAT data, over six million Italians have rejected taking care of themselves or implementing personal preventive measures for economic reasons. More so, the inhabitants of the southern suburbs, the elderly and millennials have had to forego the right to health. These conditions of inequality are already translating into a significant gap in the quality and length of life between the citizens of the South compared to the richest areas of Italy. These differences in life expectancy and health inequalities in the different macroareas are also reproduced at a local level in our cities, with a disadvantage to the suburbs. In particular, a population study on a sample of children and teenagers was conducted in Reggio Calabria. This study conducted by the Calabrian Association of Hepatology, (in collaboration with the Italian National Institute of Health - ISS), helped establish that weight excess, especially in the degraded suburbs of the city, reaches levels of prevalence among the highest in Europe, very close to those of the USA where, moreover, effective programs to contrast the phenomenon have already been launched. Overweight and obesity in the children of Reggio Calabria are associated with a metabolic condition and pre-atherosclerotic damage, which until a few decades ago, was only found in adulthood. This condition of exposure to early vascular risk mainly affects individuals belonging to families with low levels of education and income [7].

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3 Ethical and Epidemiological Needs The response to this dramatic situation, affecting even the richest Countries, initially assumed the characteristics of an ethical commitment: A sustainable medicine will have three characteristics. It will first, provide the people of society with a level of medical and public health care sufficient to give them a good chance of making it through the life cycle and functioning at a decent level of physical and mental competence. It will secondly, be a medicine that can be equitably distributed without undue strain and affordable to the society. It must, third, be a medicine that has, with public support, embraced finite and steady-state health goals and has limited aspirations for progress and technological innovation [8]. The American bioethicist borrows from the environmental culture the concept of “sustainability” to denounce a medicine dominated by expensive technologies that take resources from sectors just as important for the determination of public well-being. Sustainable medicine is based on individual responsibility and care for the environmental context, rather than on sophisticated technologies that have the inbuilt effect of ensuring generous profits for the healthcare industry. In addition to the treatment of infirmity, it is committed to maintaining the state of well-being of the population by implementing programs for the prevention of health which already ensure, in the short term a significant reduction, both in the burden of human suffering and in the costs associated with infirmities. Urgent epidemiological needs were added to the ecological/ethical approach proposed by Callahan for the revision of the current health paradigm. Jama, one of the most influential international medical journals published in 2009, a series of articles concerning the economic and social causes of diseases. In one of these [9], S.H. Woolf, of Virginia University, says: As shown by the current recession, socio-economic pressure can affect health much more deeply than doctors can. Alongside the restrictions on access to care (insurance and care has become less affordable for patients, businesses and Government), the economy introduces priorities in daily life that compete with the achieving of good health… Improving healthcare is half the answer if diseases are caused by everyday living conditions. Having recognised the limits of the current medical paradigm based on the exclusive treatment of infirmity, he identifies other areas of commitment: The system needs to change so that social issues are incorporated into health policies. The first hurdle is aptitude: Health workers, at all levels, must accept the principle that social change is a legitimate tool for improving health. This commitment involves changes in the tasks of health policy makers, doctors and researchers. He recognises the importance of the right to health as a fundamental element of harmonious social and economic growth and for the exercise of individual freedom itself: Healthcare must be added to the list of the common good not only for its intrinsic value, but also for the effects on the economy that health produces: If widespread socio-economic distress continues, the consequent deterioration of the health of the population could have negative consequences on the productivity of the workforce, on the demand for health care, and on costs: scenario that neither companies nor the

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government can afford. Family income and education are important health determinants, but the same is true for transport, housing, agriculture and other non-health policies. Lastly, he underlines the importance of the environment on the state of well-being by hoping for the regeneration of living spaces according to criteria based on a principle of impact on the well-being of the interventions: Studies known as “Health impact assessments” document well the health consequences of non-health policies. Programs that seem to have no connection with health, (such as road works), can be transformed into health strategies, when those who manage them plan cycle paths and tracks for pedestrians to promote physical activity. With these statements, Wolff sanctions the need for a return to the complexity of health determinants to reinterpret the genesis and disease control practices. It is the affirmation of a different epidemiological status: from body disease to contextual disease! Wolff, revealing the inadequacy of an exclusive technical commitment, considered as the only one scientifically sustainable and, therefore, neutral and free from interests, indicated a perspective of meaning for medical action in a renewed ethical dimension that identifies inequality contrast as an indispensable tool to contrast the disease: For doctors, integrating social change into the care business requires something more than the request for advice from social services. This means identifying social objectives for their patients (e.g., finding a job, a qualification) and coordinating with other community disciplines and partners (e.g., schools, employment agencies, businesses) to find solutions… Social change it is a legitimate tool for improving health. If healthcare is to be understood as the result of a complex set of dynamic relationships of different factors then it can only be the subject of integral medicine according to the same principles set out by Pope Francesco in the encyclical Laudato sii [10]. After more than a century of hypocritical narratives, it is the triumphant return to the sense of medical action indicated by Virchow: Doctors are the natural lawyers of the poor.

4 The Healthy Cities Project: Health as a Common Good Medicine has finally recognised that it has reached the limit of its possibilities by having to beg for the participation of other disciplines, awareness and knowledge in the fight against diseases. A renewed awareness that finally welcomes the complex nature of the health phenomenon by acknowledging that has to become an inclusive discipline within those that contribute to the determination of well-being. The Healthy Cities project, promoted by the WHO, is moving in this direction, indicating the need for integral and civil medicine. The project, in fact, translates into a commitment that requires the integration of health policies with others that have repercussions on health, on the growth of the city in respect of equity, on attention to the needs of citizens and on sustainability. The project intends to spread a new paradigm of health protection based on a multidisciplinary approach to health risk factors.

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The goal is disease prevention through: – Systemic action that includes the adoption of economic and social policies aimed at strengthening social cohesion; – Individual and collective responsibility, promoting healthy lifestyles; – Developing sustainable transport systems and urban development; – The implementation of primary prevention programs for chronic degenerative diseases; – The implementation of urban regeneration projects. The vision proposed by WHO is that: The right to health constitutes a collective interest, one capable of stimulating and improving the relationships between citizens, by urging a new culture of safeguarding public health focussing on participation and responsibility and replaces the welfare state with participation in a new social alliance founded on the defence of the commons. According to this vision, the traditional competition between the State and the private sector (as described by the biologist Hardin in 1968 in the famous essay The Tragedy of Commons), results in the entrusting of the management of the public good to the communities [11]. Groups of people interested in a sustainable, participatory and responsible use of common resources, in recognition of self-organisation and free from central interference. The tragedy of the common good at a global level is thereby resolved through the Healthy Cities project, which recognises communities the right of co-operative selfmanagement of resources as an alternative to the current order dominated by a homo oeconomicus capable of destroying the rights of individual countries by imposing a functional order on their predatory interests. [12–14].

5 From the City to the Village: The Experience of ACE and FMS The Calabrian Association of Hepatology (ACE) and Foundation of Medical Solidarity (FMS) are organisations that carry out, in collaboration with national and international research institutions, epidemiological research projects which study the determinants of diseases and their distribution among the population. These studies have highlighted a new epidemiological context characterised by the emergence of forms of pathology linked to economic and cultural poverty, which first inspired the birth of the Centres of Medical Solidarity in Pellaro (Southern Italy), and therefore of the Mediterranean University Citadel, and soon to be of Arghillà: a neighbourhood that suffers from an unbearable condition of degradation. In these places, the free-of-charge treatment intends to underline the relevance of the right to health as a mandatory duty in the pursuit of a harmonious and inclusive growth of the community in a civil dimension that excludes both the commercial solution (which generates inequalities) and the public, characterised, particularly in Calabria, by inefficiencies, waste and illegal practices.

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Knowledge and vocational training are tools that the community must possess in order to make responsible and conscious choices regarding their own well-being. This has inspired the birth of the Observatory of Poverty Diseases and Health Inequalities that hosts various cultural events within an environment, enhanced by a rich library of universal and Calabrian culture, and prestigious historical and contemporary medical treatises. More recently, thanks to the scientific collaboration started by the Mediterranean University of Reggio Calabria, the commitments have further extended to the promotion of a culture of urban and landscape regeneration, intended as essential determinants of the community well-being, which have materialised in the construction of the Agora Park. This complex system of actions - research, joint health care, empowerment activities and initiatives for the care of the urban, historical and natural environment constitute the Parco Diffuso della Conoscenza e del Benessere (see Fig. 1) - literally Scattered Park of Knowledge and Wellness - that is, the systemic proposal of our community for an urban space of well-being focused on local needs and resources (https://www.acemedicinasolidale.it/). It is a complex civil project in which, the right to health is realised beginning with the care of the environment in its various expressions. The Parco Diffuso project will be the subject of a more extensive and timely presentation in another publication. With the realisation of this project, ACE-FMS want to underline how health commitments should be addressed with greater conviction on the prevention and safeguarding of health, rather than on exclusive assistance to infirmities. To achieve these objectives, actions are specific, indicated not exclusively to health relevance, but in which the care of the individual is essential to that of the environment in its various social, cultural, economic, natural, landscape and spatial expressions. The Parco diffuso is an area of thought and practices, inclusive of cultures, traditions, sensitivities and techniques, which, until now were confined to strictly separate and non-communicating areas. In fact, knowledge such as medicine, ecology, architecture, urban planning, figurative and conceptual arts, philosophy and anthropology contribute to its realisation; finally freed from specialist constraints in the name of conviviality. The project intends to indicate a new perspective of widespread and shared wellbeing, intended as an indispensable common good, widening the participation of individual and collective subjects, promoting their empowerment, enhancing environmental and historical heritage through regeneration of urban and natural spaces, countering health inequalities.

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Fig. 1. The Parco Diffuso della Conoscenza e del Benessere is a project of the Calabrian Association of Hepatology (ACE) and Foundation of Medical Solidarity (FMS), with Mediterranean University of Reggio Calabria and the Municipality of Reggio Calabria; Scientific Committee: Vincenzo Gioffrè (direction), Carmelo Caserta, Gianni Brandolino, Vincenzo Errigo, Chiara Corazziere; Technical committee: Giuseppe Falsone (direction), Marco Benincasa, Gabriele Lazzaro, Francesco Lo Giudice, Cristian Murace, Giulia Pellicone.

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6 Questions of Method The impact of well-being of planning practices on cities is subject to a high degree of uncertainty for the complexity of the organisation, the number of relationships and the interests that characterise the urban context. General projects, especially in Southern Italy, often did not determine the desired effects with an expenditure of resources that is now unsustainable. A policy based on the awareness that cities are complex systems will, rather, have to resort to models, possibly reproducible in other contexts, but which allow ongoing control processes so as to allow any adjustments necessary to produce the desired results. Even the Parco Diffuso, although the planned interventions are limited to a restricted area of metropolitan territory, could have effects both on the perceived well-being and on the physical health of the population interested in the project. Therefore, the problem arose of acquiring tools that allow accurate estimates of the avoidable effects determined by the project, above all, to avoid the risk of determinations, not subjected to evaluation processes, which could end in results that do not correspond to the expectations. The economist Duflo described the failures of a method of proceeding in abstracto, typical of the social sciences, released from the verification of costs and the effectiveness of policies. The scholar, Nobel laureate for economics in 2019, has indicated with field trials, the usefulness of models borrowed from controlled clinical trials to verify the effects of economic interventions with significant social repercussions [15]. Based on these experiences the actions related to the Parco Diffuso were accompanied by observations regarding the perception of well-being and physical health of the community affected by the project. Regarding the first aspect: Investigation, conducted by the department of dArTe (Architecture and Territory department of the Mediterranean University of Reggio Calabria), explored some compositional determinants. These were: social support and cohesion, institutional presence, economic accessibility to food and primary resources within the neighbourhood and contextual health determinants (urban form, transport system, distribution and quality of economic activities and residential and productive settlements, presence of spaces for physical activity, landscape quality, naturalistic value and pollution levels, etc.) [16]. The information regarding the physical health of the population was obtained through an epidemiological survey, carried out in collaboration with the Italian National Institute of Health (http://www.cuore.iss.it/). The periodic verification of the variables identified by these studies is necessary to guide the interventions more effectively. These considerations on the method of verifying the actions undertaken are not intended to represent sterile scientific formalisms but, rather, to testify to the responsibility for a commitment that is, above all ethical and political. Assuming the adoption of a paradigm of complexity in the approach to phenomena regarding health it becomes necessary to equip ourselves with tools useful for its understanding and control. Moreover, in a context characterised by limited resources and a growing lack of interest and scepticism towards civil commitment, the adoption of tools to minimise failures becomes mandatory to prevent further discontent from frustrating the hope of a change towards reaffirmation of the public interest.

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Also for these reasons the Parco Diffuso is to be considered as a system still far from stability and open to implementations and insights of citizens, associations, public institutions, researchers and intellectuals towards the search for a different order.

References 1. Marmot, M.G., Syme, S.L., Kagan, A., et al.: Epidemiologic studies of coronary heart disease and stroke in Japanese men living in Japan, Hawaii and California: prevalence of coronary and hypertensive heart disease and associated risk factors. Am. J. Epidemiol. 102, 514–525 (1975). https://doi.org/10.1093/oxfordjournals.aje.a112189 2. Lalonde, M.: A new porspective on the health of Canadians (1974). http://www.hc-sc.gc.ca/ hcs-sss/altformats/hpb.dgps/pdf/pubs 3. Waitzkin, H.: One and half centuries of forgetting and rediscovering: virckow’s lasting contributions to social medicine. Soc. Med. 1(1), 5–10 (2006) 4. Cosmacini, G.: La sanità pubblica in Italia. Dall’Unità alla prima Guerra Mondiale. In: Bongianni, B., Tranfaglia, N. (a cura di) “Sanità” del Dizionario storico dell’Italia unita. Laterza. Roma-Bari (1996) 5. Foucault, M.: Nascita della clinica: il ruolo della medicina. Una archeologia dello sguardo medico. Einaudi, Torino (1969) 6. Napier, A.D., Nolam, J.J., Bagger, M., Hesseldal, L., Volkmann, A.M.: Study protocol for the cities changing diabetes programme: a global mixed-methods approach. BMJ Open 7(11), e015240 (2017). https://doi.org/10.1136/bmjopen-2016-015240 7. Caserta, C.A., Pendino, G.M., Amante, A., Vacalebre, C., Fiorillo, M.T., Surace, P., Messineo, A., Surace, M., Alicante, S., Cotichini, R., Zuin, M., Rosmini, F., Mele, A., Marcucci, F.: Cardiovascular risk factors, nonalcoholic fatty liver disease, and carotid artery intima-media thickness in an adolescent population in southern Italy. Am. J. Epidemiol. 171(11), 1195–1202 (2010). https://doi.org/10.1093/aje/kwq073 8. Callahan, D.: La medicina Impossibile. Le utopie e gli errori della medicina moderna. Baldini & Castoldi, Milano (2000) 9. Woolf, S.H.: Social policy as health policy. Jama 301(11), 1166–1169 (2009). https://doi. org/10.1001/jama.2009.320 10. Bergoglio, J.M.: Laudato si’. Enciclica sulla cura della casa comune. San Paolo Edizioni, Roma (2015) 11. Hardin, G.: The tragedy of the commons. Science 162, 1243–1248 (1968) 12. Mattei, U.: Beni comuni. Un manifesto. Laterza, Roma-Bari (2011) 13. Mattei, U.: I beni comuni fra economia, diritto e filosofia. Spazio Filosofico 7, 111–116 (2013) 14. Ostrom, E.: Governing the Commons. Cambridge University Press, New York (1990) 15. Duflo, E.: I numeri per agire. Una nuova strategia per sconfiggere la povertà. Feltrinelli, Milano (2011) 16. Errigo, A.: Fostering neighbourhood advantage for health. Implications and guidelines for urban regeneration. International Doctorate program. Urban Regeneration and Economic Development (URED). Tutor Fallanca C. Dipartimento Patrimonio, Architettura, Urbanistica (PAU). Università degli Studi Mediterranea, Reggio Calabria (2019)

Health and Well-Being Through Cultural Heritage Enhancement Strategies. Cultural Welfare and Integrated Sustainability for Fostering Healthy Lifestyles Natalina Carrà(&) PAU Department, Mediterranean University of Reggio Calabria, Reggio Calabria, Italy [email protected]

Abstract. In recent years, literature on studies on urban features and living conditions of cities related to health and well-being, has shown growing attention to the implications that the cultural dimension has or can have in such processes. The attention concerns the cultural expression understood as a set of environmental and social features, that is, a set of characteristics associated with a specific place, urban or territorial, of human and social development. Today, the relationship between culture and health, obtains an important role. Indeed, a considerable interest growth in sector studies, which unequivocally demonstrate how the intelligent use of free time is associated to an extension of life expectancy and a reduction of some pathologies. The culture/cultural activity that is generally considered as an entertainment, assumes a precise value, proving to be an important tool for preventing cognitive decline, mitigating stress conditions and contributing to general well-being. The paper focuses on these topics and specifically on the implications and on relationships between the preservation of cultural heritage and the improvement of individual’s lives and the environment, describing a case study on an ongoing experimentation, in a municipality of the metropolitan city of Reggio Calabria. Keywords: Urban health


Cultural heritage
Strategies

1 Introduction_Culture, Health and Well-Being The current use of the terms healthy city and urban health highlight the growing interest in planning innovative policies aimed at protecting and improving health; the terms refer to a strategic orientation that integrates health protection and promotion actions into the design of the city, promoting conscious and sustainable urban regeneration processes [1]. The concept of health is based on its broad meaning, understood not only as the absence of medical pathologies, but also as regards psychological aspects, natural, environmental, climatic and living conditions, working life, economic,

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social and cultural of the individual. We aspire to a city that is aware of the importance of health as a public asset, therefore, the implementation of policies, design paths and processes are designed to protect and improve it1. The attention to the promotion and protection of health strengths the interest in territorial and social components promoting well-being: the environment in which we live, food, and work. The concept of well-being and health2 includes basic physical needs such as the quality of the places where we live, nutrition, physical condition and the absence of social problems, and individual needs to engage in society with the skills that everyone has. Therefore, well-being concerns individuals and the creation of a favorable environment that can support physical, mental, emotional, social, cultural, spiritual and economic needs, in order to reach ideal levels of human potential. Well-being, that is, as the “feeling good” outlined by the economist Amartya Sen understood as what the individual can do or can be, where the aim are the skills to assess the quality of life and individual and social well-being, redefining development in terms of quality of life [2]. Sen’s skills approach, summarized as the growing of people’s ability to lead the type of life they value, and which have reason to value gets a significant impact, and it represents the basis for continuous efforts to establish a new condition and new contexts for life based on well-being. A sort of paradigm of necessary and progressive systemic integration between different spheres of life [3]. An approach focused on psychological and inner, as well as physical health becomes a criterion for evaluating all public policies, from those that deal with the promotion of work on a human scale, to those that aim to social and physical and living spaces organizations that produce well-being. In recent years, the studies on health and well-being related to the urban characteristics and living conditions of cities [4–7] has shown growing attention to the implications that the cultural dimension has or can have in these processes. In particular, the attention paid here concerns the term culture, understood as a set of environmental and social traits, that is, a set of characteristics that are associated with a specific place of human and social development, in urban or territorial context. Today, the relationship between culture, understood in this way, and health plays an important role, which has a considerable growth in interest, including in sector studies [8] demonstrating unequivocally, how smart use of free time is associated with an extension of life expectancy and a reduction of some pathologies. Today, the culture/ cultural activity which is generally considered as entertainment, like a superfluous activity, takes on a specific value, proving to be an important tool able to preventing cognitive decline, mitigating stress conditions and contributing to general well-being. In addition to the overall picture relating to the implications of socio-cultural and environmental traits on well-being, meaning the role played by culture on individual well-being and society, is added something innovative, namely the importance of cultural participation for well-being psychological. 1

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Health in cities: a common good is a proposal for a parliamentary initiative at European level. Italian Health Policy Brief Anno VI, Speciale 2016. Health understood as “state of complete physical, psychological and social well-being and not simply absence of illness”, as defined in the Principles of the Constitution of the World Health Organization in 1946.

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This expands the reach of political strategies for health and well-being. In fact, if urban policies are focused on art and culture, they could promote emotional effects, such as commitment and social enrichment, whose could meaningfully impact on subjective well-being. This is related to the ability to create well-being by improving collective processes of attribution of meaning and promoting new forms of sociality [7]. In the dynamics that lead to the perception of a positive state of well-being, the possibility of having fertile social relationships and having experiences that lead towards the structuring of these opportunities, has a primary role. The most important stimulating factor for realize these opportunities is, precisely, the culture which, if properly used/exploited, is able to improve not only the conditions related to the individual’s perceived well-being, but also to create conditions and shared social behaviors that affect the cultural and social development of the population [9]. Understanding the role that active cultural participation can play as a prevention factor for different types of disorders (physical and psychological) in certain categories of population, means having clear ideas on how implement the concept of culture in urban and territorial policies, integrating it within the broader dimension of health promotion.

2 Culture and Development, the Salutogenic Perspective As emerged in 2010 in the world summit of local and regional leaders3, the culture is the fourth pillar of sustainable development. The world organization United Cities and Local Governments (UCLG) draws up and adopted by all cities and member governments the Culture: Fourth Pillar of Sustainable Development declaration, a final document for the implementation of Agenda 21 of Culture in 2004. This was the first document promoted by the UCLG Committee worldwide for establishing the principles and local government commitments for sustainable cultural development. It promotes the integration of the cultural dimension into development policies and recognizes that the three cornerstone model is no longer sufficient to describe the complexity of global societies4. In 2015, the United Nations General Assembly adopts Transforming Our World: the 2030 Agenda for Sustainable Development, the first agenda drafted for pursuing global sustainable development. Based on those objectives and on the objectives proposed by the Millennium Development Goals (MDGs) (the global agenda pursued from 2000 to 2015) the New Agenda 2030 includes 17 sustainable development objectives (SDG) and 169 specific objectives and, although none of the 17 SDG focuses exclusively on culture, it includes for the first time several explicit references to culturally based development aspects. The 2030 Agenda, in 11 Objective, explicitly mentions the cultural heritage for what concerns the need to make cities and human settlements “inclusive, safe, resilient 3 4

3° UCLG World Congress, Mexico City. This declaration expand the definition developed in the 1980s on the basis of three dimensions or cornerstones: economic growth, social inclusion and environmental balance, which no longer seem to reflect all the dimensions of our global societies and propose the addition of the cultural dimension to policies aimed at development.

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and sustainable”. In this perspective, the opportunities that heritage can provide in terms of creating new meeting spaces, community hubs, places of social integration and inclusion, which are at the basis of connected identity processes, are of particular interest for local development. Obviously, the document is not exhaustive for what concerns the issues that the topic deserves, but it is however a useful tool in progress, which provides a change in the consideration of the cultural foundations of communities as fundamental elements of sustainable development marks a changing in the consideration of the cultural bases of communities, as fundamental elements of sustainable development. Overall, culture, but more specifically cultural heritage, reconsidered here in its broadest sense of testimony of common and shared growth, is clearly seen as a vehicle for new civil growth practices and a vector of positive externalities through its effects. Furthermore, in this renewed attention, emerges the importance of active participation in cultural life and the development of individual and collective cultural freedoms, which are increasingly fundamental components of the human, social and civil development of cities and territories in a sustainable key. Thus, the culture sector is particularly fertile for the social enterprise as a promoter of active participation and inclusion, of cultural welfare5 which can incorporate the culture into the production processes of social, recreational and health services for well-being. The growing interest in political agendas of the cultural welfare topic has the aim of ensuring that cultural production processes become an integral part of social and welfare services to guarantee the person’s ever-growing forms of well-being. Thus, a trend change is emerging in the public and scientific debate that recognizes an important role for culture within welfare policies. But, if issues such as well-being, equity, sustainability have entered fully into political decision-making processes, as well as in common sense, it’s due to a long path of awareness gained at a political level as well as in public opinion [7]. Very interesting in this regard is a project promoted by Istat since 2010 in collaboration with Cnel6, to measure fair and sustainable well-being, that was born with the aim of assessing the progress of society from an economic, social and environmental point of view. Istat, according to representatives of the social partners and civil society, has developed a multidimensional approach to measure “fair and sustainable well-being” (BES) with the aim of integrating the informations provided by the indicators on economic activities with the fundamental dimensions of well-being, accompanied by measures relating to inequalities and sustainability. It is a strong example of structural inclusion of culture themes, including the landscape as a cultural asset on well-being, which Istat has launched as an excess of PIL (GDP-gross domestic product). For the first time in the world, Istat’s measures of fair and sustainable well-being not only include a synthetic indicator of cultural participation and an indicator of employment in the creative sectors, but they dedicate a whole domain to the landscape and cultural heritage. In 2016, the BES became part of the economic planning process, and in February of each year the monitoring of the indicators and the

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To speak of cultural welfare means to insert in an appropriate and effective way the processes of production and cultural dissemination within a welfare system and thus to make them an integral part of the social assistance and health services. Consiglio Nazionale dell’Economia e del Lavoro.

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results of the policy impact assessment are presented to Parliament7. The issue of the relationship between culture and development is therefore more relevant than ever with the continuous triggering of new dynamics, in which the social dimension of cultural heritage assumes a fundamental role of driver in all transformation processes oriented towards sustainability. In the salutogenic perspective [9], which investigates what makes us feel good, to encourage us to research and acquire it and not what makes us feel bad to help us avoid it, many of the assets considered positives for health and wellbeing have their origins in the cultural and artistic activities of individuals and communities. The problems that emerge from the relationship between urbanization and the increase in chronic diseases suggest to doctors, architects and urban planners to focus their attention on the concept of salutogenic orientation of urban environments, both residential and infrastructural. Through regulatory and structural interventions within the urban context, we intend not only to reduce or eliminate risk factors and protect health, but also to promote and encourage healthy lifestyles. The projects are aimed at creating pleasant environments, for walking or cycling, for physical activity, with an increase in green areas and with beneficial effects both on the environment and on the health of individuals. A “salutogenic approach” to the phenomenon of urbanization and chronic pathologies, through Healthy City Design, differs from the generic integrated health plans. It is an urban planning and design practice, involving architects, doctors, citizens and, consequently, public and private decision-makers and investors. The fundamental infrastructure and urban planning choices in current urban areas and in relation to their future development are assessed and selected based on their impact on health and the environment.

3 Landscape and Cultural Heritage as Generating Wellness It is known that the conservation of cultural heritage, not only concerns the conservation of material things, but also the protection and sharing of heritage for the improvement of people’s lives and the environment. This implies a more responsible vision of the heritage itself as a tool for positive change. This type of approach reflects a broader movement that promotes sustainability and well-being, and if applied to heritage, requires decision-making processes that respect what is significant for people and their communities. This paradigm shift underlines the need for people-oriented approaches in heritage conservation policies, which has often only been assessed in terms of economic profits (e.g. only from a tourism perspective), rather than factors external to the market, which can have a much more important impact on societies: 7

The BES Report is published annually by’Istat since 2013, bringing the’Italia in line with the Lisbon Memorandum on indicators for decision making and monitoring adopted in 2015 by the European National Statistical Institutes. Since 2006 in Italy, the inclusion of BES indicators among the instruments for programming and evaluation of national economic policy, as foreseen by the reform of the Budget Law in force from 2016. In close connection with SDGs, the 130 BES indicators refer to 12 wellness dimensions (Health, Education and Training, Work and Conciliation of Living Time, Economic Welfare, Social Relations, Politics and Institutions, Security, Subjective Welfare, Landscape and cultural heritage, Natural environment, Research and Innovation, Quality of services).

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such as social cohesion or well-being. The problems that the relationship between health and urban context and even more with contexts of value and heritage generate, require some answers that must consider the peculiarities and characteristics of the particular object under consideration (the natural and/or cultural heritage), in a theoretical framework, in which knowledge and tools must be borrowed from numerous disciplines. In addition, the need to enhance individual interventions is fundamental, with a view to sharing approaches and practices, borrowed not only from existing experiences, but also from comparison with the communities involved. 3.1

The San Gianni Della Rocca’s Path in Precacore, Health and Identity Path Found

The Municipality of Samo8, on March 2019 joined the “Healthy Cities” network. The proposal arrived from the LASTRE laboratory of the PAU Department of the Mediterranean University of Reggio Calabria, as part of the activities of convention with the municipality team, for the development of ideas for the functional requalification of the ancient village of Precacore, in implementation of the Program Agreement wanted by the Aspromonte National Park Authority9. The Healthy Cities network has been a non-profit association since 2011 and includes over 70 Italian cities. The objectives of the network concern the promotion of public health and the development of local health policies and prevention programs10. Samo is the first municipality in Calabria to seize the opportunity provided by the Healthy Cities network to promote health at the center of its policies. The experience11 we present comes from the desire to experiment and deepen the determinants of health in a particular landscape-cultural context, the ancient village of

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Samo is a municipality of the Metropolitan City of Reggio Calabria, which is 91 km away, has a population of about 800 inhabitants and is located on the south-eastern side of the Aspromonte. 9 http://www.precacoreideedifuturo.unirc.it/. The website contains all activities done. 10 https://www.retecittasane.it/. 11 The project was elaborated in the second RE_THINK PRECACORE design workshop. Samo city SANA_A model of sustainability_Laboratory in progress for the re-signing of spaces, aimed at graduate professionals, doctors, PhD students and students, which took place in Samo / Precacore from 18–22 November 2019. The workshop’s topics concern the actions to be taken undertake for the enhancement of the small centers of the Aspromonte Park and the Metropolitan City of Reggio Calabria, aimed at pursuing an authentic economic and social promotion respecting the naturalistic, historical-cultural and identity peculiarities. The project San Gianni della Rocca path was developed by a design team composed as follows: Elvira Stagno, Federica Citraro (Atelier coordinators) Christian Mendicino, Angela Brancatisano, Danilo Labate.

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Precacore12 where the problems are not attributable to the quality of the air, the environment or healthy food and mobility, as well as the possibility of combining Urban Health strategies with the abandonment of an identity place, in the perspective that it can become a particularly suggestive path of health, to help improve individual’s lifestyles and health. The creation of this path immersed in an extraordinary naturallandscape environment, pursues interesting purposes that represent a strong determinant for public health and well-being, since it can stimulate the level of physical activity and the number of social interactions of individuals, enhancing free-time quality [10]. The project also aims to highlight the centrality of sustainability and integrated sustainable development within the processes of enhancing the heritage, promoting the hidden potential it possesses. This value, often latent, is able to trigger virtuous paths that impact on: the citizen’s quality of life; the involvement and mobilization of local communities skills; the opportunities of the creative culture sector; the job opportunities and the managerial and organizational skills of the public and private subjects involved in the process. The integration of urban policies and enhancement processes is a strategic approach, since the promotion of well-being requires interventions able of involving and mobilizing different resources, seeking the integration of social policies with health policies, but also with environmental and urban policies, housing, training, employment and cultural, in a vision of health in which the conditions of citizen’s life and well-being are the result of an entire society action. The final aim of these initiatives is the will/ability to identify and design some ideas that can enhance the uniqueness of the ancient Borgo of Precacore, and for launch territorial networks, investments, intelligence and skills, which create new and lasting job opportunities. The launch of these processes starts a new phase for the future of the ancient Borgo of Precacore founded on networks of economic and social cohesion that starting from people, from their needs, from their desire to initiative, from work, from their social and family relationships; it develops and spreads the ability to be a community. 3.2

The Project

The project aims to promote the use of the ancient village of Precacore through the existing route that starting from the main square of Samos, passing through the Rocca fountain and arrives to the Chianu di Santa Maria in Precacore. The project, in addition to protecting and enhancing places, has the aim of creating a path of health with some spaces, designed to encourage correct and virtuous lifestyles, acts to improve good

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The village of Precacore is located on a top bordered on one side by the shore of the Santa Caterina valley and on the other by the La Verde river. The village has medieval origins, it was born when for defensive reasons, the city of Samos, of evident Greek-Magna origins (on whose location in the coastal and/or plain area there are no traces) was moved to sites more suitable for the particular historical moment. Destroyed several times by calamitous events (storms, fires and earthquakes) it changed its name first to Crepacuore and then to Precacore. The village was almost definitively destroyed by the 1908 earthquake (the one that destroyed Reggio Calabria and Messina) and following this calamitous event the town was rebuilt in its present place, resuming in 1911 its original name: Samo.

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health, and which allow to practice daily physical activity in a particularly suggestive environment. The primary objective is to stimulate citizens, in particular the most sedentary ones, to practice walking physical activity, as a useful tool for the prevention of numerous pathologies. In fact, it is proven that chronic degenerative diseases can be prevented by physical activity throughout life and by contrasting sedentary lifestyle. The importance of this design experimentation doesn’t concern just health and environmental aspect. Walking and visiting this place, is an integral part of the memory and identity of the territory, as well as promoting the meeting and exchange between people, promoting very important social connectivity in a place where there is a high percentage of elderly population; thus, it could contrast the depopulation of the places and the relative following deterioration (Figs. 1 and 2).

Fig. 1. Project concept articulation and type of routes

The path is a very interested relationship space, close to the residence places in a particularly suggestive and uncontaminated environment. Moreover, it is a historicaldevotional path to which the Samo’s inhabitants and the neighboring towns are very attached. The summarize of these naturalistic, historical-cultural and identity peculiarities, concentrated in a single place, represents qualities and qualities that can be enhanced not only through conservation processes but also through Healthy City Design processes and projects. Creative and/or cultural activities impact mental wellbeing, motivation to live and build environments conducive to mutual help by stimulating salutogenic behaviors. The elderly well-being and not only, could increase both for the socialization promoted and for the cognitive stimulation activated, but also for the belonging to a community and cultural identity found. In this context we find those

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Fig. 2. Project concept elevation and stages of the route

attractive visions [11] that positively influence people’s feelings, stimulating the practice of physical activities and relieving stress, the factors that promote active life. The project of San Gianni della Rocca Path is a health path composed by: a path facilitated by monorail; a path for blind or visually impaired individuals with horizontal and vertical signage; a dynamic cardio fitness path. Therefore, the path is an itinerary of physical activities, a health gym, for practice outdoor body workout or with adequate equipment. In the path there are 7 workstations (Precacore View, Portella view, Above the water, Preca-Cuore I, II, III, IV) each of which is equipped with seats, shaded areas, and suitable equipment for sport activities indicated by explanatory panels. Each explanatory panel, present in each location of the path, is designed to facilitate the use of the tool or suggest the right movements to perform for body workout through illustrations. To further facilitate the use of the path, has been developed a program of use, in collaboration with fitness experts and doctors, aimed at the two main types of users, namely those who use it for leisure and/or to stay active even in the presence of pathologies, and, who performs it in a more professional way as a preparation for competitive activity. Therefore, each panel is accompanied by some indications for use for all categories of users. Also, they indicate the distance in km and among the steps of the path, the times and the indicative partial and total calorie consumption. The same informations are availables in a smartphone app that users can download before the start of the path. The informations are both illustrative and useful as a psychological stimulus for users to pursue the path more and more strongly. Walking is certainly a basic physical

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activity, easy to perform and within everyone’s reach; brings many benefits to the body, improving the health of the cardiovascular system, helping to lose weight and relieving stress. Walking outdoor at high intensity, also produces up to 5 times more endorphins than rest (Figs. 3 and 4).

Fig. 3. The path inserted in the landscape context

Fig. 4. Exercise equipment and rest points

Let’s talk about the so-called “happiness hormones” that keep stress and depression away. The various stops allow you to face any need for physical activity in open air. The path is adapt for any user and it is also designed to be collocated in a particular and sensitive context from an environmental and landscape point of view, using

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interventions with low environmental impact and sustainable realized with the use of materials that, for their natural features are best suited to the naturalness of the place. This project with the above objectives (use and enhancement of the landscape, enhancement and health policies) is an indispensable requirement for the very existence of this place and its conservation and continuous evolution. The project, consistently with the objectives, pursues both the purpose of preservation and enhancing the heritage values of the landscape, and of supporting the construction of new visions and interpretations by local populations and more generally by all users. In this sense, promoting the access in order to guarantee its right to enjoyment and allow it to be continually re-memorized by users of this identity place, overcoming the standardized visions and descriptions that often imprison entire landscapes, can become an interesting and innovative design key.

References 1. Capolongo, S., Battistella, A., Buffoli, M., Oppio, A.: Healthy design for sustainable communities. In: Annali di igiene medicina preventiva e di comunità (2011) 2. Sen, A.: L’idea di giustizia, Mondadori (2010) 3. Talu, V.: Qualità della vita urbana e approccio delle capacità. Archivio di Studi Urbani e Regionali 107, 52–73 (2013) 4. Grossi, E. Sacco, P.L. Tavano Blessi, G. Cerutti, R.: A tale of two cities: cultural access and subjective well-being in Bolzano/Bozen and Siracusa. A Comparative Study. Mimeo, IUAV University, Venice (2010) 5. Michalos, A.C., Kahlke, P.M.: Impact of arts-related activities on the perceived quality of life. Soc. Ind. Res. 89, 193–258 (2008) 6. Sacco, P.L., Tavano Blessi, G.: The social viability of culture-led urban transformation processes: evidence from the Bicocca district, Milan. Urban Stud. 46, 1115–1135 (2009) 7. Grossi, E., Sacco, P.L.: Cultura e Benessere Soggettivo Individuale: un ruolo centrale. https://www.geragogia.net/editoriali/cultura-benessere.html 8. Cuypers, K., Krokstad, S., Holmen, T.L., Skjei Knudtsen, M., Bygren, L.O., Holmen, J.: Patterns of receptive and creative cultural activities and their association with perceived health, anxiety, depression and satisfaction with life among adults: the HUNT study Norway. J. Epidemiol. Commun. Health 66(8), 698–703 (2012) 9. Casalini, A.V., Blessi, G.T., Grossi, E., Ravagnan, A.(a cura di) Cultura e salute, vol. 59, pp. 59–69. Springer, Italia (2013) 10. Stiglitz, J.E., Sen, A.K., Fitoussi, J.-P.: La misura sbagliata delle nostre vite. Perché il PIL non basta più per valutare benessere e progresso sociale. Rizzoli Etas, Milano (2013) 11. Faggiolo, A.: Le città metropolitane per la salute, in Igiene e sanità pubblica. In: Agosto, L., Geddes, M. (eds.) Healthy City Design. Urbanistica e salute, Salute Internazionale, vol. LXIII, no. 4 (2007). http://www.saluteinternazionale.info/2011/09/healthy-city-designurbanistica-esalute/

Investigating Relationship Between Built Environment and Health International Best Practices Elvira Stagno(&) Mediterranean University, 89100 Reggio Calabria, RC, Italy [email protected]

Abstract. Since the beginning of the 21st Century, urban researches are shading light on how urban programs or interventions in urban areas can affect the health and well-being of individuals. Built environment influences indirectly the physical and mental health through three components: land use, transportation patterns and spatial features of urban settlement. Individuals living in urban areas with mixed land-use, public spaces for recreational activities and efficient public transportation patterns have higher level of health and well-being. Through a structured literature review, the objective of this study is to identify, describe and analyze urban regeneration best practices focused on the improvement of public health and well-being of individuals. According to the subjects emerged from the relevant literature and from a comparative analysis between different case studies in italian and international context, we could suggest some spatial interventions to mitigate the negative effects of the built environment on health and well-being of individuals, through interventions focused on a mixed land-use, on the improvement of sustainable mobility and cycle-pedestrian paths, on the enhancement of green and socialization spaces, on the sustainable design of housing. Keywords: Urban regeneration


Public health
Public policies

1 Fostering Health Through Urban Regeneration The World Health Organization [1] affirms that public health is affected by socioeconomic and spatial conditions in which people are born, grow, learn, work and age. Urban growth is expanding at a faster rate especially in dense urban areas, indeed, by the 2050 over 70% of the world population will be urban [2]. Land use, transportation patterns and spatial features of urban environment considered determinants of health influencing individual’s health and well-being. [3–5]. Also, the WHO affirms that the economic consequences of poor health in dense urban areas will be significant both at micro and macroeconomic level (e.g.; local healthcare cost; costs for households and firms; and negative impacts for national gross domestic product -GDP-), contributing to fuel socioeconomic health inequalities across and within worldwide countries.

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Recently, the relationship between health and planning seems to be relevant in urban studies [6, 7], indeed, a growing body of research in urban regeneration is investigating on how regeneration programs could directly influence the determinants of health for indirectly influence health and well-being. [8–11]. Neverthless, we can observe many difficulties related to the governance of the territory, due to the lack of an interdisciplinary and holistic approach among the public health sectors [12]. McKeown [13] affirms that an important step forward in curbing human diseases can be attributed to progresses of urbanism. At the moment, researchers are investigating how residential location affect health, at different scale, across and within nations, states, regions, and neighborhoods [14]. Nowadays, it seems that the focus of urban planning is shifting on the promotion of community initiatives that could improve the quality of urban contexts in European cities [15], starting from the assumption that urban design and landuse are determinants of public health and wellbeing [14]. Urban regeneration programs can affect community health through multiple mechanisms: enhancing accessibility to recreational spaces for increasing opportunities for the community to practice moderate and intense physical activities, providing economic support for low-income individuals to buy healthy food, improving the design features of the built environment to make it safer and cleaner, incentivize active modes of transportation to decrease car traffic and pollution. [8, 9]. Urbanization shapes the man-made environment through urban planning, especially at a very local level, where urban planning interventions are more likely to produce effective results. [16]. Therefore, the objective of this work is to explore the relevant literature focused on the relationship between urban planning, urban regeneration and health, identifying and describing principles and best practices aimed to improve health in urban areas, both in Italy and in Europe (Fig. 1).

Fig. 1. The health map. Barton and Grant (2006)

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2 Best Practices Focused on the Improvement of Public Health and Well-Being Urban planning practices aimed at health develop in Europe through urban partnerships and tools [6]. While in some European countries the integration between health issues and city planning has been achieved by introducing national health-related laws and regulations, other countries carried out experimental local initiatives involving private actors, public sectors and civil society in the development of urban development projects aiming to public health and wellbeing. In Italy, the topic of city and health is the driver of the Healthy Cities Network encompasses the “Città Sane Network”, a non-profit association since 2001including more than 70 Italian cities. The objectives of Città Sane Network are to foster public health awareness and the development of local health policies. The activities promoted within the Città Sane Network are developed and implemented in partnership with healthcare companies, public administrations, universities, schools, trade associations and the third sector, the productive and economic realities interested in the theme of health promotion. Therefore, through a holistic approach. This cross-sectorial network is conducive for bonding stakeholders in different sectors of the public administration that usually do not dialogue. Networking means promoting the transfer of design know-how through education, learning, innovation in health promotion and replicable and transferable best-practices. Some successful experiences of Città Sane Network are the following: • Udine: the project “Age-Friendly Cities” relies on a cognitive survey on the needs of elderly citizens within the population regarding the livability and accessibility of urban spaces in order to outline interventions to make the city more livable for the disadvantaged groups within the population; • Torino: projects for improving urban public spaces, sustainable mobility and social inclusion. Among these projects, we find “Piazza Risorgimento” as the first smart square in Italy and also the “biciplan project” for enhancing cycle paths; • Bologna developed a community-led city planning framework aiming to public health and relying on partnerships between the public sector, private sector and civil society. Among the project implemented in Bologna, we find the Sustainable Energy Action Plan, the Local Adaptation Plan, the Blue-App European project. These are urban planning tools that deal with urban quality for enhancing community health, moreover, it is important to highlight the Bologna Urban Innovation Plan where the role assigned to the neighborhood-based tool for local stakeholders to co-planning and co-managing public spaces (Fig. 2).

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Fig. 2. The biciplan project in Turin. The imagine shows as the continuous cycle paths from downtown to suburban areas increase cycle mobility for systematic travels (home - work, homeschool).

It seems that in Italy urban regeneration projects and programs increasingly include the theme of individual’s health and well-being. In Cosenza, urban regeneration interventions for health promotion are realised by the municipality and implemented through dedicated European economic funds. Among these, the “Wellness Park”, a big green park in the heart of the city, composed by equipped and safe areas illuminated, with cycle paths and spaces for leisure and sport. Also, the strengthening of the “Ciclopolitana” which includes about 30 km of cycle and pedestrian paths connecting the squares and the places of interest of the city (Fig. 3). In Rome, the Urban Health Rome Declaration program signed by the Ministry of Health and ANCI in 2017, defines the strategies to improve the health in cities through a holistic and multisectoral approach. The document highlights the commitment of administrations in promoting health for the study of the specific determinants of the urban context; also, it includes health education into school programs, with particular focus on the health risks in the urban context; encourage the sharing of good practices at the local level with the creation of cycle-pedestrian paths and green spaces for physical practice; to demand local administrations to tackle urban transport policies orientating towards environmental sustainability and a healthy life; to promote a partnership between municipalities, universities, healthcare companies, research centers

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Fig. 3. The wellness park project in Cosenza

and professionals for the study of urban health determinants; suggest the figure of the Health City Manager, ables to guide the process of improving urban health, in synergy with local and health administrations. For training this figure it has been created and advanced training course with a real academic curriculum. The first courses, financed by Municipalities through the governmental Fund for youth policies, will be aimed at under 35 and will be held in three of the 14 metropolitan cities. At the end of the course, after a final test, for the first 8 of each course there will be the possibility of a scholarship or job at a municipality.

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In European context, among the Healthy Cities best practice, we find north European cities such as Belfast (North Ireland), Bristol (UK), and moreover the Green health Project (Scotland). In Belfast, the planning for health and well-being is developed above all at local level. Indeed, The Planning ACT 2011, the main regulatory reference for planning in Northern Ireland, has given new responsibilities and greater powers to local administrations, including taking on the role of key decision makers in terms of city planning and development with the preparation of the Local Development Plan. In particular, The Strategic Planning Policy Statement (SPPS) for Northern Ireland, pursues sustainable development according to the principles of improvement of health and wellbeing preserving and enhancing the built and natural environment through good design and places suitable for the citizen, also with the use of HIA (Health Impact Assessment), an important tool to assess the health impacts of urban projects, programs and policies. The key principle is the improvement of health according to the determinants of health outlined by the WHO, the objectives are: to safeguard and facilitate the quality of open space for sport and recreational activities, to provide safe and protected age-friendly environments, to facilitate connections between communities through safe walking paths, integration between land use planning and transport, supporting the distribution of housing to meet housing needs, contributing to the balance of communities, encouraging the supply of jobs, services and economic growth, supporting government policies aimed at tackling obesity and the impacts of pollution on health and well-being. The involvement of the population in the planning processes takes place through the regulated permanent consultation in the Statement of Community Involvement and on the basis of Community Planning paths that apply to all the planning tools of the city. In Bristol as well as in Belfast, the policies for health are developed through local planning strategies with a particular focus on the participation of citizens in planning processes. Through the UK National Planning Policy Framework (NPPF) the improvement of health and wellbeing is promoted using local planning strategies able to meet the needs of the community. The national legislation transfers more responsibilities to the municipalities with the Localism Act and aims to encourage the direct participation of citizens in planning processes introducing the concept of district planning, or Neighborhood Development Plan with a focus on health and wellbeing through local policies intervening on urban design quality, green infrastructure, transport and accessibility, sustainable housing, and pollution. Furthermore, the Bristol City Council has entered into a protocol of collaboration with National Health Service for the inclusion of health principles in city planning tools, since prevention is as important as healthcare. The partnership aims to the following objectives: architectural quality of housing, public space livability, accessibility and density, green areas (Figs. 4 and 5).

Investigating Relationship Between Built Environment and Health

Fig. 4. Old market street project, based on neighborhood development plan

Fig. 5. Old market street project, based on neighborhood development Plan

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Also, in the UK, HIA plays a fundamental role for urban project aiming to health and wellbeing in the UK as it mandatory for significant urban transformation, and it is required for residential interventions of 100 or more units and for residential projects of 10,000 square meters. The community participation is regulated through the Statement of Community Involvement, which guarantees the minimum standard of community involvement in design choices, in particular at the neighborhood level is supported by a network called Neighborhood Planning Network, namely, a network of community volunteers who want to be involved in the city planning system for increasing the effectiveness of community groups to engage in the planning system for sharing skills, know-how and experiences. In Scotland, the James Hutton Institute (2014) outlines the findings from the which explores the relationship between urban green space and health using different investigation methods at different scales (individual, community and population). Findings show that urban green and open spaces contribute widely to public health and wellbeing by promoting physical activity and reducing health inequalities while also promoting mental and social health. In synthesis, the Green Health project has potential implications for those involved in green space management and planning, thus, policy makers, planners and green space managers should ensure that communities have access to a range of different kinds of green space, to allow all to use it to enhance their wellbeing.

3 Spatial Interventions to Mitigate the Negative Effects of the Built Environment on Health and Well-Being The analysis of the case studies shows that urban regeneration programs focused on health and well-being of people mainly develop from a national level to a local level through measures according to the context of application, through a multi-sector partnership and with the active involvement of local population. From the analysis of the relevant literature it emerges that the compositional factors of the built environment such as land use, the transports system and the distribution of public space are the main determinants on which urban regeneration for health should act for the following reasons: • Monofunctional land-use and the lack of public and recreational spaces are associated to lower levels of physical activities and social interactions compromising physical and mental health; • Transportation patterns lack is associated with an increase in the use of the car for daily journeys, with the consequent increase in environmental pollution and therefore cardiovascular and respiratory diseases, as well as a greater exposure of road accident individuals; • People living in mixed land-use areas, with suitable distribution of recreational spaces and accessibility to public transport seem to have higher health levels than individuals living in urban areas where these characteristics are absent;

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Thus, starting from these factors, this work, in conclusions, to focus on the description of each determinant for health and on the related spatial interventions to mitigate the negative effects of the built environment on health and well-being. 3.1

Mixed Land-Use and Health

Mixed land-use, which provides communities with a balanced and compatible mix of economic activities, residential, working and socialization spaces, is one of the fundamental elements of planning aimed at health and well-being. Housing density, mixed land-use and the urban design designed for pedestrians can reduce travels by car with a consequent increase in physical activity [17]. Also, individual’s safety perception is a crucial factor for social interactions as the fear of exploring places triggers psychological and physical stress by increasing sedentary lifestyle; therefore, safety can be associated with variety (mixed use), the number of economic activities and the number of sidewalks; indeed, the greater transit of people implicates higher level of social control (eyes-on-the-streets). Therefore, urban regeneration should increase mixed land use, in which residential, service and commercial activities coexist, especially in unused areas of the city, using the ground floor of buildings for public and commercial activities, as community management spaces, or for architectural porticos. These actions would increase the quantity and variety of services and users in the area and the consequent social control, discouraging crimes, with positive consequences for socialization among residents and greater safety in exercising physical activity. 3.2

Public Transport and Pedestrian Paths and Health

The role of public transport as a health facilitator is crucial, as a matter of fact Public transport is associated with higher levels of physical activity [18]. Also, free public transport for older individuals is associated with greater social interaction, health, wellbeing and reduced loneliness [19]. Built environment characterised by pedestrian walkways, sidewalks and other active transportation infrastructure, rather than only on car-focused transportation, have a crucial effect on people’s physical activity levels [20]. The presence of trees and other environmental characteristics [21] and the dimensions of the architectural features of the urban landscape [22] influence the levels of walkability. In particular, the crucial characteristics of a walkable neighborhood include land use mix, high residential density, small roadblocks, short distance from food and retail stores from home (about 263–440 m) [23]. Indeed, greater comfort to reach recreational spaces is an important factor for walking, as is the proximity of existing infrastructures along the way to reach them; also, the social interaction is another fundamental factor that stimulates people to walk, this refers to the opportunity for pedestrians to meet other people along the way. Thus, urban regeneration should implement measures that limit the use of the car, through connections above all with suburban areas, promoting car sharing, soft mobility and sustainable public transport initiatives. These actions would reduce the use of the car, and therefore environmental pollution and the exposure of people to fatal accidents, increasing social relationships along the journeys. Also, the cycle-pedestrian paths should branch from the downtown to the suburban areas, through continuous and

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safe paths, along which spaces of dynamic aggregation open stimulating social interaction and physical activity to achieve psycho-physical well-being. All these factors positively influence the psychological health of individuals. 3.3

Green Spaces and Health

Green areas and public spaces for socializing represent a strong determinant for public health and well-being. Indeed, they stimulate the levels of physical activity and the number of social interactions of individuals and increase the quality of free time spent outside. People living in urban areas with more green spaces show higher level of mental health and wellbeing compared to those living in urban areas with few green spaces [24]. Calogiuri and Chroni [25] argue that attractive visions of the natural environment positively influence people’s feelings, stimulating the practice of physical activities and alleviating stress, factors that promote active life. Urban regeneration should increase the presence of green and leisure areas by providing intelligent, quality and inclusive spaces. The open space should be shaded through natural elements and equipped with functional urban furnitures for all age groups for guaranteeing the restoration, diversion and the entertainment. 3.4

Housing and Health

Housing characteristics are crucial determinants for health and wellbeing. Capolongo et al., [26] highlight that people spend amount of time in home, thus housing quality and comfort is a crucial determinant for health. Poor urban planning and housing could trigger undesirable health effect such as anxiety, depression, attention deficit hyperactivity disorder, substance abuse, and aggressive behaviours [27, 28]. Furthermore, home light and brightness affect depression level [29–31]. Urban regeneration should guide the internal architectural projects and internal design for what concerns the spaces of living, the choice of materials and the quality of finish, for guarantee bright, comfortable and transparent spaces and also provides guidelines for external maintenance interventions.

References 1. World Health Organization: The determinants of health (2018). http://www.who.int/hia/ evidence/doh/en/ 2. World Health Organization: Urban health (2018b). http://www.who.int/topics/urban_health/ en/ 3. Marmot, M., Wilkinson, R.G.: Social Determinants of Health. Oxford University, Oxford (1999). ISBN: 9780198565895 4. Mackenbach, J.P.: Health inequalities: Europe in profile. In: An Independent, Expert Report Commissioned by the UK, Presidency of the EU (2006) 5. Bernard, P., Charafeddine, R., Frohlich, K.L., Daniel, M., Kestens, Y., Potvin, L.: Health inequalities and place: a theoretical conception of neighbourhood. Soc. Sci. Med. 65, 1839– 1852 (2007). https://doi.org/10.1016/j.socscimed.2007.05.037

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6. D’Onofrio, R., Trusiani, E.: Città, salute e benessere. Nuovi percorsi per l’urbanistica. Franco Angeli, Milano (2017). ISBN 8891755567, 9788891755568 7. Pineo, H., Glonti, K., Rutter, H., Zimmermann, N., Wilkinson, P., Davies, M.: Urban health indicator tools of the physical environment: a systematic review. J. Urban Health 95(5), 613– 646 (2018). https://doi.org/10.1007/s11524-018-0228-8 8. Diez Roux, A.V.D.: Residential environments and cardiovascular risk. J. Urban Health 80(4), 569–589 (2003). https://doi.org/10.1093/jurban/jtg065 9. Diez Roux, A.V.D.: Neighbourhoods and health: Where are we and where do we go from here? Revi. Epidemiol. Sante Publique 55(1), 13–21 (2007). https://doi.org/10.1016/j.respe. 2006.12.003 10. Kramer, D., Lakerveld, J., Stronks, K., Kunst, A.E.: Uncovering how urban regeneration programs may stimulate leisure-time walking among adults in deprived areas: a realist review. Int. J. Health Serv. 42(4), 703–724 (2017). https://doi.org/10.1177/ 0020731417722087 11. Krefis, A.C., Augustin, M., Schlünzen, K.H., Obernbrügge, J., Augusting, J.: How does the urban environment affect health and well-being? a systematic review. Urban Sci. 2(1), 21 (2018) 12. Burton, H., Tsourou, C.: Healthy Urban Planning. Taylor and Francis, London (2000). ISBN 0-415-24326-2 13. McKeown, T.: The Origin of Human Disease. Wiley, Hoboken (1991). ISBN 0631179380 14. Duncan, D.T., Kawachi, I.: Neighborhood and Health. Oxford University Press, New York (2018). ISBN 9780190843502 15. Capolongo, S., Buffoli, M., Oppio, A., Petronio, M.: Sustainability and hygiene of building: future perspectives. Epidemiol. Prev. 38(6), 46–50 (2014) 16. Grant, M., Braubach, M.: Evidence review on the spatial determinants of health in urban settings. In: Annex 2 in Urban Planning, Environment and Health: From Evidence to Policy Action. Meeting Report, pp. 22–97. WHO Regional Office for Europe, Copenhagen (2010). http://www.euro.who.int/__data/assets/pdf_file/0004/114448/E93987.pdf 17. Cervero, R., Kockelman, K.: Travel demand and 3Ds: density, diversity, and design. Transp. Res. Part D 2(3), 199–219 (1997). https://doi.org/10.1016/S1361-9209(97)00009-6 18. Villanueva, K., Giles-Corti, B., McCormack, G.: Achieving 10,000 steps: a comparison of public transport users and drivers in a university setting. Am. J. Prev. Med. 47(3), 338–341 (2008). https://www.ncbi.nlm.nih.gov/pubmed/18436296 19. Green, J., Jones, A., Roberts, H.: More than A to B: the role of free bus travel for the mobility and wellbeing of older citizens in London. Ageing Soc. 34, 472–494 (2014). https:// doi.org/10.1017/S0144686X12001110 20. Perdue, W.C., Stone, L.A., Gostin, L.O.: The built environment and its relationship to the public’s health: the legal framework. Am. J. Public Health 93(9), 1390–1394 (2003) 21. Larsen, K., Gilliland, J., Hess, P., Tucker, P., Irwin, J., He, M.: The influence of the physical environment and sociodemographic characteristics on children’s mode of travel to and from school. Am. J. Public Health 99(3), 520–526 (2009). https://doi.org/10.2105/AJPH.2008. 135319 22. Ewing, R., Handy, S., Brownson, R.C., Clemente, O., Winston, E.: Identifying and measuring urban design qualities related to walkability. J. Phys. Act. Health 3(1), 223–240 (2006) 23. Moudon, A.V., Lee, C., Cheadle, A.D., Garvin, C., Johnson, D., Schmid, T.L., Wethers, R. D., Lin, L.: Operational definitions of walkable neighbourhood: theoretical and empirical insights. J. Phys. Act. Health 3(S1), 21–37 (2006). https://doi.org/10.1123/jpah.3.s1.s99, https://www.ncbi.nlm.nih.gov/pubmed/28834523

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24. White, M.P., Alcock, I., Wheeler, B.W., Depledge, M.H.: Would you be happier living in a greener urban area? A fixed-effects analysis of panel data. Psychol. Sci. 24, 920–928 (2013). https://doi.org/10.1177/0956797612464659 25. Calogiuri, G., Chroni, S.: The impact of the natural environment on the promotion of active living: an integrative systematic review. BMC Public Health 14, 873 (2014). https://doi.org/ 10.1186/1471-2458-14-873 26. Capolongo, S., Buffoli, M., Oppio, A., Rizzitiello, S.: Measuring hygiene and health performance of buildings: a multidimensional approach. Ann. Ig. 25(2), 151–157 (2013). https://doi.org/10.7416/ai.2013.1917 27. Raffestine, C., Lawrence, R.: An ecological perspective on housing, health and wellbeing. J. Sociol. Soc. Welf. 17, 143–160 (1990) 28. Fullilove, M.T., Fullilove, R.E.: What’s housing got to do with it? Am. J. Public Health 90, 183–184 (2000). https://doi.org/10.2105/ajph.90.2.183 29. Rosenthal, N.E., Sack, D.A., Gillin, J.C., et al.: Seasonal affective disorder. Arch. Gen. Psychiatry 41, 72–80 (1984). https://doi.org/10.1001/archpsyc.1984.01790120076010 30. Beauchemin, K.M., Hays, P.: Sunny hospital rooms expedite recovery from severe and refractory depressions. J. Affect. Disord. 40, 49–51 (1996). https://doi.org/10.1016/01650327(96)00040-7 31. Kuller, R., Lindsten, C.: Health and behavior of children in classrooms with and without windows. J. Environ. Psychol. 12, 305–317 (1992). https://doi.org/10.1016/S0272-4944(05) 80079-9

Tirana Adaptive City. “Creativity and Spontaneity” in Active-Streets and Living Super-Blocks Fabio Naselli(&)

and Eva Jazaj

Epoka University, 1039 Tirana, Albania {fnaselli,ejazaj}@epoka.edu.al

Abstract. The street, in itself, is nothing more than a technical infrastructure, but it takes further meanings and values mainly when it becomes “urban” and it becomes related to all the usual daily living activities and the open spaces directly connected with and through it. It acts as an element (or strip) of connection between the buildings’ inside activities and the outside ones and, in the meantime, it defines those blocks and super-blocks inside which the real life is living. This study aims to highlight the social and economic role that this urban material can have as a linker and carrier of those urban rights that inhabitants must benefit from; together with its mixed roles in defining those subsettlements within the city called blocks or – such as in the case – super-blocks as source of inspirations and spring of spontaneous creative innovations. The selected case study is Tirana, Capital City of Albania, in a comparison with those super-blocks as defined in Barcelona Municipality latest development strategy. From the point of view of urban planning and design, the general larger goal is to try in drafting an update to the current Tirana city’ development strategies by adding the concept of a bottom-up urban regeneration into the inner-part of those “adapted” super-blocks and the consequent eligible tactics as tools for a set of micro actions. Keywords: Urban development strategies
Urban tactics
The right to the street
Co-regeneration
Cultural heritages protection
Super-blocks concept

1 Introduction to the Research Subject In this medium city of Tirana (around 800,000 inhabitants in 2018) there is a special pocket of research still being undisturbed in its refuges located within the urban areas just behind the first strip of buildings along the main roads. Taking care of this “massive” part of the city could represent several benefits in favor of a better quality of life inside the urban contexts. Alternative and complementary infrastructures, garrisoned living places, enhanced social interactions, networked microeconomic activities, safeguarded urban environments and landscapes, protected cultural features and so on, might be some of the bases in facing those direct benefits. Those are some of the specific local values, we may play with, to save and, at the same time, to regenerate what we are considering, for many ways, a scattered historical center of the city. A spontaneous and informal historical area birth and grown by the normal living © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 297–308, 2021. https://doi.org/10.1007/978-3-030-48279-4_28

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adaptations during the years of city’ foundation and evolution and yet deeply transformed just after the fall of the Socialist Era shaping the current Tirana capital City. The starting point for an innovative point of view on the city is based on the latest Tirana urban development strategies, useful and sharable, but mainly addressed to reinforce, more often to rebuild, the first line of buildings located along those main axes, rings, boulevards and open spaces, which shape at the current footprint of the “formal city”. Following-up in this unique strategy, Tirana risks in becoming a “Facade City”, international comparison oriented, but without sufficient care on the most of its informal growth urban fabrics - that cover around the 70% of the whole city’s surface and forgetting, or giving minor importance, on what happens behind the screens raised as fences from the “representative city” toward the living one. To approach in rethinking such a large dimension of the whole city, even if splits into separated minor areas, marked by the main roads and rings, it is needed to update the overall city’ strategies, composed by the current thirteen ones set by the TR030 General Local Plan in force since 2018, by adding a complementary developing strategy, focused and addressed onto the inner areas within the super-blocks structure. A re-though strategy which has to dictate the ways and the actions to protect and to regenerate that hugest part of the city and to correct the wrong implementing forecasts by avoiding current spread previsions of “fabrics substitution” into the old and more recent fabrics existing in the inner part of the cited super-blocks. The discussion carried out in this work will be focused, thus, into this special “inner urban spaces”; places within which we can find the most of daily (living) activities, that legacy of both the “past culture and identity” and the witness of its growing phases, in all the stages occurred since the most ancient ages. Because it appears enclosed and surrounded by the high walls of the contemporary formal development, a coregeneration implementation of those “spontaneous adaptive logos”, in their actual organic configuration, can contribute in highlighting the topic and in saving the fabrics from in-deep transformations or disruptions in favor - on the contrary - of a better living streets net and an inner social urban spaces system. To protect and to enhance, thus, that real soul of that real life, to save the legacy of a unique scattered historical heritage and to improve the daily “urban rights to the street”. In summarizing, while the official plans, programs and projects are going along the safe and known way in following the axis network in shaping the next representative city; the study wants to propose to face with the uncertainness, the spontaneities, maybe with the “chaos”, of the informal but core areas. Considering, besides, that most of the available efforts and funds are addressed in these “formal” mega-works to shape the “global competitiveness” of the Capital City. To approach the subject, in this text, we will follow up a classical framework by starting to tell about the switch from organic and rural city of Tirana to how it has been shaped in axes, squares and rings: the current spider web in its urban footprint. Afterwards, we will give some concerns about the urban streets’ functions, the rights to the street and the notion of super-block within Tirana; exploring its informal values and features together with its lacks and needs. A brief about Barcelona super-blocks characteristics, about the on-going strategic program, and about its tactical and planned actions, will allow in making a comparison with the Tirana super-blocks, highlighting its peculiarities and differences to define those more appropriate actions to implement

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the current adopted strategies (Carta 2000). In the conclusions we would like to draft some reflections and suggestions on how to implement and to manage the strategic process, as well as to stress that topic by expressing why it may become paradigmatic, as an approach, in facing the general subject of urban regeneration in informal areas in a diverse perspective.

2 Development of Tirana During the History We may assume Tirana is nowadays structured in two main overlapped layers: the formal and representative one, from one hand; and the informal and adaptive one, from other hand. The first originated since the ottoman age by a number of official plans, facility implementations and urban designs; the second born from the spontaneity of several micro-adaptations to the needs and desires of the real daily life during the time from the fall of the Socialist Regime to the current “new deal” in restoring a common order (from 2001) (Aliaj and Lulo 2003). The adopted Local General Plan (in force since 2018), which is named TR030, together with other urban programs and designs, aspire to provide a holistic vision of those settlements combination that merges together with the City all the 11 administrative sub-units giving it the shape of a Metropolitan Capital City: The Great Tirana, which collect a total amount of 1.200.000 inhabitants about. Since its foundation to nowadays, the actual City has been set on a radial footprint made of rings and axis. Tirana’s development as city began in the XVII Century with the establishment of the mosque and other urban facilities by Suleiman Pasha Bargjini. From the beginner rural shape, during the Ottoman domination the city assumed the informal structure typical of many medieval cities, organic and built according with the real needs in a not planned step-by-step growing process. In 1920, Tirana becomes the new Capital City of the independent Albania (the formal independence from Ottomans has had established in 1912). Official designation as Capital City forces toward an “improvement” in the urban structure. The “European Model” was the one chosen to carry on this new phase of transition led up by the King Zogu I in the years among 1923 and 1939. Mainly pursued by Italian professionals (Brasini, Bosio, Di Fausto and others) the re-shaping of the whole city-form was not easy, and it was grounded on the most contemporary European trends (Bulleri 2018).

Fig. 1. First axis designed for Tirana in 1926 (source: A. Brasini, private collection)

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These tendencies were drafted through an “imposed” urban planning rigid intervention (Brasini, 1923–1929) based on two of the most “modern” architectural elements, rediscovered during the neo-classical age in Europe: the Urban Axis and the Symmetry in both Architectural and Urban composition (Fig. 1). Through this first Plan Tirana started in setting its new urban shape maintained fixed and stable for the coming future until nowadays. Axes, rings and squares become the elements to configure the future city footprint in a rigid but safe cobweb, still clearly readable from any “modern” city’ maps. In fact, the subsequent regulatory plan, drafted in 1957, recommended to enlarge the city to the north-east in this producing the further extension and fixing the development through new axes in form of radial roads network, as started from the Brasini plan (Bulleri 2018). With the fall out of the Socialist Regime, Albania fault into an inter-realm age, fifteen years long (1991–2005) during which the deregulation took the guide of any urban transformation, following a self-made housing and re-adapting the existing build’s heritage according with the new reached freedom and the new derived needs and wishes. The result was a diffuse and large implementation of informal micro-small-scale interventions, mainly spread out in the inner part of those super-blocks marked by the axis cobweb; behind and beyond the street’s buildings regular alignment. As results, the development of a rich and organic urban fabric engaged most of the entire city’s body, setting and fixing a second creative and living informal layer of Tirana. What is very crucial to highlight is something that made Tirana very different by other cities, giving it those unique characteristics of singularity and peculiarity, which make its adaptations extra-ordinaries. A new added value to the city’s features (Zeka and Mali 2018). A very newsworthy phase in the Albanian Capital City’ urban development in which, by a kind of unaware (and spontaneous) bottom-up approach, Tirana starts in a pervasive broad social co-action of “creative adaptations” of places, spaces, built volumes, uses and functions. Ground floors become shops and workshops, open areas

Fig. 2. Informal buildings have occupied the free areas and the ex-courtyards inside the socialist blocks (top and down left) and inside a current super-block (down right) (source: Authors 2020)

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Fig. 3. Examples of informal adaptations at the building level inside the super-blocks’ areas. On the left: before and after (source: Hasini 2018); on the right: acrobatic adaptations (source: Authors 2019)

become building places, common pocket-spaces or informal parking areas (there were no cars during the regime), roofs become houses (or new layers of activities), and so on; in a fully free re-interpretation of any personal or collective desire (Fig. 2 and 3).

3 Theoretical Background As Jane Jacobs said in her book The death and life of great American cities, “… if a street looks dull the city itself looks dull and if a street looks interesting the city looks interesting” (Jacobs 1961). Street and squares have become among the more vital elements of cities development. A complex physical and conceptual system of connections needed for both to establish relationships among places and functions and to define roles and hierarchies in the city’ form and footprint. Of course, the idea of the street was not born as a space for vehicles and parking areas – as it is nowadays - but rather as one of the most important materials of city’s physic, economic and social life. While the street, in itself, could be considered (as it is from many technicians) nothing more than technical infrastructure, within the city it enlarge its meanings and values when it becomes “urban” and it becomes related to all the usual daily living activities and the open spaces system directly connected with and through it. As Active Street, it acts as an element of connection between the buildings’ inside activities and the outside ones, the living activities and the functional ones and, in the meantime, it defines those blocks and super-blocks inside which the real life takes place. The street in itself, indeed, does not have any function if it is not connected with the buildings and urban fabrics that border it. And beyond it, to the living activities placed within those urban fabrics. One of the main points to take in consideration about the streets is exactly that connective role among spaces and human activities. In this it is

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crucial to highlight the social and economic role that this urban material can have as a linker and carrier of those urban rights that inhabitants must benefit from (Jacobs 1961); together with its mixed roles in defining those sub-settlements within the city called blocks and super-blocks as a source of living inspirations and, within Tirana, spring of spontaneous creative innovations as mirror of gained wishes. They often represent in Tirana, so as into other Albanian cities, the minimum cores of its real historical, informal and contemporary urban life (Figure 4a–b).

Fig. 4. a-b. Streets within the city center of Tirana (source: Google street view, left and center; Authors, right 2019)

The trust of a city street is formed over time from many common connections among its shapes, uses and users. The lack of trust is a disaster to city streets and city life. An active city street accomplishes a wonder of harmony between its users’ determination to have fundamental services and their concurrent wishes for varying degrees of interactions, feelings of happiness, supports or aids from the closest neighbours. This equation is comprised of micro-little, delicately overseen, subtleties, rehearsed and mutual acknowledged so spontaneously that they circular segment regularly underestimated. City informal governance, which depends on not-formalised micro contacts among neighbours, usually works well socially on the chance that somewhat, for self-chose up individuals, it acts as a perfect bottom-up approach. Even if informal, it takes care of simple issues for simple dwellers in searching for spontaneous suitable solutions. The social structure of walkways life hangs highly on what be called self-delegated open characters. An open character is any individual who is in continuous contact with a wide range of local individuals and who is adequately intrigued to make himself as an open character. An open character needs to have no uncommon gifts or shrewdness to satisfy his capacity; he is a witness of the local real social life that take place in a specific neighbourhood and he is aimed to merge people together to face problems and wishes. Proficiency of open characters decreases radically if an excessive amount of weight is put upon them, such as it decreases if stressed from an overloaded of formalizations. It is valid for both individuals (so as per the character we said) and small groups of individuals, so as neighbourhoods in the small local dimension.

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The street, then, is a crucial element of city’ functions and functioning also in terms of social and economic aspects. Its connective character tends to make people more social with each other and integrate them into the life of the street. In economic aspect also plays an important role since the street is the physical space where all the economical life happens. All the shops, markets, professional services and other activities are located along a street (Gehl 2010). The present streets should be re-imagined, then, as public and common open spaces; as livable spots; as network spaces; as an expansion of lodgings’ area; as a space for diversions, for greenery, for history and identities, as the place to assert the nearby life within the neighbourhoods. It means to regenerate the neighbourhood through spontaneous but leaded co-approaches for gathering people, in lighting customary squares under a new light and, additionally, cultivating association and social interactions not to lose the bottom-based spread spontaneous creativity in informal problem-solving. We must fill the city’s lanes with real-life once more. As we said above, another crucial role of the urban street is to define the city blocks. As a structural part of the city form and, also, as connection tissue. In our discussion, the city block is set as the elementary element of urban and planning designing. It is the smallest area surrounded by streets and it shapes the basic unit of an urban fabric. Preindustrial cities in the Middle East, Europe and Asia have generally irregularly shaped urban blocks and street patterns. On the other hand, cities of America tend to have a well-structured grid and more regular arrangements, such as it happened in most of the modern and contemporary cities since the late 800. Going back to Albania, in general, and to Tirana, especially, due to its history after the fall of Socialist era, in the late 900, as we have drafted above, it started a singular process of self-construction freely adapting and transforming the most of its urban fabrics and existing buildings. This informal process does not have followed a certain way of planning and designing the blocks neither the buildings. Most of the adaptations works have done informally, without a plan or permission, and the streets are defined on as extemporaneous results of the subsequent additions of elements and houses within the existing fabrics, inside the super-blocks articulation of the city (Fig. 5).

Fig. 5. Tirana’s super-blocks configuration: a zoom within the inner part of some city superblock (source: Authors 2020)

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Indeed, the sudden achieved personal freedom (in a broader sense) together with the lack of a strong and recognized political guidance - has allowed the inhabitants in opening a new very complex and, in certain ways, messy and spontaneous stage (Pashako 2016). During those years entire Albania (in both its cities and rural and peripheral areas) has transformed mainly informally, free from rules and plans but with a clear and simple shared vision for its own future: simply growing, by adapting any buildings and settlements to the new individual needs and the new social wishes! The super-block concept was very popular during the late 20th century due to the fast urbanization process. It can be defined as an area of urban space surrounded by the main streets and linked internally by arterial roads and narrow streets, often ended streets. In the historical context, super-blocks are composed of organic fabrics or of grid-planned ones, and inside which are contained a number of small shops and businesses, residential buildings and family houses, public facilities and public open spaces connected by medium-narrow streets and linked with other super-blocks through main paths. All the uses strictly linked with ordinary living. In Barcelona, this concept has been recovered a few years ago (2016) in terms of remerging of the rigid modern block coming from Cerda Plan. The new vision in the reshaping the city was to merge nine city blocks and reduce the internal range of streets as secondary paths and a link among new and existing open spaces addressed to the living city. Mainly pedestrian, for those which prosecute as vehicular road, the speed limit is slowed to 10–20 km\h, allowing the main circulation with through travel only on the perimeter roads. The same concept has been applied, following, also to the organic fabrics in the new expansion areas. In Tirana, the genesis of super-blocks has been very different, they have come from a long and troublesome process, over its history, and they were transformed and adapted in recent times until the contemporary “reorder” purpose. As concept of urban planning, it is ongoing to be recovered as a tool to read the city complex structure and to act with. Even if it is not yet structured into the development strategies set for the next Tirana, it has become a subject into the cultural debate above the city. From one hand, there is the need for the cultural and social heritage safeguard and enhancement; from the other hand, one of the main problems that Albania is facing in this hard progress towards the “modernization” and the restoring of some rules, throughout the last years, is the property. It is not defined yet what is public and what is private, the deletion of private property during Socialism has left a huge problem still not solved. So as determined from these and other phenomena the internal conditions of the super-blocks are very chaotic and disordered, with a lack of street patterns and sometimes insufficient space to organize main public or common activities. Tirana growing process has been very complex and, certainly, messy and spontaneous. It has evolved mainly informally, right after the fall of the socialist regime up to less than two decades ago, overlapping layers over layers in a process that became partially formal, and strongly guided, only nowadays. From just nineteen years, in fact, the whole city is experiencing a real physical, social and cultural transformation, which may see it today as the vanguard of an interesting and - in many ways - a paradigmatic process of deep (sometimes drastic) urban changes, several challenges and new chances.

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4 Theming Super-Block Conceptual Approach in Barcelona and Tirana Barcelona is one of the most elevated thicknesses society and one of the most vibrant urban communities in Europe and the city has developed ceaselessly in the last halfcentury, as did most other European urban areas. Given the region’s morphological configuration, it was unfit to develop outwards and its development has switched to be progressively dense, turning into a compact city with minimized free space. One of the most recent and interesting projects aimed to give a suitable answer to this matter is the case of Barcelona’ super-blocks strategy, where the super-blocks are going to be readapted in such a way to minimize traffic inside that area and to improve the inner human scale in terms of open spaces, greenery and not-vehicular paths. To achieve this, they are working on the existing grid plan by changing the traffic rules and closing several inner arteries decreasing their importance in the city circulation scale. Mayor Colau’s arrangement is undeniably increasingly far-reaching, with a vision for somewhere in the range of 500 super-blocks, which would cover essentially all of squared Barcelona. This won’t be simple contention has hounded the Poblenou venture, with certain inhabitants dissenting the traffic limitations and with just a couple of new superblocks have opened since 2016. Three years back, Barcelona declared it would change pieces of its road lattice to highlight individuals over the autos. At that point, city managers considered superblocks as the cause of fragmentation in pedestrian circulation due to the enormous bundles that disturbed the passerby system and dishearten strolling. Barcelona’s superblocks are indeed very innovative. They are just breaking point engine vehicle development and diffusion, which makes strolling and biking simpler and opens lanes for individuals to meet. In Barcelona’s super-blocks, neighbourhood access for engine vehicles is still allowed, with strong limitations, yet through a strong traffic jam isn’t. The new lanes are intended to make drivers feel like they are guests, with tight privileges of-path for vehicles. Practically all vehicle traffic is neighbourhood inhabitants or individuals with some special issues. Without risky vehicle traffic invading the boulevards, creating commotion and pollution, super-blocks are loaded with street life. Kids can play and discover. Seniors and individuals with restricted versatility can unwind and mingle. Individuals - including youthful children - can have a sense of security and safe riding bicycles. As said, Barcelona has not implemented many superblocks yet. Indeed, until recently Poblenou was the only one. A second super-block officially opened in Sant Antoni has focused on a project tied to the redesign of a public market. More superblocks are on the way, with roughly a dozen others in the pipeline. A Super-block encourages more residents to safely use the streets, by giving back that right to the streets claimed from Jacobs. There are numerous ways of implementing the super-blocks circulation strategy. The idea is just that neighbourhood boulevards inside are not through the squares or, on the off chance that they will be, they are so blustery to discourage traffic flows from utilizing them. Traffic is commonly very soft, notwithstanding amid surge hour. One significant, progressively present-day idea to apply in super-blocks is specific

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porousness. Once inside, neighbourhood lanes don’t interface with the outer main arterials, associate them with bike paths and trails. This urges individuals to walk and to bike rather than drive. Barcelona super-blocks is turning into another idea of urban demand, made up of an incorporated system of connections that features the present neighbourhoods, avenues, structures and facilities. An innovative idea that advances the recovering of open space and a suitable liveability framework to merge all these values. Dwellers’ lives are additionally changing, through better open access and the advancement of nearby social relations and rediscovered interrelations. The overarching criteria utilized here underscore what is now in presence: open spaces as a regular resource; shielded neighbourhoods from through traffic; diminished congestion and mishaps; reinforced people on foot-rights and social cohesion. What is very crucial, by switching to Tirana super-blocks concept and to try a comparison, is to stress what happened right after the fall of the socialist regime up to a bit less than two decades ago (1992–2001). It is something that makes the Tirana development process very different by other cities, giving it those additional the characteristics of singularity and peculiarity that make its present features unique in comparison with most of the former socialist cities. Indeed, the sudden achieved personal freedom (in a broader sense) after fifty years of a very rigid regime, together with the contextual lack of a strong and recognized political guidance - has allowed the inhabitants in opening a new very complex and, in certain ways, a messy and spontaneous phase (Pashako 2016). During those 10/15 years entire Albania (in both its cities and rural and peripheral settlements) has transformed mainly informally, free from rules and plans, but with a clear and simple shared vision for its own future: simply growing, by adapting any settlements or building to the new individual needs and the new social wishes! A sort of social spontaneous revolution toward a free will that has contaminated the urban fabrics within all the human settlements and in the countryside areas. A very newsworthy phase in the Albanian cities’ urban development in which, by a kind of unaware (and spontaneous) bottom-up approach, the cities all-over in Albania have switched in a pervasive sequel of “creative adaptations” of places, spaces, built volumes, uses and functions. The houses become shops and workshops, open areas become commonplaces or parking areas, roofs become houses or new levels of business, and so on; in a fully free interpretation of any personal or collective wish. Into the case of Tirana, the spot of the main concentration of those transformative actions, being it the Capital City, the results of this not-led activity has been the overlapping of two layers, two diverse footprints cross over the same city. From one hand, the formal city, shaped during the King Zogu I, the Italians and the Socialist Regimes, which have made-up the radial straight streets web defining the actual superblock configuration. From another hand, the informal city (or informal sub-cities), within those super-blocks and in the edges of the city, which have deeply adapted the inner urban fabrics through mini, micro, hidden or invisible, transformations in accordance with the growing new aspirations. This pervasive set of unlinked actions have shaped a renewed set of places more suitable with a society opened to the new, even if informally. A bottom-up self-management, full of creativity dictated by the opening to new individual opportunity in expanding the ranges of choice. A chaotic self-made planning process but based on strong shared social habits and uses, the legacy of strong traditions and common rules. These are the why because even if the

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inner part is full of informal buildings without any separation or division, with no clear paths and streets, with a set of acrobatic adaptations that sometimes challenge the rules of physic; the active streets and the living places are fully adept in guarantee perfect equilibrium of living in the human scale. In these chaotic Tirana super-blocks, there is no clear arrangement of public and private spaces. The roads sometimes are narrow and not able to take vehicular road functions and some other times are wide and meaningless, apart from parking uses, in a sort of labyrinth but into which the locals are very able to move, to circulate and to carry out their daily activities. Furthermore, the protection of natural soil is based on the recurrent, once again spontaneous, family house typology based on the traditional (maybe imported or saved from the original rural one) house with garden, which saved the porous soil and the number of green surfaces. A recurrent typology also coming from the huge amount of residual Ottoman fabric luckily present as a heritage from the past. Difficulty in having clear car-ways avoids the issue of traffic inside and makes the inner areas free from usual noises, congestions and pollution. The social interactions and cohesion are guaranteed from the already existing (and saved) common sense of belonging to a community; strong traditions, culture and socialist habits are the common basis for these amply shared customs. By trying for a comparison between the two study cases, it is very easy to understand that, from very far and different ways, some of the results achieved through a planning action (in the Barcelona case) or through a spontaneous/informal set of actions (in the case of Tirana) could be considered similar in terms of answering. The placement of the buildings along the edges of both super-blocks is planned in a straightway. Almost no streets inside the super-blocks are easily reachable by vehicles and circulation paths are fragmented and not linear, more used to pedestrian or bike. In some ways, the amount of free soil to address to greenery are safeguarded from waterproofing or paving, so maintaining not altered the current levels of urban metabolism. In addition, the social needs for cohesion and integration are maintained thanks to good habits and, finally, the role as Active Street inside the super-blocks ways in led by the explosion of many individual wishes. The organic, informal, spontaneous logics followed up inside the super-blocks have to win in stressing the values of citizens identity but also as life generator for this diverse and pluralist City (Zeka and Mali 2018).

5 Conclusions and Recommendations The major aims of the research are related to highlight the cultural (historical), social and economic importance that this urban place has; to discover the values to enhance in place to preserve the specific identity; and to rise the urban rights to the living street that inhabitants must benefit from. Thus the focus is on this special “urban space”, in which we can find the legacy of the “past” of Tirana, the social habits in sharing and the witness of its complex growing phases in all the stages occurred since the ancient ages, which we have named creative adaptations. Such as it appears closed and surrounded by the high walls of the contemporary formal development, co-regeneration and co-management of those “adaptations” in the actual informal configuration can contribute in saving the fabric from deep transformations or disruptions for better living streets and vibrant urban

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spaces, based on existing the real life. Many proposals and designs have been given for that area (Pastore 2016), most of them aimed to transform Tirana in a normalized Modern City, aligned to the international (European) standards; then the moment to act is now, in order to protect the values, microeconomics, society and history. Thus, to protect and to enhance the real soul of the real-life, to save the legacy of a unique historical, cultural and identitarian asset and to improve the urban rights to the street. Together with the “official” plans and design, which have shaped the urban body in the way we can read through the main streets, the main squares and the main landmarks; we have the coexistence with what we have named “the adaptive city”. A real “living city” that occupies most of the whole urban fabric and which is fully able to express a unique cultural and historical Identity. A curious mixed and plural identity to be protected and to be enhanced through “appropriate actions” intended in saving it from the disappearance and oblivion. The richness of these small transformations, of free adaptations, of spontaneous modifications, is so various, abundant and diffused to become a cultural legacy itself, an image of an indomitable social/cultural dynamism. It reflects amazing and quick dynamics originated from the gained freedom in expressing new human’s needs and desires. It might be considered as the starting point of new experimentation in the field of ephemeral regeneration or tactical (Naselli and Trapani 2020), suggesting new development strategies humankind and minor urban fabrics based. It could be also an attempt to introduce new criteria of city planning and designing even if temporary, transitory, flexible, reversible, low-cost and… moderate.

References Aliaj, B., Lulo, K.: The city of Tirana, history of architecture and urban development. In: Aliaj, B., Lulo, K., Genc, M. (eds.) Tirana the Challenge of Urban Development. SLOALBA Publishers, Skofja Loka (2003) Bulleri, A.: Back to the future. Architecture and urban planning for an (extra)ordinary metropolis, OFL-Oil Forest League, Rionero in Vulture Italy (2018) Carta, M.: Creative City. Dynamics, Innovation, Actions. Rubbettino, Palermo (2000) Gehl, J.: Cities for People. Island Press, Washington (2010) Jacobs, J.: The Death and Life of Great American Cities. Random House Inc., New York (1961) Naselli, F., Trapani, F.: “Ephemeral Regeneration” for the Marginal Urban Spaces/Places in Enna. Planum Publisher, Roma-Milano (2020) Pashako, F.: The legacy of informality in Albanian landscape. In: Pastore, D. (ed.) EVOKED. Architectural Diptychs, Edizioni Giuseppe Laterza srl, Bari, Italy (2016) Pastore, D. (ed.): EVOKED. Architectural Diptychs, Edizioni Giuseppe Laterza srl, Bari, Italy (2016) Zeka, E., Mali, F.: Spaces to places. In: Mali, F (ed.) HAPESIRA/ZEROSPACE. Albanian Pavilion 2018, RSH Ministria e Kultures, Tirana. Albania (2018)

Health and Urban Planning Antonio Taccone(&) PAU Department, Mediterranean University of Reggio Calabria, Reggio Calabria, Italy [email protected]

Abstract. Cities are slowly transforming, contracting or expanding as citizens move from one place to another through spontaneous journeys and places lived or paths thought by designers and created and managed by local administrations. Citizens’ health and cities’ organization identify each other in a two-way relationship as the urban settlement marks the inhabitants’ lifestyle whom, with their functions of work and daily leisure and their ways of living those places dictate the rhythms of the city. Urban health policies pursued by the plans can therefore be understood as more general urban quality policies since they concern the improvement of life’s conditions through a better functional organization of the urban organism to favor the accessibility to the public heritage of goods and services and also encourage new social life practices. Keywords: Environmental quality


Healthy-city
Urban planning

1 Introduction Cities are slowly transforming, contracting or expanding as citizens move from one place to another through spontaneous journeys and places lived or paths thought by designers and created and managed by local administrations. Citizens’ health and cities’ organization identify each other in a two-way relationship as the urban settlement marks the inhabitants’ lifestyle whom, with their functions of work and daily leisure and their ways of living those places dictate the rhythms of the city. Every city has places intensely lived, sometimes even for multiple uses, in some hours of the day and then suddenly they empty themselves of forms and meanings, places partially used and places, even central ones, which are not suitable to be used regularly. Compared to daily use and city’s livability, all this generates anomalies that translate not only into different forms of sociality and lifestyles but also affect the perception and the effective citizens’ health. In the face of these changing trends in the use of the city, in our country in fact, for over a decade, in the context of urban planning, attention has been paid to the influence on health by urban planning, overcoming the concept of city design as a uniquely spatial approach, considering useful to include in the concept of plan also that of human activities intended as a process of change and not only as a future vision of the city that could have value even indefinitely. In recent years, health and space policies have taken a considerable role on the agenda of the European Union Countries and many European cities, such as London, Copenhagen (Fig. 1), Paris, Barcelona, Oslo, © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 309–317, 2021. https://doi.org/10.1007/978-3-030-48279-4_29

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Stockholm and Vancouver, have been experimenting for years environmental sustainability policies that have direct effects on health conditions [1].

Fig. 1. Superkilen park in the Nørrebro district in Copenhagen. Public space for socializing, recreation and physical activity (A. Taccone 2016).

In fact, cities are the place of daily life given by a continuous synthesis of space and functions expressed in the life of those who live there, the attention towards the problems and interests of the different citizens who live in the city and use urban services, such as young people, senior citizens, commuters and “city users” in general, has suggested to public administrations not only to integrate planning tools towards “user friendly” policies but also to equip themselves with specific tools for prevention and health risk [2], generally of regional orientation. The health risk prevention plan, however, remains a document of address and action that defines the approaches, activities and methodologies to be implemented on some central issues directly related to urban policies such as sustainable mobility, accessibility and usability, the quality of public and private services, the redevelopment of urban spaces, the coordination between service and work schedules for the purpose of mutual solidarity and interest. The plan can be articulated in policies and projects, also experimental or to be implemented gradually, and must be connected with the general planning and planning tools of the territory using instruments of institutional consultation and involvement between citizens and social actors with local interest and administrations. It have also to provide for effective information and communication actions that allow the needs of disadvantaged groups to emerge [3]. Systematically introducing the concept of health into urban planning can ultimately be useful with regard to the balances that govern the city and its functions. The efficiency of public transport and collective services, the historical center adequately usable in different hours and by different users, the peripheral neighborhoods integrated and related to the whole city, but also the maintenance of the morphological and cultural identity of the despite the presence of different ways of use (active city) [4], they are, on the whole, the results that a plan should contribute to obtaining. Our action in the contemporary city and territory must necessarily use approaches that can guarantee a more intelligent and rational use of the limited

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resources available to us; but it must also contribute to identifying spaces capable of defining urban well-being, new formal qualities of mobility and of living the urban space collectively. City therefore as a system of spaces and relationships which, consequently, requires careful planning to health aspects not only for functions but for cycles, with an approach that can represent a possible operational translation to the studies of the qualitative characteristics of the territory.

2 Health and Well-Being at the Center of the 2030 Agenda 2.1

Policies and Phase VI WHO

The last few years have been very significant for the global debate about cities. First, the definition of the 2030 Agenda with the 17 Sustainable Development Goals [5] which identified the urban dimension as the one suitable for the resolution of many of the sustainability and health issues. Among the objectives that must be achieved by all the countries of the world by 2030, it was also thought to guarantee optimal health conditions for all communities, effectively including the theme of health within a wider process of sustainable city. The awareness achieved is that it is not enough to deal with sectoral health services but one must consider all the environmental, socio-economic and cultural factors of the city that influence health. In fact, there is a strong link between the Sustainable Development Goal 3 (SDG 3- A good health for all) and the Sustainable Development Goal 11 (SDG 11- Making cities and human settlements inclusive, safe, resilient and sustainable). WHO’s goal for healthy cities is to encourage procedural advancements that raise the quality of life and create improvements in physical and social environments for communities [6]. The methodological correlation between urban-medical, medical and social sciences connotes the approach of the Healthy Cities project promoted since the 1940s, developed in the 1990s in Italy as a network of Municipalities, and supported both by the WHO Agenda 2014–19 that from the European Union’s Health 2020 policies and strategies [7]. The document of Phase VI WHO [8], takes up the objectives of sustainable development for the creation of the European network of healthy cities, outlining the application process and the strategic objectives for the promotion of policies and actions for health and sustainable development local level. In fact, urban areas, being the engines of economic prosperity, can promote health through better access to services and by acting on cultural resources and recreational activities. Compared to the previous phases [9], among other things, attention was focused on an innovative element of strong interest also in the disciplinary debate, that is, the creation of resilient communities and integrated planning tools for health and sustainable development. The Agenda for sustainable urban development [10] in Italy then divided, as international objectives for the healthy city, the creation of zero urban logistics systems, carbon emissions by 2030, the recovery of the delay in the allocation of public transport infrastructures, the promotion of intelligent mobility and the development of smart city factors for digital growth.

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According to the strategies of the VI phase WHO, cities need to work systematically and with a global vision of health and to intervene with integrated policies of integrated strategic health planning that involve different sectors and actors by providing shared visions starting from values of cities, even by putting in place all the written and non-written rules that they already have that concern and influence the health of their citizens. It is interesting to note that the further specification of theme 4 (Resilience) of the WHO document, clarifies how the social, economic and environmental policies of cities can create capacities and communities to guarantee positive benefits for the health and life of the city, acting on: healthy and active life, issues of urban and environmental safety, climate change, urban planning and design for neighborhoods, removal of architectural barriers, accessibility and proximity of services, participatory and inclusive processes for citizens. In practice, by acting on urban specificities and on the socioeconomic and environmental distribution at local level, it is possible to achieve the desired well-being and health equity and to reduce or eliminate environmental and exposure risks. 2.2

Prosperity Wheel and Urban Health

Prosperity, as defined by UN-Habitat, is acquired through balanced and harmonious development in an environment of fairness and justice [11]. It’s mainly in the cities that the sense of prosperity must be achieved, through urban planning policies. The wheel of prosperity developed by the United Nations Human Settlements Program (UNHABITAT) is designed for the city of the 21st century and focuses on human activities through the material and immaterial aspects of prosperity, aiming to remove the inefficient and unsustainable forms of urban planning. The city is therefore the privileged place where all the conditions for the achievement of a healthy city can coexist, which allows human beings to thrive, feel fulfilled and develop well-being, progress and wealth. One of the aspects used for the conceptualization of prosperity, concerns precisely the theme of health, since it is precisely the health services for education, leisure and safety that are considered necessary to improve the standard of life and lead satisfactory lives. The report shows that many cities, especially in developing countries, are reaching new levels of well-being by doing on the aspects of health and education, sometimes even in the absence of adequate economic growth. A prosperous city is one that offers five fundamental components: productivity, infrastructure development, quality of life, equity and social inclusion, environmental sustainability. The concept of health is transversal to all five aspects of the wheel that make up the “spokes”. The importance of urban planning is highlighted by the fact that the “hub” of the wheel consists precisely of this science which, with the practices of good governance, of the legislative equipment, with the regulations and institutional frameworks ensure that no component prosperity prevails over others for the sake of the public interest and the achievement of shared prosperity [12]. The “outer edge” of the wheel, on the other hand, represents the ability of local authorities to drive growth, directing direction in the search for sustainable urban development.

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Ultimately, a synergy between administrations and urban planning is identified as a strategy to make our cities healthy, inclusive, safe, resilient, sustainable. Health develops locally, in cities, in neighborhoods and in communities where people of all live, work, move and have fun. The goal of the healthy city, which is one of the most effective indicators of sustainable development, cannot be achieved without this synergy and without the contribution of local communities as cities are the places where planning and decision-making processes are closest to community [13]. The theme is quite vast and concerns urban planning as a whole, up to the design of public spaces such as parks and gardens, sites for sport and leisure, mobility infrastructures and urban design experiences for the design of equipment and furnishings.

3 From the Spatial Planning for Health to the Health Street In Italy, programmatic, orientation, quantitative and functional regulatory tools, such as planning and policy tools for territorial development policies - both on a territorial scale and developed locally - are designed to control aspects of urban health only through local regulations or, at regional level, with specific tools for prevention and health risk. European experience teaches that many nations, more attentive to issues of urban quality and at the forefront of urban policies - such as England - associate some texts with regulations, addressed in particular to “spatial planning for health”. These texts are intended as an integrative tool, not directly binding but which acts as an abacus in the form of guides and manuals that accompany the plan process both on a national scale and that of individual municipalities and neighborhoods and which concern the city or their parts indicating principles and examples to be applied locally starting from a careful analysis of the context. The English concept has in the background more than twenty years of reflection on urban health issues to be obtained through structural and strategic spatial planning tools and does not intend to renounce attention to morphological, aesthetic and functional quality, rather reiterating the need to act on several levels: that of the programming of the actions and that of the formulation of project requirements. Spatial Planning for Health [14] intended as an integral part of all levels and aspects of urban planning and architecture, becomes the key character of modern practice, as it does not only deal with the infrastructure project and public spaces, but integrates the interest of health to that of the urban form, from those that relate to the fight against diseases to those that promote physical activity up to aesthetic ones, with a strong sensitivity to the broader themes of ecology. Downstream of the reflections on urban health, the English planning system has introduced more flexible and open planning and direction tools inserting in the processes at all scales manual and guides of “better practice”. This allowed to develop a non-binding but proactive attitude towards the WHO objectives which, even if it presents the risks of exasperating a modeling approach, still derives from a consolidated and centenary tradition of reflection and debate on urban design issues. In particular, the strategy identifies five aspects of the built and natural environment that can be designed and modeled by planners in order to promote certain health

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outcomes: neighborhood design; housing; healthier food; natural and sustainable environment; transport systems. One tool that can be said to be attentive to new trends is undoubtedly The Nottinghamshire Spatial Planning and Health Framework 2019–2022 [15]. This spatial planning combines the planning tools of the city in a single orientation document in order to fully integrate the planning process with the aspects of health and well-being. Also this document does not have the form of mandatory regulation but provides, in the form of a guide, indications and good practices to ensure compliance with the health requirements in its territory. The Greater London Authority, with the Ministry of Transport, has started the experimentation, perhaps the most advanced in Europe, of redevelopment projects that focus on the psychological and physical well-being of the population from the spatial strategy by acting on the reorganization of the transport London transport. This is the Healthy Street approach that puts people and their health at the center of the decisionmaking process and the implementation of pedestrian and bicycle road network projects that discourage dependence on cars [16]. The Healthy Streets Approach were developed by Lucy Saunders [17], a public health, urban planner and transport planning species-list, already in the first health action plan of 2014 and then developed up to the “tools for health street”. A framework based on the construction of a decision-making process useful for integrating public health into urban transport and territorial governance tools. This approach is creating good practices that can be replicated and shared with other cities in the world. The objectives of the framework tend to encourage pedestrian or bicycle travel and the use of public transport, both by improving transport networks and by creating attractive neighborhoods and urban places. The approach is based on ten indicators, two specific on the inclusion and strengthening of foot traffic and cycling to promote physical activity, and eight linked to various areas of sustainability: pollution, safety, urban furniture, aesthetics and healthiness. Living in neighborhoods designed with the health street approach would allow a healthy lifestyle and would be the best method to stem the malaise phenomena related to sedentary lifestyle and low levels of urban well-being. In addition, positive design experiences will also reverberate the improvement effects on other cities that could follow suit and design new spaces with new characteristics in order to raise the level of urban quality and the lifestyle of the resident communities (Fig. 2).

4 Urban Policies and Healthy Cities All the legislative documents of regional planning in Italy identify as the general objective of planning the promotion of an orderly development of the territory, urban fabrics, the production system and the improvement of the quality of life and the healthiness of external environments [18]. Urban health is understood as a state of physical, mental and social well-being of the individual, therefore it must be part of an integrated programming system that has public welfare as its purpose. Recent theoretical acquisitions and European good practices have in fact introduced a social model linked to health that has shifted attention to the factors that determine it,

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Fig. 2. Pedestrian street in Malmö, Sweden (A. Taccone 2016).

such as living and working conditions in our cities and socio-economic, cultural and environmental conditions. In fact, the hypothesis that urban planning has acquired a decisive role in promoting healthy lifestyles is universally recognized and shared [19]. In Italy there are numerous attempts to plan health, starting from the experiences of the Network of Healthy Cities, in continuous evolution, which has created a series of national and local experimental laboratories on urban regeneration and in search of new urban planning practices based on health criteria. The involvement of non-health sectors [20] in health prevention and promotion processes represents a strategic factor to enhance the impact of health policies by strengthening the dialogue between the health system and the know-how on urban planning, regeneration urban planning, social and transport. Currently, the general policy and action document that defines the approaches, activities and methodologies to be implemented is the health risk prevention plan that defines the approaches, activities and methodologies to be implemented aimed at intercepting health needs. This plan, envisaged by the State-Regions Agreement (the latest is dated 21 December 2017), is configured as a strategic planning document in the field of prevention which must highlight the actions carried out by the Regions for health and the well-being of the population. The regions that are working in this direction are more and more numerous, and they are proceeding to equip their territory with tools of strategic orientation that allows to harmonize urban living: work, leisure, living and so on. Both in large urban areas and in smaller centers, concrete plans were tried and implemented, having managed to create participatory structures relating to the choices and methods of implementation

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through agreements with other local authorities, public service management bodies and businesses. These same cities also stimulated the use of means for sustainable public mobility, expanded the range of public health services and favored the use of collective public spaces and places (such as school buildings) at different times from those of their natural use linked to the specific function, thus making available to the community other spaces for testing other functions. Good design examples for the healthy city have also shown that social goals such as equity and equality in accessing services of general interest, equal opportunities between disadvantaged and advantaged classes without creating new services can be pursued, and therefore without further soil commitment, but simply by rationalizing the functioning of the city, integrating the sphere of private life in the territory with the public sphere of work and business and by relating the small scale of neighborhood practices with the large mobility ladder. The urban health policies pursued by the plans can therefore be understood as more general urban quality policies since they concern the improvement of living conditions through a better functional organization of the urban organism so as to favor the accessibility to the public heritage of goods and services and encourage also new social life practices. Indirectly, moreover, since better management of activities naturally affects the overall mobility system of citizens, there are positive results in terms of reducing traffic and therefore pollution of urban areas.

References 1. Naylor, C., Buck, D.: The role of cities in improving population health: international insights. King’s Fund (2018) 2. D’Onofrio, R., Trusiani, E.: Città, Salute e Benessere: Nuovi Percorsi per l’urbanistica. Urbanistica. FrancoAngeli, Milano (2017) 3. Fallanca, C.: Gli dèi della città: progettare un nuovo umanesimo. Franco Angeli, Milano (2016) 4. Farinella, R., Dorato, E.: Paesaggi di margine e forme di vuoto. Percorsi per la costruzione della città attiva. Ri-Vista 15(1), 122–137 (2017) 5. William, R.: Transforming our world: the 2030 agenda for sustainable development. In: A New Era in Global Health. Springer, New York (2017). https://doi.org/10.1891/ 9780826190123.ap02 6. Peggy, E., Tsouros, A.D.: Weltgesundheitsorganisation, e Regionalbüro für Europa. A healthy city is an active city: a physical activity planning guide (2008) 7. Maspoli, R.: Smart, health city, spazio pubblico e diabete. J AMD 21(1), 6 (2018) 8. WHO Regional Office for Europe, Phase VI (2014–2018) of the WHO European Healthy Cities Network: goals and requirements (2013). http://www.euro.who.int/__data/assets/pdf_ file/0017/244403/Phase-VI-20142018-of-the-WHO-European-Healthy-Cities-Networkgoals-andrequirements-Eng.pdf. Accessed 16 Jan 2020 9. Barton, H., Grant, M.: urban planning for healthy cities. J. Urban Health 90(1), 129–141 (2011). https://doi.org/10.1007/s11524-011-9649-3 10. Asvis, Urban@it. L’Agenda urbana per lo sviluppo sostenibile. Obiettivi e proposte. https:// asvis.it/public/asvis/files/AgendaUrbana.pdf. Accessed 07 Jan 2020

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11. United Nations Human Settlements Programme (UN-HABITAT). State of the World’s Cities Report 2012/2013: Prosperity of Cities. https://sustainabledevelopment.un.org/ content/documents/745habitat.pdf. Accessed 11 Jan 2020 12. UN-Habitat, Measurement of city prosperity. Methodology and Metadata. https://cpi. unhabitat.org/sites/default/files/resources/CPI%20METADATA.2016.pdf. Accessed 12 Jan 2020 13. Organization, World Health. Shanghai Declaration on Promoting Health in the 2030 Agenda for Sustainable Development. Health Promotion International, vol. 32, no. 1, pp. 7–8 (2017). https://doi.org/10.1093/heapro/daw103 14. Public health England. Spatial Planning for Health. An evidence resource for planning and designing healthier places. https://assets.publishing.service.gov.uk/government/uploads/ system/uploads/attachment_data/file/729727/spatial_planning_for_health.pdf. Accessed 22 Dec 2019 15. Nottinghamshire County Council, Nottinghamshire Spatial Planning and health framework 2019–2022. https://www.nottinghamshire.gov.uk/media/2321754/notts-spatial-planninghealth-framework.pdf. Accessed 12 Jan 2020 16. Greater London Authority. A guide to the Healthy Streets Approach. https://www.gov.uk/ government/publications/spatial-planning-for-health-evidence-review. Accessed 28 Dec 2019 17. Healthy street website. https://healthystreets.com/home/lucysaunders/about-lucy-saunders/. Accessed 28 Dec 2019 18. Legge urbanistica regionale 19/2002 della Calabria, Art. 3, Principi generali per la pianificazione territoriale e urbanistica. http://www.consiglioregionale.calabria.it/upload/ testicoordinati/2002-19_2015-12-31.pdf. Accessed 10 Jan 2020 19. Rainer, F., Capolongo, S.: Promozione Della Salute Nei Contesti Urbani: L’approccio Urban Health. Epidemiologia Prevenzione 40(3–4), 151–152 (2016). https://doi.org/10.19191/ EP16.3-4.P151.080 20. Liliana, C., Ennio, R., Danilo, C., Giusi, G., Lucia, P., Andrea, R.: La prevenzione della sedentarietà nel Piano regionale della prevenzione lombardo 2015–2018: una strategia intersettoriale per lo sviluppo di programmi evidence-based. Epidemiologia Prevenzione 40(3–4), 243–248 (2016). https://doi.org/10.19191/EP16.3-4.P243.091

Health-Oriented Urban Planning for a Renewed Implicit Alliance Alessandra Barresi(&)

and Gabriella Pultrone

Mediterranea University of Reggio Calabria, Reggio Calabria, Italy {alessandra.barresi,gabriella.pultrone}@unirc.it

Abstract. The improvement of the deplorable hygienic conditions in which most of the inhabitants of the city lived is one of the main issues at the origin of modern urban planning in the nineteenth century. About two centuries later, the contemporary challenges linked to growing urbanization, climate change, environmental problems, and social inequalities still focus, even more forcefully, on the relationship between health and urban planning, in particular, on the role and responsibility of the discipline in contributing to improving the quality of life of people and communities. In fact, they should be placed at the centre of planning processes at all scales because all decisions and actions relating to the governance of the territory imply effects on the human health and well-being and on the environment. Such decisions and actions should be based on the fundamental principles of equity, intersectoral cooperation, and active citizen involvement. The challenge is to find the right balance between social, environmental and economic pressures, with a view to making cities and human settlements inclusive, safe, lasting and sustainable, in line with Objective 11 of Agenda 2030. With this in mind, international initiatives, often driven by WHO, are becoming increasingly numerous. They allow drawing useful reflections on the essential need to include and integrate the concepts of health and wellness in the policies, strategies and ordinary urban planning tools through the creation of public spaces and places, soft mobility networks capable of promoting healthy lifestyles, while reducing environmental problems. The positive repercussions on health expenditure are of no less interest, given the effects in terms of prevention of numerous and widespread diseases. Therefore, the close relationship between the well-being of the individual and the quality of the environment affirms the need to renew the implicit alliance between urban planning and health. In this reference framework, after outlining the more general aspects linked to the complex relationship between urban planning and health/well-being, Keywords: Urban regeneration policies


Health-oriented urban planning
Integrated

This paper is the result of a joint consideration the two authors made on an ongoing research activity. However, the paragraphs 1 and 2 were written separately as specified below: “Towards a More Healthy-sensitive Urban Planning” (Gabriella Pultrone); “The Healthy Urban Planning Programme in Milan: Integrated Policies for Spatial Planning” (Alessandra Barresi). © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 318–326, 2021. https://doi.org/10.1007/978-3-030-48279-4_30

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1 Towards a More Health-Sensitive Urban Planning The improvement of the miserable and precarious hygiene and health conditions, in which most inhabitants of cities lived in the XIX century, is one of the main issues at the origin of modern urban planning. As it is well known and documented by certain studies retracing the historical evolution of the relationship between public health and urban planning [1], such a discipline played a fundamental role in improving and determining urban and building hygiene [2–4]. Actually, in Europe, since the mid-XX century, the major interventions of urban transformation have been conceived by professionals who are, at the same time, healthcare workers and urban planners. Moreover, as to the relationship between health and urban planning, even Cerdà and Le Corbusier, among others, widely used the metaphor of the scientist, of the surgeon who had to eradicate or treat the evils afflicting the urban organism. Almost two centuries later, current global challenges, related to growing urbanization, climate change, environmental problems, and social inequalities, are stressing even more strongly the importance of the relationship between health and urban planning, of the contribution and responsibilities of this discipline to improve (through its own tools) the quality of life of people and communities. Indeed, communities should be placed at the very heart of the planning processes at all scales, because all the decisions and actions concerning territorial governance imply effects for the health and wellbeing of human beings and the environment. Such decisions and actions should be based on fundamental principles of equity, intersectoral cooperation, and active involvement of citizens. The conditions in which people live and work, their access to facilities and services, their lifestyles, and their capacity of developing strong social networks are the key determinants of the health, wellbeing and quality of life of people living in cities. That is why many WHO documents are investigating the bonds between health and urban and territorial planning focusing on how the latter can positively affect the former. Furthermore, an increasing number of urban and territorial planning experiences are trying to limit and regulate urban sprawl by pursuing the goal to curb land use, favour better quality of life and promote sustainable development, not only on an environmental, social and economic level, but also in terms of wellbeing and health. Worth mentioning is a discipline called urban health which is strategically aimed at integrating territorial and urban planning and health protection and promotion through sustainable processes leading to interventions of urban regeneration and limiting expansion areas. In a broader sense, it is meant to define actions that may have a positive impact on the health and quality of life of the population, given the close relationship (scientifically and medically demonstrated) between individual physical, psychological and social wellbeing and the urban environment in which people live [5–8]. To this end, the Urban Health Rome Declaration [9] defines the strategic actions to improve health in the cities adopting a holistic approach with individuals and a multisectoral approach to the policies of health promotion in the urban context. Referring to WHO definition of health - i.e., an essential element for the wellbeing of a society that, as such, does not imply the mere physical survival or the absence of disease, but includes psychological aspects, like natural, environmental, climate and housing conditions as well as economic, social, cultural and working life -, the Declaration

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considers health not as an “individual good” but as a “common good”, thus, as an investment and not a cost for local administrators, who should guarantee it. On the occasion of the World Health Day 2010, WHO [10] stated that good urban planning is crucial to the construction of a ‘healthy’ XXI century, calling on the municipal authorities, citizens and all stakeholders to control the situation in the cities, which is where the world population is concentrated. The challenge is to find the right balance between social, environmental and economic pressures within an essential perspective of sustainability and in line with the Agenda 2030 Sustainable Development Goal (SDG) 11 “Make cities and human settlements inclusive, safe, resilient and sustainable”, as well as with Goal 3, specifically focused on health and wellbeing. An integrative approach to SDGs is fundamental to achieve the goals of health and cities. For instance, the reduction of preventable deaths from non-communicable diseases in cities will require the coordination between various sectors, such as healthcare, urban planning, education, finance, trade and regulations. In addition, this coordination should involve different levels of government – local, provincial and national – and be supported by global actions. An increasing number of international initiatives, also encouraged by WHO, are moving in this direction giving rise to useful reflections on the essential need to include and integrate the concepts of health and wellbeing into the policies, strategies and ordinary tools of urban planning through the creation of public spaces and soft mobility networks able to favour healthy lifestyles and reduce, at the same time, environmental problems. Equally interesting are the positive impacts on healthcare expenditure, owing to the effects on the prevention of numerous and widespread diseases. Certainly, given the different situations, needs and priorities existing in the various geographical areas of the world and in the single countries, policies, strategies, plans, programmes and projects should be place-based. However, such ambitious goals can be pursued and achieved only through integrated cross-cutting and trans-disciplinary actions aimed, on the one hand, at improving health and living conditions in the cities, and, on the other, at controlling social and environmental costs. Actions concern a series of interrelated aspects and factors, such as: the urban shape; the characteristics of the built area; the organization of mobility and technological networks; the relocation and mixing of functions; the defence and use of green areas and of meeting places; the security and resilience of environmental components [11]. It is a general urban planning problem concerning the distribution of functions in the different urban areas and their integration aimed to favour limited movements by public transport or, preferably, by bike and on foot, also through the creation of naturalist areas and pathways. Therefore, it is a problem to be tackled with an “urban design”, a “land project”, and suitable rules and criteria. These aspects intertwine with others already highlighted at an international level: the need to widen and improve access to sports and exercise for citizens of any age and social group, thus favouring the psycho-physical development of young people, active ageing and social inclusion; the design of cycle and pedestrian paths for running and walking; the use of equipped green areas, e.g., as “open air gyms”; local urban transport policies geared towards environmental sustainability and the creation of a healthy life; the need of actions on environmental and climate factors in order to reduce the risk of development of diseases related to air and environmental pollution.

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Urban plans and projects can encourage or discourage people to take eco-friendly decisions. For example, the municipal provision of public transport, well-lit public paths, cycle paths and bike rental services in cities like Paris, Stockholm, London, Milan or Brussels proved to be effective in encouraging urban residents to adopt sustainable transport modes [12]. As far as Italy is concerned, the search of a virtuous and fruitful relation between urban planning and health emerges in the Guidelines for the definition of the sanitation contents of territorial planning tools, drawn up by the Region Emilia Romagna [13] with the purpose of providing a reference framework to take into account in the development of plans and regulations as well as in the evaluation of the plans themselves. They propose a tool through which it is possible to examine road safety, public green areas, socialization, promotion of physical activity, accessibility, and environmental quality, starting from the evaluation of the built environment as a factor determining or favouring the promotion of health. Territorial and urban planning tools allow identifying the criteria to protect life environments from environmental pollutants, in order to develop a health-oriented environment, including spaces for physical activity and socialization and securing infrastructure dedicated to mobility. Starting from the great systems of the anthropised environment (road network, settlement system, service network, rural centres, etc.), goals, related to the protection and improvement of health and of the living and working environment, are set and policies and actions are proposed to pursue them by means of territorial and urban planning tools on various levels (in particular, Provincial Territorial Coordination Plan, Municipal Structural Plan, Municipal Operational Plan, Urban and Building Regulation and Urban Implementing Plans). In conclusion, it is indispensable that public healthcare and urban planning are closely related and that they strengthen social cohesion and the creation of better welfare for everyone through a series of initiatives, plans and projects. The integration of different policies and action plans, multilevel governance and the active participation of citizens are key factors of numerous projects aimed to promote a new vision of environmental sustainability as a cross-cutting element in several actions directed to make the urban environment citizen-friendly and to provide the conditions for a healthy life accompanied by psycho-physical wellbeing.

2 The Healthy Urban Planning Programme in Milan: Integrated Territorial Planning Policies As highlighted in the previous paragraph, over time, also thanks to urban planning, cities have changed from places, where diseases and epidemics concentrated, into places where health is promoted and which are attractive for living and socializing. “The bright, pain-free and washable city the twentieth century has left us, is now proposing different materials and spatial relations, which are generally more comfortable than in the past [14]. Yet, the most recent phase of urban development has given rise to new forms of malaise and “urban discomfort” related to the latest processes of territorial degradation, such as pollution, social disadvantage, lack of security, crisis of the public space and so on. These new urban, environmental and social

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challenges underlie the new “social” model of health proposed by the World Health Organization since the ‘80s. This model, which takes inspiration from the 1986 Ottawa Charter, proposes again the importance of environmental, social and economic factors, together with genetic factors, in determining health, and defines it as a “complete state of wellbeing – physical, psychological and social – and not only absence of disease”. In 1986, WHO launched the programme and network of European cities called Healthy Cities to pursue this new concept of health. Moreover, between 1998 and 2002, a re-evaluation of the importance of the connection between the state of health of people living in the cities and urban planning, paved the way for a new approach of Healthy Urban planning. In a context in which overall wellbeing is related to the relationships between individuals and territory, this approach considers territorial planning and governance policies (urban planning) as a priority area of action for the promotion of health. Drawing inspiration from Paola Bellaviti’s questions, i.e., “how can the idea of healthy city be developed operationally? And through what reformulated planning approaches and practices?” [15], the Healthy Urban Planning programme, which was developed in Milan with the collaboration between the Polytechnic University (Diap Department) and the Municipality, is put forward again. It can be seen – according to Bellaviti – “as a way to let the WHO Healthy Cities strategy go deep into the field of the policies having more direct implications and effects on the living conditions in cities” [15]. The Healthy Urban planning experience started in Milan as an action research programme that envisaged the collaboration between the Municipal Administration (Office of Urban Planning and Office of Social and Health Services, Healthy Cities Project) and the Architecture and Planning Department of the Polytechnic University of Milan, and aimed at implementing the approach to health of WHO Healthy Cities and its possible applications in the field of urban planning. The programme was based on the awareness that it is not possible to implement urban health policies by aiming research activities and monothematic actions to single urban and social issues affecting citizens’ health. On the contrary, the programme proposed multisectoral and multidisciplinary approaches that examined health-related problems correlating various aspects (urban planning, social and service policies, policies for the environment, employment, education and culture) and involving different actors and authorities (decision-makers, professionals, private organizations, the academic and research world, organized citizens) that actively work on cities. Thus, the programme involved two different sectors: The Public Administration, in order to start co-planning procedures with sectoral policy-makers in order to develop integrated projects that gave rise to a few “pilot area projects” to be enriched through the Healthy Cities approach; The local community, in order to look for territorial transformation practices that could be innovative for both the actors implementing them and the modes of their implementation, in order to enhance those practices and experiences that may integrate and enrich the public action thanks to skills institutions do not have. Two surveys were carried out in both sectors (Public Administration and local community), which were directed, on the one hand, to find, within the Public Administration, ongoing projects and initiatives involving, in various ways, the main

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dimensions of urban wellbeing (physical and spatial, social, environmental and health dimensions), in order to test an intersectoral approach; and, on the other hand, to detect, within the local community, those initiatives including urban transformation projects and facing typically public problems, such as the regeneration of derelict areas, the recovery of abandoned peripheral areas, the support to business activities, the design of public spaces and environmental remediation, the support to weak and vulnerable groups, and cultural and recreational promotion. The results of these surveys converged into an “Atlas of projects for a healthy and sustainable city”, which offered a wide overview of the most significant institutional and non-institutional ongoing experiences and “best practices” of urban transformation in Milan that are excellent opportunities of integrated planning, meant as intersection between institutional and non-institutional projects and as a possibility of association of ongoing initiatives with the opportunities offered by national and European programmes. Within this wide range of initiatives, a few cases were identified and later considered as pilot projects to tackle significant areas of contemporary urban discomfort, where it could be possible to concretely experiment with a method of intersectoral and cooperative planning involving local public and non-institutional actors. In particular, three cases were the object of experimentation: The district of Molise-Calvairate, which is in a state of public housing crisis; Cascina Merlata, an area where marginal activities and populations concentrate, particularly Roma migrants; The wide marginal area of Chiaravalle-Nosedo, marked by phenomena of environmental degradation and social unease, yet rich in environmental, historical and landscape values. These problematic areas were redesigned through an integrated method involving the sectoral managers of the public projects addressed to such areas as well as other non-institutional actors working in the same areas. Thus, area based projects were defined, which originated concrete actions to cope with difficult situations that have been poorly addressed or have not been addressed at all so far by the Public Administration. The main goal, achieved thanks to this type of experimentation, beyond any individual implementation path, was “to start a learning path within the institution on a model of integrated action and on the difficult framework underlying it (the multidimensional nature of the forms of urban discomfort, the growth of new qualitative demands), which then merged with other public programmes and new action research initiatives” [16]. Among these public programmes and new initiatives of action research referring to the three pilot projects of the Healthy Urban Planning programme for Milan, worth mentioning are: Contratti di Quartiere II (District Development Plans II) Programme (2002), for the regeneration of public housing districts marked by physical and social degradation. Within this programme, in Milan, five proposals were formulated and they were all funded to develop the integrated and participatory approach of the pilot projects, in particular, the one concerning the district of Molise-Calvairate, which has become itself a District Development Plan [17];

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Abitare a Milano. Nuovi spazi urbani per gli insediamenti di edilizia sociale (Living in Milan. New urban spaces for social housing settlements) (2005). They are new social housing programmes that, through competitions, deal with the design of housing solutions more responsive to the new users’ needs, more integrated with local services and contexts and more sustainable; An action research on the same key themes of the new social housing programmes, yet within a broader reflection of the quality of the living space in a “Healthy City”, with the purpose of drawing up the guidelines for the project Housing sociale a Milano (Social housing in Milan); An action research on the condition of elderly people in Milan taking into account social, housing and territorial problems in order to develop a method for suitable housing solutions; An experimentation, within the European Programme Interreg IIIC “Neighbours of Europe”, which promotes the transfer of the knowledge and skills of local communities in the regeneration and “creation” of public spaces in peripheral areas, combining the quality of physical space with social quality for a new urban welfare. The various action research and experimentation activities fostered by the HUP project are also directed to the development of a strategic plan for urban health aimed at providing both a general vision of health and strategic guidelines for its implementation, always through the principle of multisectorality and convergence of actors and skills. Certainly, the authors agree with Bellaviti’s words: “the scenario proposed by the HUP project is a space where it is possible to blend and enhance relatively autonomous lines of research, design and action that are already facing issues and problems concerning environmental quality and sustainability in urban contexts, housing and living conditions of districts, and quality of social relations. On the contrary, the actions proposed take advantage of the most recent and innovative experimentations and practices in urban planning and policies, supporting them from a conceptual and operational perspective” [16].

3 Conclusion The global contemporary challenges linked to growing urbanization, climate change, environmental problems, and social inequalities challenges underlie the new “social model” of health proposed by the World Health Organization which, taking inspiration from the 1986 Ottawa Charter, defines health as a “complete state of wellbeing – physical, psychological and social – and not only absence of disease”. Between 1998 and 2002 a new approach of Healthy Urban planning emerges in a context in which overall wellbeing is related to the relationships between individuals and territory, and territorial planning and governance policies (urban planning) are considered as a priority area of action for the promotion of health. As far as Italy is concerned, significant experiences at the different territorial levels are ongoing, such as the case of the Region Emilia Romagna which, through specific guidelines, proposes the criteria that territorial and urban planning tools should use to protect life environments from environmental pollutants, in order to develop a

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health-oriented environment, including spaces for physical activity and socialization, and securing infrastructure dedicated to mobility. At urban level, the programme Healthy Urban planning, started in Milan is particularly interesting due to its multisectoral and multidisciplinary approaches that examine health-related problems correlating various aspects and involving different actors and authorities that actively work on cities. Above all, as an example of healthy urban planning, it tries to put the needs of people and communities at the centre of the urban planning process and consider the implications of decisions for human health and well-being to improve the conditions in which people live and work, their access to facilities and services, lifestyles and the ability to develop strong social networks. In fact, place- and sensitive-based intersectoral actions for health offer significant opportunities of improvements in neighbourhood resources and conditions for urban health equity. Finally, considering that healthy populations are essential to realizing human potential as well as the objective of equitable, inclusive and economically vibrant cities, urban areas can become testing labs of Healthy City Design for more health active cities and contribute to achieving the goals of the 2030 Agenda for sustainable development with particular reference to the SDG 3 and SDG 11.

References 1. D’Alessandro, D., Appolloni, L., Capasso, L.: Public healthy and urban planning: a powerful alliance to be enhanced in Italy. Ann Ig 29, 453–463 (2017). https://doi.org/10.7416/ai.2017. 2177 2. Giovannini, C.: Risanare la città. L’utopia igienista di fine Ottocento. Franco Angeli, Milano (1996) 3. Zucconi, G.: La città contesa: dagli ingegneri sanitari agli urbanisti (1885–1942). In: Piccinato, G. (ed.) Storia Urbana, Igiene e urbanistica in Italia nella seconda metà del XIX secolo, vol 16, no. 47, pp. 47–66. JacaBook, Milamo (1989) 4. Zucconi, G.: La cultura igienista nella formazione dell’urbanistica. In: Bianchetti, C. (ed.) Città immaginata e città costruita. Forma empirismo e tecnica in Italia tra Otto e Novecento. Franco Angeli, Milano (1992) 5. Capasso, L.: Aspetti igienico-sanitari in ambito urbanistico: conflittualità nelle norme urbanistiche nazionali e locali in tema di sanità pubblica/Hygienic and sanitary aspects in urban planning: contradiction in National and local urban legislation regarding public health. e&p Interv./Epidemiol. Prev. 42(1), 60–64 (2018). https://doi.org/10.19191/ep18.1.p060.016 6. Unknown author: Healthy cities. World Health Mag World Health Organ. 49(1), 2–39 (1996). 49th Year, No. 1 I January-February 1996. https://apps.who.int/iris/handle/10665/48955 7. Barton, H., Mitcham, C., Tsourou, C: Healthy urban planning in practice: experience of European cities. Report of the WHO City Action Group on Healthy Urban Planning (2003). https://apps.who.int/iris/handle/10665/204715 8. WHO & UN-Habitat: Global report on urban health: Equitable healthier cities for sustainable development (2016). https://www.who.int/gender-equity-rights/knowledge/global-report-onurban-health/en/ 9. ANCI-Ministero della Salute. Health in the Cities. Urban Health Rome Declaration. Roma, 11 dicembre 2017 (2017). http://www.salute.gov.it/imgs/C_17_EventiStampa_501_ intervisteRelatori_itemInterviste_0_fileAllegatoIntervista.pdf

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10. Duhl, L.J., Sanchez, A.K.: WHO Regional Office For Europe: Healthy Cities and the City Planning Process. A Background Document on links Between Health and Urban Planning (1999) 11. D’Onofrio, R., Trusiani, E. (eds.): Città, salute e benessere. Nuovi percorsi per l’urbanistica. Franco Angeli, Milano (2017) 12. URBACT II: Sustainable regeneration in urban areas. Urbact II Capitalisation, April 2015. URBACT Programme 2015. Saint Denis (France) (2015). https://urbact.eu/sites/default/files/ 04_sustreg-web.pdf 13. Regione Emilia Romagna - Servizio sanitario regionale: Linee Guida per la definizione dei contenuti igienico-sanitari degli strumenti di pianificazione territoriale. Prevenzione nei luoghi di vita e di lavoro. Contributi 63. Regione Emilia Romagna, Bologna (2010). http:// www.saluter.it/wcm/saluter/pubblicazioni/tutte_le_pubblicazioni/contributi/contributi.htm 14. Secchi, B.: La città del ventesimo secolo. Laterza, Roma-Bari (2005) 15. Bellaviti, P. (eds) Una città in salute. Healthy urban planning a Milano: un approccio e un programma per una città più sana, vivibile, ospitale. Franco Angeli, Milano (2005) 16. Bellaviti, P.: La Città, la salute e la pianificazione urbana. In: Nuvolati, G., Tognetti Bordogna, M. (eds.) Salute, ambiente e qualità della vita nel contesto urbano. FrancoAngeli, Milano (2008) 17. “Territorio” n.33. Franco Angeli, Milano (2005)

Local Actions to Tackle Physical, Relational and Socio-cultural Isolation of an Internal Area in the Metropolitan City of Reggio Calabria in Italy Chiara Corazziere1(&) 1

and Marco Mareggi2

Dipartimento Pau, L.A.STRE. Lab, Università Mediterranea di Reggio Calabria, Reggio Calabria, Italy [email protected] 2 Dipartimento di Architettura e Studi Urbani, Politecnico di Milano, Milan, Italy [email protected]

Abstract. This contribution is part of the reflections for defining the Strategic Plan of the Metropolitan City of Reggio Calabria. The Metropolitan City has a dual character: it includes both urban areas and, almost in contradiction, quite extensive marginal areas. These are internal areas, according to the definition of the National Strategy for Internal Areas, SNAI. The homogeneous Grecanic area is located in this second group. For its characteristics of physical, social and cultural isolation, the Grecanic area, in fact, can certainly be placed among the marginal areas, as defined by the European Union: as areas rich in natural and cultural resources, with infrastructural problems and located far from the centers offering essential services, which are affected by socio-demographic and economic problems. The local awareness of the local peculiar conditions and the evidence recognized also at national level have pushed local and national actors to invest for its change. The contribution, therefore, highlights some intervention policies, which aim at progressively improving the habitability of this part of the Metropolitan City. It also critically reflects on how these policies can affect the wellbeing conditions of the inhabitants and, lastly, it hints at how the Strategic Plan could offer a contribution in this direction. Keywords: Internal areas


Metropolitan city
Wellbeing

1 Introduction This contribution is part of the reflections for defining the Strategic Plan of the Metropolitan City of Reggio Calabria1. The planning policy has the goal of triggering innovative socio-economic development processes while supporting the emergence of

1

This work is the product of a joint reflection among the authors. Section 1 and 3 are attributed to C. Corazziere. Section 2 and 4 are attributed to M. Mareggi.

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 327–336, 2021. https://doi.org/10.1007/978-3-030-48279-4_31

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the Metropolitan City as a new political and administrative body. The Metropolitan City is in fact a recently established institution (2017). The plan process was initiated in November 2019 when a Plan Office has been established, with a support offered by a group of experts (which the writers belong to). The planning process of 6–8 months refers to different parallel methodologies: 1) cycle of meetings in a number of localities; 2) thematic tables with the public, private and third sector actors; 3) thematic surveys on environment and sustainability, heritage and tourism, agriculture, territorial marketing; 4) Plan Office collects data, stakeholder contributions, ongoing policies and project, and 5) action-research for the different homogeneous areas carried on by each planning expert that investigates and defines strategies by different involvement and design tools (such as public meetings, working roundtable, one-by-one outreach). This phase will bring to define and share the ongoing planning process and the expectations which will be interpreted and declined in the Plan’s strategies, in relation to the specific features expressed by the five homogeneous zones (“zone omogenee”) into which the territory is divided: Stretto, Grecanic, Piana, Locride and Aspromonte homogeneous areas (Fig. 1). The Metropolitan City has a dual character: it includes both urban areas (the cities of Reggio Calabria, Gioia Tauro, Palmi, Locri) and, almost in contradiction, quite extensive marginal areas. These are internal areas, according to the definition of the National Strategy for Internal Areas, SNAI [1]. The homogeneous Grecanic area is located in this second group. In many ways, this dualism is challenging with respect to prospective and administrative management strategies. These require, on one hand, answering to the demands for competitiveness and development, while on the other, to provide a support for containing demographic decline and degrowth. The contribution underlines the characteristics of physical, social and cultural marginality of the Grecanic area, which have been characterizing it for a long time. It highlights some intervention policies, which aim at progressively improving the habitability of this part of the Metropolitan City. It critically reflects on how these policies can affect the wellbeing conditions of the inhabitants and, lastly, it hints at how the Strategic Plan could offer a contribution in this direction.

Fig. 1. Homogeneous areas of the metropolitan city of Reggio Calabria.

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2 Features of Marginality of the Grecanic Area The Grecanic Area corresponds to the territory, which from the top of Aspromonte slopes towards the south, until reaching the Ionian Sea. It has an orographic conformation made of segments, designed by the deep radial grooves of the rivers (“fiumare”). Bergamot and olive cultivations and vineyards as the valuable crops are favored by the local microclimate. In the hilly and mountainous part, the discreet infrastructural mobility framework is designed by a valley road system, which - with a sunburst not connected to the top rises the rivers from the sea upstream. This system is made of ancient sinuous paths, with poor maintenance and never being modernized. Along the coastline, the railway and the highway n. 106 join the rays to the sea, with a linear pattern. There is also a thin network of minor mule tracks and paths. Urban settlements of medium, small to very small size, are located along the infrastructural system. On the one hand, in hills and mountains there are quite compact villages. The urban layout and the modest built heritage have a strong historical connotation and they are characterized by few monuments. Here, there is a scarce number of basic public facilities: schools, if present, offer multi-level classes; healthcare is very limited or absent; public transport is almost non-existent. Some of these villages have become “ghost towns” mostly between 1951 and 1973, due to floods and hydrogeological instability. Inhabitants of some abandoned villages (new Roghudi and new Africo) were displaced to new little towns along the coast, far away from the village of origin (even 40 km). The “cultural” capital of the Grecanic area is Bova, where the museum of the Greek-Calabrian language is located. On the other hand, coastal urban centers are located along the road, the railway and the sea. These towns, called “marine”, are a sort of coastal projection of the internal mountainous villages (Fig. 2).

Fig. 2. A coastal town along the SS 106 and the railway line, and a bergamot cultivation at the mouth of river Palizzi (Image source: Bing Maps).

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This is a phenomenon that has been taking place for a long time, which increased in the mid-1900s and grew between the 70s and 80s. It produced poor quality building fabrics, even abusive, underused or still unfinished. To the east, Melito Porto Salvo is the main center with administrative functions for the entire area. Here, there is a hospital, which however risks to close. Nearby, in Saline Ioniche, large abandoned industrial buildings (Officine Grandi Riparazioni Ferroviarie) or already abandoned before their opening (Liquichimica) are concentrated along the coast. The demographic dynamics of the area show a clear tendency towards the decrease of the local resident population since 1951 (Fig. 3), which has persisted in recent years [2], with a consistent aging (26.91% residents being 65 and over), a low rate of children (0–14 years, 10.76%), while the population in working age (15–64 years) is equal to 62.33% (11,394) [3]. The mobility problems are accompanied by a scarce and in some cases absent provision of essential services, despite the per-capita expenditure on essential services being equal to or higher than the national average; this value is due to the need to allow services also in municipalities characterized by a reduced number of inhabitants. From the point of view of the healthcare system, in addition to the Melito Porto Salvo Hospital, there are 5 local polyclinics and a widespread service of medical guards, however absent in 3 mountain municipalities (Bova, Bagaladi, Bruzzano Zeffirio) with serious problems for local residents. Thus, in the internal villages the right to healthcare is not guaranteed, especially for citizens in difficult conditions and with limited mobility. Even the use of health and prevention care is limited in the area. Emergency services are also a problem. In fact, the time to reach these services in case of need are higher than the allowed thresholds: 43 min is the average time between the call to the operations center and the arrival of the emergency vehicle, while in Italy the average time is 21 min. Educational services provided by first level schools are also limited. Many classes are undersized (less than 15 pupils), especially in primary school, and there are many pluri-classes, mainly because in each community there are very few children for each school year, and this creates the impossibility to form classes. The poor conditions of the road system and the absence of quick and easy connections between the villages hinder the implementation of these services in cooperation among different municipalities and villages.

Fig. 3. The resident population in the Grecanic Area, read with ten-year censuses (Elaboration on ISTAT data).

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Even the higher educational offer is scarce and without any program able to answer to the vocations and professional needs of the local context. Thus, local economies too cannot take advantage of the skills acquired by the young generations for promoting and qualifying local productions. In fact, there are qualified agricultural economic sectors, which guarantee employment, such as: wine production (Palizzi wine), olive growing (concentrated in Bagaladi) for which a substantial renewal is necessary in order to make quality oils and bergamot. The last one is a local excellence and export sector; even the production of Reggio Calabria area is able to cover about 90% of the world market [2]. The whole agricultural sector is made up of small and very small farms, spread throughout the territory, mainly family-run or carried out as an integrative activity. Only in the case of bergamot production, farms have had the capacity to build a successful productive chain. In the area, there is also a tourist economy which is still limited even though qualified and with a good potential. It is a sector linked to the naturalistic and cultural characteristics of the area. The Grecanic territory, in fact, has a particularly significant cultural (archaeological, architectural, urban and naturalistic) potentials. In addition to the villages originated from the processes of perching from the Magno-Greek founded coastal centers inserted in contexts of great naturalistic-environmental interest, some features of cultural uniqueness linked to the material and immaterial sphere also characterize the area. The remains of the IV–VI century synagogue in Bova Marina belong to the first category, among the oldest in the Mediterranean, today the core of the Archeoderi Park. As an ancient minority language, the Greek-Calabrian belongs to the immaterial sphere, and it is protected. This is linked to the presence of Hellenophone linguistic islands (physically coinciding with the more inner villages), so ancient as to avoid to trace their origin, and almost completely disappeared [4]. This linguistic minority continues to correspond, however, to a precise system of meanings, symbols and uses tied to traditional techniques, procedures and rituals. These are firmly linked to the rural world and well represented in the Museum of the Greek-Calabrian Language in Bova (Fig. 4).

Fig. 4. Historic center of Bova, an Hellenophone linguistic island (Photo by M. Mareggi).

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The Grecanic culture, precisely because of its conservative nature, is characterized, finally, by an extremely widespread legacy, of few conventional monuments and many permanencies linked to manufacturing productions and to gender spaces, which are both urban and rural. A landscape in which communities continue to experiment and consolidate their identity [5], even with the dissolution of the linguistic binder [6], and despite the infrastructure deficiencies and the lack of management skills. For its characteristics of physical, social and cultural isolation above mentioned, the Grecanic area of the Metropolitan City of Reggio Calabria can certainly be placed among the marginal areas, as defined by the European Union [7]: as areas rich in natural and cultural resources, with infrastructural problems and located far from the centers offering essential services, which are affected by socio-demographic and economic problems [8].

3 Local and Exogenous Actions of Change The local awareness of the local peculiar conditions and the evidence recognized also at national level have pushed local and national actors to invest for its change. At the local level, for some decades, a number of interventions have been implemented in the area. Among these, the local development measures for rural areas, such as the actions promoted by the Local Action Groups (LAGs), which implement the Rural Development Plan, coordinated at regional level, and part of the European Leader actions [9]. This initiative, in addition to activating a first coordination between institutions and agricultural entrepreneurs, has favored actions for nature-based tourism and hospitality, such as integrative economy and rediscovery of cultural heritage assets and knowledge. At the national level, the Grecanic area has received funding from the SNAI project areas, precisely because of its poor accessibility and lack of basic school and healthcare services. This second approach seeks to coordinate and integrate actions aimed at curbing the current irreversible trend towards depopulation, abandonment, especially of new generations, of internal mountainous villages. These are different actions, promoted and financed by different actors and institutions, aimed at guaranteeing essential services and at enhancing nature, culture and agricultural productions. The actions envisaged relate precisely to mobility, education, health, agriculture, sustainable culture and nature-based tourism. With respect to mobility, regional and metropolitan resources will be oriented to construct a feasibility study, which has the aim to define the network of local internal roads for improving accessibility between mountain villages and of these with coast centers. The definition and implementation of an intermodal system of mixed public and private transport, also through a demand-responsive-transit system, with fleets of small vehicles, car sharing, carpooling and interchange hubs at some railway stations is also envisaged. Concerning education (Fig. 5), it is intended to gather in a few qualified schools educational activities for kindergarten, primary and secondary school in internal, barycentric, accessible and safe locations. Furthermore, for reactivating the schools in the Municipalities of Bova, Ferruzzano and Staiti, it is planned that these could become

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permanent training centers, with e-learning services. Lastly, it is foreseen to specialize a technical training institute in the agri-food chains (bergamot, olive and wine cultivation, zootechnics). Regarding the healthcare, the goal to qualify and guarantee basic health and outpatient specialist services would be achieved by: strengthening the medical guard service in internal villages, creating a network of medical facilities equipped as an access point to telemedicine and basic pharmacy services, flanked by community nurses, a mobile health station and a social taxi service to accompany the patients to specialist outpatient facilities. For solving the emergencies, it is intended to buy 2 medical ambulances and to build 2 platforms for helicopter rescue in internal villages located at a greater temporal distance from hospitals. Lastly, in addition to strengthening home care services for the elderly, it is considered necessary to set up one or more sheltered centers, with both residential and reception services for the elderly who are not self-sufficient. Concerning agriculture (Fig. 5), in order to increase the productivity and competitiveness of the local agri-food chains in the Grecanic area, it is needed to: develop the multifunctionality of farms, complete the supply chains, construct more effective business networks, create short food chains and proximity markets, support migrant agricultural workers and young farmers. Furthermore, it is foreseen to define a Plan of services for soil conservation and the protection of the local nature-based heritage, with a focus on fighting the forest fires. The proposal tackles sustainable cultural and naturalistic tourism by setting up actions for entrusting the inhabitants with a role of care and transmission of the heritage linked to Grecanic culture, according to a shared narrative and hospitality [10]. The local planning, in fact, is designed to contrast the marginal and poor accessibility conditions of the heritage, starting from consolidating the identity and innovating and qualifying the services. In this perspective, for example, the Cultural Hub of Greek Calabria is conceived as a virtual space for conserving the identity resources, and opening up opportunities to welcome those who want to move back to the villages but also new temporary cultural inhabitants, creative young people and immigrants.

Fig. 5. Bergamot and olive cultivations (Photo by M. Mareggi).

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Even the proposal of an Observatory of the Grecanic Landscape goes in the direction of restoring and protecting, raising the awareness and disseminating actions, which involve the entire local community. This is accompanied by the need to involve experts, scholars and researchers from different disciplines (anthropology, sociology, urban planning, landscape architecture) to support and monitor an effective program of ordinary and extraordinary maintenance of places. Finally, the construction of a Sustainable Tourist Destination of Greek Calabria aims to respond to a demand for green tourism with a proposal of qualitative excellence of the thematic, naturalistic and cultural itineraries, to be shared to local communities. This is achieved with a brand and an affiliation system between entrepreneurs who guarantee socially and ecologically responsible tourism services and products.

4 Conclusion How the actions envisaged by these policies can contribute to improve inhabitants’ well-being and health conditions and reduce their physical and socio-cultural isolation? The actions planned and still to be implemented are ambitious and take on a perspective that tends to contain emigration and activate a process of “return” (“ritornanza”) [11], by improving the offer of basic services, also with challenging and innovative actions such as telemedicine services in mountain villages, or e-learning stations or traditional ones, such as air ambulance, which however require investments and a change in management culture. Therefore, with respect to wellness, health and education, the proposed policies seem to advance useful actions, although they do not address the issue of the possible closure of the local hospital. The loss of this facility, even if located along the coast, weakens the possibility by local citizens of accessing qualified and needed health services for the whole area. As regards the actions aimed at promoting the reduction of physical isolation, it can be recognized that the prospect of reactivating some kind of connections between mountain villages and decreasing travel times between the mountainous areas and the coast is positive, above all because these actions seem to be consistent with regional and metropolitan city financial plans. Furthermore, it is useful to point out that these initiatives do not envisage the construction of new large mobility infrastructures. Rather, the proposals are able to adhere to these territories with low building and housing density and in respect to the geo-morphological structure (Fig. 6). With respect to the actions aimed at promoting the reduction of socio-cultural isolation, the proposals seem to denote an efficacy, which is strongly dependent on the success of the actions linked to the physical accessibility, the specific and competitive professional training of the future territorial actors, the offer of efficient health services also for tourists. On the contrary, the actions related to the consolidation and innovation process of identity resources are characterized by a greater degree of autonomy, also because they involve, first of all, the local communities, but according to programs with medium and long-term results.

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The planning referred to cultural assets in a productive sense appears to be highly blurred compared to the actions aimed instead at tackling the nature-based tourism. In this area, this second one does not intercept the heritage issues. The Metropolitan Strategic Plan takes on these projects and actions at different scales and it seems to be directed towards: – the enhancement of the excellent agriculture sectors, bergamot first and foremost, as an employment opportunity; – the consolidation of interventions on mobility infrastructures in a logic of strengthening the overall metropolitan structure, attentive to hydrogeological and seismic risk; – the interpretation of the naturalistic and cultural heritage in a productive sense, so that the heritage (conventional in conditions of fragility and diffused) becomes a cultural product of a socio-economic process which involves public and private actors and expresses its attractive potential; – the recognition as heritage of unconventional assets and landscapes which belong to a recent past, such as disused production plants and confiscated assets; – the qualification of professional education, the coordination of public and private training institutions and a financial supports to the start-up of new entrepreneurship. The marginal condition of the Grecanic area does not have to be understood as a status linked exclusively to accessibility problems, or to the physical and socio-cultural degradation. The investments in the area have been substantial, where there is a good planning capacity, which does not always find effective implementation. The stimulus

Fig. 6. A low housing density area with poor quality and unfinished building fabrics along the Amendolea river (Photo by M. Mareggi).

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of convergent policies, at local and national level, which is also accompanied by the contribution of the Strategic Plan, can become an opportunity to foster a conscious coordination capable of affecting this context for defining better well-being conditions and for generating attractive economic values for new communities. Indeed, the Strategic plan can help in this perspective, because it is a public process of convergence of different public and private aims and policies. Its implementation forecasts to draw from financial resources of private sectors and different institutions. The contribution of Metropolitan cities will be in three directions. Direct management of few skills (i.g. metropolitan mobility) and coordination of multi partner initiatives will be essential. In addition to the first and second directions, the simultaneous processes of definition of the Strategic Plan and identification of 2021–2027 European financial goals allows the Metropolitan City to seize opportunity able to guarantee economic feasibility of its projects, and, perhaps, to suggest investment addresses to regional and European institutions.

References 1. UVAL, Unità di valutazione degli investimenti pubblici: Strategia nazionale per le Aree Interne: definizione, obiettivi, strumenti e governance. Materiali Uval, no. 31, Roma (2014) 2. Piano di Azione Locale Area Grecanica 2014–2020 (2016). http://www.galareagrecanica.it/ pal. Accessed 13 Dec 2019 3. Strategia nazionale per le aree interne, Area grecanica. Strategia d’area (2019). http://www. galareagrecanica.it/aree-interne. Accessed 21 Dec 2019 4. Rohlfs, G.: La Grecità in Calabria. In: Archivio Storico di Calabria e Lucania, II, pp. 405– 425 (1932) 5. Priore, R.: Convenzione Europea del Paesaggio. Centro stampa d’Ateneo, Reggio Calabria (2006) 6. Teti, V.: Il senso dei luoghi. Memoria e storia dei paesi abbandonati. Donzelli Editore, Roma (2014) 7. Dax, T.: The redefinition of Europe’s less favoured areas. In: 3rd Annual Conference, Rural Development in Europe, Funding European Rural Development in 2007–2013, Londra, 15– 16 November 2005 (2005) 8. Osti, G.: The unbalanced welfare of italian fragile rural areas. In: Grabski-Kieron, U., Mose, I., Reichert-Schick, A., Steinführer, A. (eds.) European Rural Peripheries Revalued: Governance, Actors, Impacts, pp. 69–70. LIT, Berlin (2016) 9. Lulesch, R., Schuh, B.: We get to share it. the legacy of leader. In: Aa, V. (ed.) Leader achievements: a diversity of territorial experience, Leader+ European conference documents, Évora, Portugal, 22–23 November 2007 (2007) 10. Giancotti, P.: Filoxenia. L’accoglienza dei Greci di Calabria. Rubbettino, Soveria Mannelli (2016) 11. Teti, V.: Quel che resta. L’Italia dei paesi, tra abbandoni e ritorni. Donzelli, Roma (2017)

Towards Healthy Cities – Three Key Issues Massimo Zupi(&) and Pierfrancesco Celani Università della Calabria, 87036 Rende, Italy [email protected]

Abstract. The article analyses the role of urban and environmental planning in the promotion of actions that improve the health and wellbeing of citizens. The first section describes the crucial action made by WHO through the “Healthy Cities” movement. The central part includes a reflection on the critical aspects connected to the renewed allegiance of urban planning and health and wellbeing promotion, identifying three major issues behind the success of this approach. The first issue complies with the importance of improving environmental comfort as an answer to the negative effects of climate change. The second one is the use of technology in the enhancement of public spaces in terms of performance and use. The last one concentrates on the importance of assessment and the necessity of not stifling it between numbers and determinism. In conclusion, two important aspects of this methodology are highlighted: the role of communities and the tactical approach. Keywords: Healthy Cities


Urban planning
Tactical approach

1 Introduction The reflection on the role of urban and environmental planning in promoting actions that improve the health and wellbeing of citizens brings us back to the origins of urban planning. Issues concerning hygiene of cities and the situation of workers [1] generated by the industrial revolution (combined to the second urban revolution) are among the reasons of the rise of urban planning that, in those years [2], started wondering about the technical requirements of healthier and “more equal” cities. Although apparently trite, this point perfectly underlines the connection between health, wealth, city organization and the quality of living spaces. Nonetheless, since 1948, WHO has been associating the concept of salubrity to the absence of illnesses but also to the complete physical, mental and social health of the individual. Subsequently, urban planning needs to research ways to use the land able to promote this condition of wellbeing, since the design of functions and spaces directly affect the lifestyle of urban population. The definition of the relation between human health, sustainability and climate change appears more complex. For example, the results of climate change affect the health of populations, requiring specific adaptation strategies that increase the sustainability of a center, and enhance comfort and wellbeing of citizens. In other words, sustainability (or its absence environmentally and socially) defines the conditions of population ageing, the © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 337–345, 2021. https://doi.org/10.1007/978-3-030-48279-4_32

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increasing of chronic diseases and the bearing of social pathologies such as stress, isolation, sense of expulsion, creating necessities and emergencies that make the economic sustainability of cities more expensive. Therefore, strategies oriented towards sustainable development, the ones aiming to the adaptation to climate change and those pointing at the promotion of health and wellbeing need to be connected. This kind of approach aims at focusing the building process of a city around human being and its needs, deeply binding the new words of urban planning – regeneration, adaptation, resilience – to the wishes of citizens. As a result, there is a renewed commitment to convert the generic desire of a healthier city to more concrete regeneration models and procedures, to be shared and repeated with the manifest objective to make urban environment more livable, sustainable and attractive. This type of approach comes out from the ongoing experiences of the “Healthy Cities” network, in which new ways of organizing spaces, composing urban shape, and intending the relation between environment and landscape [3] are being experimented.

2 The “Healthy Cities” Movement Healthy Cities is a worldwide network supported by the WHO that, over the past 30 years (since 1988), is aiming to bringing health at the top of the social, economic and political agenda of those who govern the cities. Through this timespan, about 100 guiding cities have been engaged and around 30 national networks have been created (approximately 1400 municipalities in all). The network’s activities are organized on a 5 years cycle, during which objectives and priorities change. For example, phase I (1988–1992) was centered on the building of national networks; during phase III (1998–2002), the core activity was the development of a community and regeneration ventures, encouraging cities to adopt monitoring and evaluation approaches; the priorities of phase IV (2003–2008) were sustainable development and participatory and democratic governance. Phase VII (2019–2024) is now underway. Copenhagen’s “Consensus of Mayor”1 has defined priorities, adopting the content of “Health 2020”, ONU’s Sustainable development 2030 Agenda, and the thirteenth WHO’s General Work Program. In particular, Health 2020 [5] is the political strategic framework for the twenty-first century adopted by the European Countries members of WHO, in September 2012. Health 2020 recognizes explicitly that the urban environment affects health and acknowledges the position of the Healthy Cities and national networks as promoters of the objectives and topics of this European strategy. Health 2020 also accredits the key role of local governments as leaders in the growth of health. The two strategic objectives of Health 2020 are: • improving health for everyone and reducing healthcare disparity; • enhancing leadership and participative governance for health. 1

WHO European Healthy Cities Summit of Mayors, 12–13 February 2018, Copenhagen, Denmark [4].

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On the other hand, ONU’s 2030 Agenda for sustainable development [6], officially started in 2016, is structured in 17 objectives, called Sustainable Development Goals (SDGs), divided in 169 targets. Objective number 3 directly refers to health and wellbeing. However, for the first time, SDGs acquire a universal character based on the integration of the three dimensions of sustainability (environmental, social and economic). In Particular, SDG 11, named “Sustainable Cities and Communities”, aims at making cities more inclusive, safe, resilient and sustainable, reducing the negative effects of environmental impacts. Consistent with these approaches, phase VIII of the development of the Healthy Cities considers three general objectives: • Promoting health and wellbeing for everyone and reducing healthcare disparity; • Strengthening governance for health and wellbeing on a national, regional and global level; • Supporting the implementation of WHO’s strategic priorities. The strategic approach able to pursue the objectives above should consider the following actions: improve governance, empowerment and participation; design urban spaces that pledge equity and prosperity of a community; innovate policies and practices; share knowledge and learning; assure coherence of local policies; promote health and wellbeing through municipal administrations; build unity on all governance levels. It is clear how WHO, through the Healthy Cities movement, has expressed the belief that the way urban space is organized directly affects the health and wellbeing of citizens. Moreover, there is the awareness that health and quality of life are strictly connected to the physical and social backgrounds of a city, requiring necessarily the active involvement of local communities.

3 Limitations and Criticalities - Three Issues to Be Studied In the context of this renewed allegiance between urban planning and policies promoting health and wellbeing, some risks and key elements need to be developed2. As for the risks, two strictly connected issues prevail among others, such a deep correlation that tending to one or the other could have strongly negative effects. On one side, there is the necessity to push away the risk to give up to short-term visions based on punctual actions. Public health, environment and urban planning policies are still separated in many European States, also from a central government funding point of view. It would be convenient to embrace an integrated approach, contemplating in a more organic way all the aspects of health and quality of public spaces, through a large-scale strategy that could guarantee the possibility of using more effectively the economic resources coming from different sources. 2

The considerations in this paragraph derive from ongoing research projects: Par. 3.1 – Proposal H2020 Seneca (Integrated System for the resilience Enhancement of European Cultural Assets); Par. 3.2 – PON Cogito (a Cognitive dynamic system to allow buildings to learn and adapt); Par. 3.3 – “Smart Tevere project” financed by the TIM Foundation.

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Nevertheless, we need to avoid confusing different levels. When “wellbeing” becomes an all-inclusive category, in which we can find everything and its opposite, it becomes a meaningless buzzword, as already happened to words like sustainability and resilience. Too often, we easily overlap concepts as sustainability, resilience, wellbeing and urban hygiene. The risk of confusing environmental instances with social ones (they often meet, but are hard to identify) impinges operatively in the mistake of confusing devices to redistribute spatial wealth with those to reduce and adapt to climate changes. As a matter of fact, too often “salubrity” and wellbeing are not that easily achievable by everyone and therefore, gentrification processes hide behind the eco-neighborhood formula [7]. By identifying the possible intersections between the different objectives (health and sustainability, wellbeing and resilience), possible synergic actions can be highlighted. From this point of view, three relevant fields of action can be identified: reducing the effects of climate change in an urban environment; designing and managing the open spaces of a city; the topic of evaluation. 3.1

Mitigation Measures for the Effects of Climate Change

The relationship between global warming and urbanization (since CO2 production is one of the causes of the rise of temperatures and that the 75% ca. of it is produced by cities) and between the effects of climate changes and impacts on health (heat waves, bad water quality, extreme meteorological events) have risen attention on the need to arrange mitigation and adaptation actions, mostly in urban contexts. In the settled practice, there are instruments like Adaptation to climate change Plans, scarcely used so far, that present a fair amount of solutions applicable at the neighborhood scale or in single urban spaces. The necessity of an urban transition to a more sustainable management is now a worldwide issue. Among its most important objectives, UCCRN - Urban Climate Change Research Network3 gives priority to the urgency of cities to understand their vulnerability to climate change and, therefore, to implement adaptive solutions. Several factors have an effect in making urban environment particularly vulnerable to climate changes. For example, supply systems and the use cycles of water in cities can be hindered by negative meteorological conditions. The increasing of drought and rain can affect water quality, requiring the intervention of innovative systems of managing water infrastructures on different scales. Water cycle is not the only system to be affected by climate change: energy, transportation and public healthcare systems could collapse because of climate changes. For example, the increasing of heat waves during the summertime results in a bigger request of energy because of the high use of air conditioning [8]. After all, in recent years, cities have adopted different strategies to reduce the emissions of public transportation through the creation of cycling and pedestrian paths and by

3

(http://uccrn.org).

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increasing the quality of public transportation, but also through regulation instruments and pricing policies aiming at reducing the number of circulating private vehicles. In fact, urban environment is a complex system in which climate changes affect different sectors in a broad way. Therefore, it is essential that a knowledge process of the territory supports local administrations in a cross, multi-layer way [9], dealing with different topics [10]: • Sociality, including problems of inclusion, multi-culturality, creativity and innovative services; • Sustainability and climate change mitigation, investigating energetic and environmental performances of urban systems through the study of microclimate and through the energetic balance at the neighbourhood level; • Resilience and adaptation to climate change; • Emerging technologies, to reach a larger number of people with improved services that can be personalized, on topics like energy saving and resources consumption; • Resources and ecology. 3.2

The Common Spaces of the City

The management of open urban spaces represents the central issue of city governance. Nowadays, the topic of “living the city” does not correspond with “living the house”, it mostly concerns a collective dimension, the systems of relation spaces that meditate between residence, working place and public buildings. Starting from the relation between built and open spaces and considering the climate issue as the most relevant contribution to urban wellbeing, the design of uses and functions, the satisfying of accessibility and livability requirements become the main objectives. Besides, these spaces need to be able to adapt to new boundary conditions determined by the ageing of population (latest statistics foresee that, in 2025, only 23 provinces of Italy will have positive balances, and mostly in the North). From this point of view, great help can come from technology and the recovery of the real nature of the smart city approach, that means practicing an “enabling” action for citizens, by specifically improving the performances of open spaces. To design an open smart space we need to concentrate on the relationship between the inhabitant and the context. The interventions on these spaces need to work as a complex mechanical system and, through ICT, they need to mediate the relation of urban environment and the user. This aspect is essential when the objective to pursue is not only respecting the requirements of livability and environmental comfort, but also easing the functioning of these spaces, improving the traditional interaction of the inhabitant and the physical and social environment. Environment, space, technology and use dynamics need to be weaved together to create spaces that promote a continuous exchange between the city and its citizens, the place and technology [11]. With this in mind, one of the principal challenges is to promote external intelligent spaces that become more sustainable through an efficient use of energy and social resources. Livability, safety, socialization and accessibility need to be the paradigms behind the creation of 2.0 public spaces.

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A conscious use of technology together with a careful design make an empty urban space become a welcoming place, improving life quality through those recreational or relaxing activities that are indispensable to enhance the physical and mental health of the inhabitants. Uncomfortable and unwelcoming, and therefore unsafe, places will be exclusively used for primary needs (going to work, catching public transportation, etc.) excluding all types of leisure activities [12]. For this reason, environmental wellbeing conditions are essential to incentivize people to use a space. The more conditions are positive, the more a space will be used and will contribute to develop that sense of belonging that is fundamental for the livability of a city [13]. In the same way, safety needs to be an essential attribute for an open space because it supports the presence of users and their social interaction: safety of a public space is proportional to its attractiveness. Safety is not only intended in a physical sense, it needs to consider the entire conditions that prevent a user from being in harmony with a space, creating a sense of bewilderment [14]. If safety is an essential requirement for all potential users, it becomes even more important for weak classes of people (the elderly above all) that are in constant risk of social exclusion and isolation. In addition to increasing safety, social interactions are fundamental for giving a meaning to these places, in which one can express cultural diversity, relax and move, see and be seen, or simply remain anonymous [15]. Technology and digital devices improve communication among users and enable a creative participation, becoming a useful instrument to simulate scenarios to increase attractiveness of public spaces [16]. The scrolling of info/data, requiring high-performing technology networks, sum up with individuals and objects that transform the today’s city in a space of fluxes [17]. Therefore, accessibility acquires a more complex meaning: on one side the geographic-spatial accessibility that refers to the possibility of accessing to the places of the city; on the other, social accessibility that concerns the concept of equality to the possibility of connection; and finally the physical-ergonomic accessibility that means being free to move and physically permeate the entire system of urban spaces and services. Accessibility intended as the integration of project, technology and requirements (that could also be very specific), guarantees the total usability of open urban spaces. In closing, by putting together all the ideas above, it is possible to achieve a definition of open smart and sustainable space. A place where technology and attention to climate change blend with the possibilities granted by real-time and sensors that are able to acquire an in depth knowledge of an urban system and its complexity, in which citizens become “prosumers” of the city [18]. 3.3

The Assessment Topic

The assessment of the impacts that urban planning can have on people’s health and on their quality of life is entrusted to specific instruments in many Countries. Very rarely these instruments are mandatory or integrated with ordinary planning tools.

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These instruments usually come under the name of HIA (Health Impact Assessment), although many different procedures exist. The original definition comes from the Gothenburg consensus paper [19]: “A combination of procedures, methods and tools by which a policy, program or project may be judged as to its potential effects on the health of a population, and the distribution of those effects within the population”. Other significant definitions are as follows: • “Assessment of the change in health risk reasonably attributable to a project, program or policy and undertaken for a specific purpose” [20]. • “A structured method for assessing and improving the health consequences of projects and policies in the non-health sector. It is a multidisciplinary process combining a range of qualitative and quantitative evidence in a decision making framework” [21]. As concerns more operative approaches, the main case study is the city of London that is practicing ways to integrate health aspects within urban planning tools already for many years [22]. In 2008, London’s “Healthy Urban Development Unit” (HUDU) published the “Watch Out for Health guide” which outlines a checklist to examine how urban development actions directly affect or influence health. Afterwards, this list was implemented and experimented in several HIA procedures until, in 2017, HUDU published the “Healthy Urban Planning Checklist”. This checklist connects some specific urban planning topics (healthy homes; active movement; healthy environment; lively neighborhoods) with all the health problems that depend on these topics (mental illnesses connected to social isolation and fear of crime; obesity and cardiovascular problems deriving from idleness; heart and lung diseases linked to bad air quality; disparity accessing services and healthcare). Moreover, to simplify the work of administrators and specialists, an assessment form has been developed to quickly evaluate the probable impacts of urban planning instruments and urban regeneration programs on man’s health. Lastly, the Health Economic Assessment Tool (HEAT) is able to evaluate how the increasing of urban quality can improve health and how it can be quantified in terms of economic profit. Once its framework has been explained, HIA appears essential in helping the integration of urban planning and health. However, in our country, the introduction of a new instrument appears not recommended because of the existence of other two tools, the Valutazione Ambientale Strategica (VAS) and the Valutazione di Sostenibilità Ambientale e Territoriale (ValSAT) [23]. There are essentially two reasons why: on one hand, it appears inappropriate to add a new instrument that could represent an additional rise of procedure time and costs; on the other, it could be perceived in a reductionist logic, becoming substantially ineffective, exactly like the two existing instruments. If anything, it would be much more useful to unify the assessment procedures by reducing the marker set, also with a more qualitative reading (without drawing from big data) able to keep a more direct relationship with real problems.

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4 Conclusions Over the past years, WHO is incentivizing on field experiments to overcome the rhetoric behind policies promoting urban health and wellbeing. This has been stimulating many actions and proposals (resilient, sustainable, and adaptive, the label has little relevance) aiming to satisfy the needs of a community in terms of impact of urban transformations on people’s health and wellbeing. In this paper, there are some of the potential risks and some key factors that need to be developed. By contrast, a last consideration concerns two methodology issues. The first question is the weight of local communities as principal actors, because it represents the foundation of the social sustainability (present and future) and the resilience of a project. From this point of view, experimental forms of urban planning bottom-up are becoming more frequent, with the involvement of civil society that directly takes care of the open spaces of a city. These practices are bringing back local community as co-manager, co-designer and co-producer of these urban spaces. All these experiences are guided by the context in which they take place, to avoid narrow and ineffective generalizations. These practices are often combined with guidelines and instruments designated to give to technical departments and designers directions rather than sever rules. A second issue, deeply linked to the first, concerns the promotion of the tactical action and temporality of the exercise of urban planning. The intersection and integration of those complementary objectives written above (health and sustainability, wellbeing and resilience), requires time and complex procedures. While this complex strategy starts giving its effects, planners can use tactical actions (temporary use of spaces, civic participation of inhabitants) that can contribute to give people faith, awareness, and sense of belonging [24]. In conclusion, the field of action that concerns the different aspects of health and wellbeing seems the right place to experiment the incremental planning model that, without claiming to foresee the future [25], could be able to successfully deal with growing levels of complexity.

References 1. Engels, F.: Die Lage der arbeitenden Klasse in England. Lipsia (1845) 2. Cerdà, I.: Teoria general de la urbanización. Imprensa Espanola, Madrid (1867) 3. D’onofrio, R., Trusiani, E.: Urban Planning for Healthy European Cities. Springer, Heidelberg (2018) 4. AA.VV.: Copenhagen Consensus of Mayors. Healthier and happier cities for all (2018) 5. AA.VV.: Health 2020. A European policy framework and strategy for the 21st century (2013) 6. AA.VV.: Evidence and resources to act on health inequities, social determinants and meet the SDGs (2019) 7. Talia, M.: Salute e equità sono questione urbanistiche. http://casadellacultura.it/883/salute-eequit-agrave-sono-questioni-urbanistiche. Accessed 31 Jan 2020

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8. Mishra, V., Ganguly, A.R., Nijssen, B., Lettenmaier, D.P.: Changes in observed climate extremes in global urban areas. Environ. Res. Letters 10, 1–10 (2015) 9. Gaspari, J., Boulanger, S., Antonini, E.: Multi-layered design strategies to adopt smart districts as urban regeneration enablers. Int. J. Sustain. Dev. Plan. 12(08), 1247–1259 (2017) 10. Marcatili, M., Boulanger, S., Cazzola, A., Giordano, S., Marzialetti, J.: Rigenerazione di seconda generazione. In: REBUS, REnovation of public Building and Urban Spaces, no. 6 (2018) 11. Del Signore, M., Riether, G.: Urban Machines. Public Space in a Digital Culture. LISt Lab, Trento (2018) 12. Brownlee, T., Cesario, E.: Temporaneità nell’uso dello spazio pubblico. In: Ottone, F., Cocci Grifoni, R. (eds.) Tecnologie Urbane. Costruito e non costruito per la configurazione degli spazi aperti, pp. 122–131. LISt Lab, Trento (2017) 13. Dessì, V.: Progettare il comfort degli spazi pubblici. In: REBUS, REnovation of Public Building and Urban Spaces, no. 8 (2018) 14. Lynch, K.: L’immagine della città. Marsilio, Venezia (1960) 15. Ward, T.C.: Urban open space in the 21st century. Lands. Urban Plan. 60(2), 59–72 (2002) 16. Bocci, M., Marcheggiani, E., Smaniotto Costa, C., Šuklje-Erjavec, I.: Il futuro dello spazio pubblico: quando reale e virtuale si fondono. In: Acer, no. 3/2017, pp. 85–89 (2017) 17. Castells, M.: La città delle reti. Marsilio, Venezia (2004) 18. Carrà N.: Luoghi accessibili per una città che cambia. Planum J. Urban. (2/2012) (2012) 19. AA.VV.: Gothenburg consensus paper. Health Impact Assessment: main concepts and suggested approach. Bruxells (1999) 20. Birley, M.: The Health Impact Assessment of Development Projects. HMSO, London (1995) 21. Lock, K.: Health impact assessment. BMJ 320, 1395–1398 (2000) 22. Pellegrino, P.: Pianificando una città sana: i casi di Londra e Bristol. Urbanistica Informazioni 272(s.i.), 751–756 (2017) 23. Gabellini, P.: Resilience and welfare reform. In: D’onofrio, R., Trusiani, E. (eds.) Urban Planning for Healthy European Cities. Springer, Heidelberg (2018) 24. Talia, M.: Verso un nuovo paradigma di governo del territorio. In: Talia, M. (ed.) Un nuovo ciclo della pianificazione urbanistica tra tattica e strategia. Planum, Milano (2016) 25. Blecic, I., Cecchini, A.: Verso una pianificazione antifragile. Come pensare al futuro senza prevederlo. Franco Angeli, Milano (2016)

The City of Well-Being. The Social Responsibility of Urban Planning Concetta Fallanca(&) PAU Department, Mediterranean University of Reggio Calabria, Reggio Calabria, Italy [email protected]

Abstract. The paper proposes a reflection on the role of urban and environmental planning in promoting actions to improve the health and well-being of the life of the inhabitants for a sustainable, safe, healthy and socially inclusive city. The methodological reflection will be based on the principles and methods of reference to orient the Urban Master Plan towards more health-friendly urban models and specific experiments of measures, urban projects, operational and programmatic tools and on the evaluation of the achieved performance effectiveness. Through the experiences gained by the European “Healthy Cities” movement and by some Italian cities that were characterised by urban quality, resilience, eco-sustainability and active public health promotion policies, it is possible to understand the most appropriate methods for a full and conscious involvement of local communities in the contribution linked to the progressive improvement towards a city of well-being. The specific interest concerns sustainable mobility, the connectivity of urban ecological networks, the climatic well-being of the urban organism, the conformation of common spaces suitable for a high architectural, urban and relational quality. These themes are indicative of the search for a progressive improvement of life in resilient and safe cities that present interesting and engaging places to counteract the urban “ailments” favored by poor physical, relational and socio-cultural isolation. The scale of reflection addresses the connections with the territory, capturing the different scenarios and planning potentials between the central, consolidated and “completed” areas of the cities and the peripheral areas usually deficient in common spaces, services and connections. Keywords: Urban regeneration


Safety assessment
Public health

1 Progressive Improvement in Resilient and Safe Cities The aim is to address the indicative themes of the search for a progressive improvement of living in resilient and safe cities that present interesting and engaging places to counter the urban “malaise” favoured by scarce physical activity, relational and sociocultural isolation. How lifestyles have changed, how quickly and how paradoxical it seems that the problem of sedentariness and over-abundance of food exists, at least in a large part of the so-called “Western world” can be understood by comparing the available data on the world’s urban population, which in the space of 120 years has gone from 10% in © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 346–355, 2021. https://doi.org/10.1007/978-3-030-48279-4_33

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1900 to 55% today. The damage of inactivity is now well established [1] as it is amply demonstrated that neighbourhoods, urban spaces that allow people to be lived as they should be, walking in cosy spaces, away from polluting sources and on draining surfaces, with grass, shrubs, trees, create healthier communities in spirit and bodies. The project of the city as a whole and its spaces has a demonstrated value for public health, not so much in terms of extending life expectancy but in ensuring the possibility of having an active and self-sufficient life for a greater number of years lived and being able to prevent illnesses and addictions, thus emancipating public health spending in favour of, for example, public spending on culture [2, 3]. The fact that the cities were moving away from the well-being of the human being could be felt from a thousand clues, one for all of them experienced first hand in Amman, the impossibility of reaching the city by walking through central and spatially close parts, and being forced to do so by car, because “the connective” was in any case occupied by the vehicular flow. Some signals remained isolated, Le Corbusier already in the 1960s observes that cities have become “deserts of stones and bitumen”, that “in noise and boredom, the conditions of nature are abolished, forgotten” that commuting hours are lost “at the expense of collective life” [4]. Particularly in our country were the years in which these themes could not have taken hold, the centrality was aimed at the construction of new neighborhoods, public housing, there was a desire for everything, for every good and comfort to compensate for the privations of the first half of the century. These were the years of accelerated, physical, social and cultural transformations and our country, like other Mediterranean countries, was measured by a difficult modernity. It opened the way to a concept of a State “arbiter and guarantor of respect for the law, rather than an institution at the service of moral values”, a sort of citizenship with limited responsibility emerged: “an idea of negative citizenship based on the conviction that the duty of citizens is not to do their best in pursuing the common good, but to pay attention to rules that do not provide for a personal civic commitment” [5]. Even when the issues of redistribution and ethical value of the re-search of support through a new attention to welfare are reaffirmed, the interventions and the fallout mainly concern the sphere of “social” support, of individual help, neglecting actions, plans, realizations that improve the physical and relational structures of a city, raising the quality of life of citizens, as if welfare could be “disengaged from its materiality” [6]. A city project that can give substance to the concept of wellbeing, that can concretely create a system of places of encounter, living spaces, modes of connections and cultures of living, in order to give back forms, materials and organizations to the overall scope also developed by other policies and other “social disciplines” to “give a physical, concrete, visible dimension to the search for wellbeing and freedom” [7].

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2 The Role of Urban Planning Between Creativity and Social Responsibility It seems increasingly urgent to start a serious reflection on the role of urban and environmental planning in promoting actions to improve the health and well-being of the inhabitants’ lives for a sustainable, safe, healthy and socially inclusive city. The inspiring principle of isonomy [8] should be sought in every political action, understood as the right to an equal share for all citizens, a value introduced in Athens already at the end of the sixth century. The “equal” part should be understood as equal conditions in terms of opportunities, in the broadest sense understood by Amartya Sen, as the possibility of expressing one’s potential and capacity in a society governed by an economic policy solidly founded on ethical principles. A right to the fullness of life experience that adds to the “right to the city”, Lefebvre’s disruptive lesson that still seems so topical today. The right to the city is written by a mature and consciously utopian scholar who “imagines a revolution to give rise to a new society, one that goes beyond capitalism and is characterized by a humanism capable of building a new city”. According to Luigi Mazza he had decided to “imagine the impossible to understand the range of what might be possible” [5]. In support of these values, an important role is played by urban planning, which, as Ivan Blecic recalls, “has a sense of being precisely because of its redistributive function” [9]. A redistributive function that obviously goes well beyond the “urban annuity” but which involves all the aspects that contribute to making living easy and satisfying, in an interpretation of urban well-being that today must take into account the “cultures of living” and the expectations of “those who frequent public spaces and therefore the cultural, social and ethnic differences, the time that these people spend in places” [10]. The rights to the city are enucleated by Lefevre with an essentiality always valid for the contemporary city: “the right to information; to expression; to culture; to identity in difference (and equality of opportunity); to self-management” [5]. These rights can only be expressed through “qualified places” and appropriate from the point of view of centrality, to the point of concluding “that the right to the city is a right to the centre”. A centre understood as the identity “heart” of the city, but which can also be understood as consistent with the proposal of a city of cities, with each district with its own centre connected to the centre of the entire organism indicated in the project path of the multicentre city method proposed by Christopher Alexander. This model can only be functional if one creates and maintains spatial “fluidity” between the parts and that continuity in “the form of a real and symbolic link that allows to overcome spatial fragmentation, and to connect centre and periphery” to allow a full sharing “of the qualities and opportunities that the centre offers”. Mazza recalls the need for symbolic continuity because “the center may be spatially close but may be so different as to be distant or even psychologically unattainable”. It is a symbolic link with a unique and appropriate DNA, composed of memory, history, events, fabrics and monuments. Since “the process of secularization and migrations have led to the formation of societies characterized by a growing diversity of moral beliefs” that no longer makes “notions such as community, common good, collective interest, freedom, property,

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individual and social well-being” univocal, only a secular state that also knows how to be an ethical state “can produce the presuppositions of value on which to base and legitimize its action” considering this a patrimony of all citizens for the construction of a new civic solidarity [5]. Think only of the origins and success of New York, one of the cities that more than others is investing in public health issues, which “soon became a very tolerant center, open to many faiths, and a great center of cooperation between people from the most diverse origins” [11]. The social value of welfare policies can be understood in the outcomes of the relationship created between public intervention and the city’s locations, “on the ways in which the spatial articulation of the city contributes or does not contribute to the well-being of its inhabitants”. For a long time the State has positioned itself “as the natural guarantor of basic needs” [12]. But the current forms of devaluation of the State impose other criteria to build the physical dimension of welfare, the collective dimension of the contemporary city, which of course is not only represented by social housing, by that type of “public city” of housing districts [13]. The systems that create “quality perception” are those dedicated to mobility, health, education and those aimed at the proper functioning of the city’s metabolism, water services, sewage, sustainable waste disposal. However, those which, more than others, increase the feeling of urban well-being are the natural elements which make up the ecosystem services system and which, more than others, influence the determinants of health. In this regard, Francesco Indovina recalls that Patrick Geddes is among the first to open up the relationship between the city and nature and to improve the possibilities of accessing them because it is useful: “the small workshops thus evacuated could be demolished and give way to open spaces, with great advantage for health, for the happiness of children and therefore for the city’s economy and productivity, which would quickly repay the city for the entire cost of the operation” [14]. For urban planning it is time to resume a somewhat interrupted research, that of transforming the complex of old and new acquisitions on the concept of welfare into “form”, into “surface”, into “volume”, in substance tangible and passable and liveable as an “urban scene”. It is necessary to recover centrality in the political and programmatic agendas of every level in order to reconnect to other disciplines such as social, health and solidarity policies that have carried forward over the years the concepts of “rebalancing”, of basic rights and of the “redistribution of opportunities” in a balance towards an enjoyable urban well-being, in space and substance [15].

3 The Urban Master Plan Towards More Health-Friendly Urban Models The methodological reflection will be based on the principles and methods of reference to orient the Urban Master Plan towards more health-friendly urban models and specific experiments of measures, urban projects, operational and programmatic tools and on the evaluation of the achieved performance effectiveness. Through the experiences gained by the European “Healthy Cities” movement and by some Italian cities that were characterised by urban quality, resilience, eco-sustainability and active public

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health promotion policies, it is possible to understand the most appropriate methods for a full and conscious involvement of local communities in the contribution linked to the progressive improvement towards a city of well-being.

Fig. 1. The city of Brussels has been able to direct its planning choices in an approach aimed at sustainability, achieving a high urban quality due to the presence of parks structured in an urban ecosystem network connected to the broad ecological network (C. Fallanca 2019).

Brussels is among the cities designated to the WHO European Network of Healthy Cities for the implementation of Phase VI (2014–2018) aimed at strengthening innovative actions for local public health and overall well-being [16]. Brussels can be considered exemplary in this respect (Fig. 1), it is a city that at some point in its history, without clamour, has planned its set-up in a genuine concept of sustainability, with continuity, conviction and perseverance. It has a real urban ecological network with tree-lined streets that connect gardens, parks, woods with the heart of the city represented by the largest pedestrian precinct in Europe that has within it the park of Brussels, the so-called Royal Park. The Forest of Soignes finds its natural extension with the Forest of the Cambre, a large urban park connected to the city from Avenue Louise in a system rich in naturalness that dates back to the origins of Brussels, when it was built in a green bend of a canal of the Senne. The concept of sustainable development is an integral one, it concerns the use of water, waste treatment with composting and “repair” workshops and recycling, efficient public mobility, attention to progressive improvement through the stimulation of eco-labelling for restaurants and accommodation facilities. Examples of rigorous paths of construction of a protocol of principles, methods, actions on the promotion of the city built prohealth can be recalled by the body of Bergamo’s guidelines by the hygiene and public health service on urban planning and by the integrated path between planning and public health thinking in Emilia Romagna.

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In 2019 the Bergamo Health Protection Agency was assigned the coordination of the project “Urban Health: good practices for the health impact assessment of urban and environmental regeneration and regeneration interventions”. In this field of interest, already in 2007 the Bergamo Public Health and Hygiene Service published the guidelines for the preliminary examination, evaluation and expression of observations on Urban and Territorial Planning. The interest of this document, which could be considered already dated due to the speed with which this type of issues evolve, lies in the completeness of its treatment of the aspects of interest (presence of radon gas in high concentrations, contaminated sites, concentrations of air pollutants, noise pollution, prevention of radiation and electromagnetic pollution, geological risk prevention, hydrogeological and seismic, waste disposal, presence of establishments at risk of major accidents) and especially in the guidelines offered for pro-health mobility, attention to the correlation between microclimate, urban green areas, tree species, quality of the urban environment and for the maintenance of large open and draining areas arranged in green areas for the reduction of impermeable surfaces. An aspect of great interest concerns the “recommendations” regarding water availability with the forecast of rainwater collection and accumulation systems for nondrinking uses and the constitution of separate networks, rainwater and black water that would allow (in the medium-long term) to “have a network of only black water, without possible overflows that can be activated through the flood dischargers with negative consequences also of hygienic-sanitary order” in the case of meteoric events of particular importance. But the “dual” network would allow to have rainwater to be used for irrigation purposes after a simple decantation. Particularly useful in hot and arid climates where the maintenance of green areas requires frequent irrigation, especially in the long summer period. A more recent document of great interest is the Strategy for urban and ecologicalenvironmental quality and environmental and territorial sustainability assessment of the General Urban Plan, published as a Technical Coordination Act Artt. 18 and 34 Regional Law of Emilia Romagna. n. 24/2017 (Regional regulations on land use and protection). It indicates, as one of the main “functional systems” of the General Urban Plan (PUG) to be interpreted and evaluated, the “Well-being psycho-physical environment” that “involves a complex of aspects that condition the quality of life of the community” that cannot be “represented only by the physical-environmental data of the components to which they refer (air quality, acoustic environment), but also by synthesis indicators able to give an overall judgement on the livability of an urban area to maintain and implement the social heritage of the community. And then, among the objectives, “the improvement of the urban metabolism and the promotion of the circular economy” is fully included. In addition to reducing soil consumption and waterproofing, the aims include improving urban comfort and climate change mitigation and adaptation, recognising and safeguarding ecosystem services and qualifying environmental components. The document recalls that ecosystem services are “the multiple benefits provided by ecosystems to humankind as free services offered to human life and other species and evidence of the extent and speed of their degradation” (definition taken from the Millennium Ecosystem Assessment, 2005).

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The great innovations for the elaboration of the Urban Strategy of the WYP [17] concern the recognition of the relationships between urban ecosystem services and territorial ecosystem networks aimed at better interpreting that fundamental green infrastructure to be implemented with the “use of natural dynamisms or on the integration between artificial measures (grey) and natural dynamisms (green or blue). Also in this case, the reflection could be said to be already mature with the Regional Prevention Plan of Emilia Romagna of 2005, which introduced the close correlation between the characteristics of the built environment and the urban organism with the health conditions of the communities, subsequently better specified by the regional prevention plan for the three-year period 2015–19. A last brief mention to the paths carried out by the Mediterranean University of Reggio Calabria integrating teaching, research and third mission [18], in alliance between urban knowledge and health, with the ACE laboratory - Medicina Solidale, addressing these issues from the point of view of sustainable mobility [19, 20], testing methods of correlation between the quality of neighborhoods and psychophysical conditions of communities [21], in the activities accompanying the procedures that have led Calabrian cities towards the concepts of the “healthy city” (Samo of Calabria) and specific projects capable of transforming a large former abandoned military area to return a public park to densely populated suburbs [22].

4 Some Reflections to Conclude What Alexander called timeless quality is partly due to the stratification of experience but is also the result of a wise direction that guided the formation of parts of the city to safeguard what Piero Bevilacqua called “civil beauty”. The city of Siena, but the same was true for Spoleto, Catania, Syracuse, Vicenza, Sassari, “bound with meticulous prescriptions the behavior of citizens for the respect of urban decorum, for example imposing the construction of mullioned windows, considered light and elegant, to the buildings that came to face the Piazza del Campo [23]. The system of Bologna’s porticoes, now a candidate for recognition as a UNESCO World Heritage Site, with its urban network of 38 km and a further 15 km outside the city connecting San Luca, is the splendid legacy of the imposition initiated by the Municipality of Bologna in 1288, which obliged the owners to build the new buildings with the portico in continuity with the existing fabric [23]. Each city interpreted its own micro-climatic conditions and adapted its construction and organizational systems to counteract the peculiar phenomena, think of the staggered walls near the urban gates of Gallipoli to prevent the break-in of winds in winter storms. Cities today are confronted with the problem of heat islands, with the difficulty of offering conditions of climatic well-being due to excess “anthropization”. Urban planning must make a serious contribution to a chain of problems that makes life in the city “tiring”. There are paradoxes that should be overcome because it can’t make sense to lead a daily life in absolute sedentariness and then have to compensate with “forced” and “artificial” physical exercise often carried out in closed environments. Every city must find its own way to renew an act of friendship with its inhabitants, even with absolutely original routes. There are urban anomalies that have become extraordinary

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characteristics. If Toronto faces the harsh winter climate with its “underground city” that allows for a double life waiting to rise to the surface at the arrival of the first tepors of spring, so Antwerp, the city without bridges, connects with the other side of the Scheldt through the tunnel of Sant’Anna, exclusively pedestrian and bicycle path that offers “shelter” for the entire route. And again San Francisco with its outdoor gyms, with the transformation of public areas into real fitness courts is allied to the welfare of its citizens and these initiatives have made it a manifesto of progress. Urban planning, innovations in cities should be aimed at creating the effects of “a real revelation: that of past and present interest, of the inexhaustible possibilities inherent in the scenes of social life that are offered to its eyes every day, and also of their real or latent beauty” [24]. At the basis of all the choices is the system of natural elements that forms the environmental connective of the city. This is a fundamental social and ecological theme; we are well aware that urban and territorial planning must contribute to progressively improve urban resilience towards the search for a climate and wellness planning. More and more “cities are introducing the issue of climate change into their urban policies: New York, Chicago, Toronto, Stuttgart, Vienna, London, Padua, Bologna, drawing up voluntary planning tools (climate plans, adaptation plans, sustainable energy plans)” [25]. It is therefore necessary to rethink the existing city, trying to transform the drifts into new, more coherent structures, remedying the “overinvestment” that has occurred in “congress centres, stadiums, amusement parks and shopping centres” that has led “to the devaluation of the values contained in urban space” [26]. What modern town planning can do for public health, Cederna had already proposed, citing the “Woods” of Amsterdam, the “large public park created from nothing since the 1930s, the most beautiful nature possible, free and equipped” [27]. Today it is necessary to work on the existing city, to recreate places of encounter and naturalness, to make everyday life interesting, to rediscover the squares, avenues, parks, to maintain the essential and useful aspects of private mobility, investing intelligently towards integrated public mobility, to give back centrality to the citizen who moves, body and soul, in urban spaces. It is a matter of seeking a high register of the tones of design, remembering that Aristotle defined the city as the place where people live a common life for a noble purpose [28]. Urban planning has a great responsibility towards the city and the communities that imposes an interpretation of the issues in an ecosystemic key for an innovative approach that leads to the conception of the naturalistic environmental system as an authentic “breath”, indispensable to the life of the urban organism.

References 1. Welfare, Italia, Laboratorio per le politiche sociali, Rapporto 2019 Think Thank “Welfare, Italia”. Unipol, The European House Ambrosetti (2019) 2. D’onofrio, R., Trusiani, E.: Città, salute e benessere. Nuovi percorsi per l’urbanistica. Franco Angeli/Urbanistica, Milano (2017)

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3. Marmot, M.: La salute disuguale. La sfida di un mondo ingiusto. Il Pensiero Scientifico Editore, Roma (2016) 4. Corbusier, L.: L’urbanistica dei tre insediamenti umani. Edizioni di Comunità, Milano (1961) 5. Mazza, L.: Spazio e cittadinanza. Politica e governo del territorio. Donzelli Editore, Roma (2015) 6. Pasqui, G.: Urbanistica oggi, Piccolo lessico critico, p. 139. Donzelli Editore, Saggine (2017) 7. Secchi, B.: La città del ventesimo secolo. Laterza, Bari (2005) 8. Greco, E.: La città greca antica. Istituzioni, società e forme urbane, p. 21. Donzelli Editore, Roma (1999) 9. Blecic, I.: Lo scandalo urbanistico 50 anni dopo. Sguardi e orizzonti sulla proposta di riforma di Fiorentino Sullo. Franco Angeli, Milan (2017) 10. Cecchini, A.: Riorganizzare il patrimonio abitativo Due visioni radicali, inattuali e utili. In: Blecic, I. (ed.) Lo scandalo urbanistico 50 anni dopo. Sguardi e orizzonti sulla proposta di riforma di Fiorentino Sullo, p. 138. Franco Angeli, Milan (2017) 11. Gottmann J.: Megalopoli. Funzioni e relazioni di una pluricittà, vol. Secondo, p. 944. Giulio Einaudi Editore, Torino (1970) 12. Tosi, M.C., Munarin, S.: Officina Welfare Space, Spazi del welfare, Esperienze, luoghi, pratiche. Quodlibet, Macerata (2011) 13. Paola, D.B.: Città pubbliche. Linee guida per la riqualificazione urbana. Bruno Mondadori, Milano (2009) 14. Indovina, F.: Ordine e disordine nella città contemporanea, p. 50. Franco Angeli, Milan (2017) 15. Secchi, B.: La città dei ricchi e la città dei poveri. Laterza, Bari (2013) 16. WHO Regional Office for Europe (2013), Phase VI (2014–2018) of the WHO European Healthy Cities Network: goals and requirements. http://www.euro.who.int/__data/assets/ pdf_file/0017/244403/Phase-VI-20142018-of-the-WHO-European-Healthy-Cities-Networkgoals-andrequirements-Eng.pdf. Accessed 12 Jan 2020 17. Diversity, Equality and Inclusion Strategy - West Yorkshire Police, Governance Arrangements and Response to: The NPCC Diversity, Equality and Inclusion Strategy (2018– 2025). https://www.westyorkshire.police.uk/sites/default/files/2019-06/diversity_equality_and_ inclusion_strategy_200519_final.pdf. Accessed 12 Jan 2020 18. Fallanca C.: Didattica, ricerca e terza missione per lo sviluppo sostenibile delle città, delle comunità, del territorio: Supplemento di ArcHistoR 6/2019, ISSN 2384–8898 19. Fallanca, C.: La valorizzazione del patrimonio urbano attraverso modelli di mobilità sostenibile. Iiriti Editore, Reggio Calabria (2013). ISBN 978-88-6494-123-3 20. Taccone, A.: La ciclabile costiera della Città Metropolitana di Reggio Calabria. In: Atti della XXI Conferenza Nazionale SIU. Confini, movimenti, luoghi. Politiche e progetti per città e territori in transizione, Firenze, 6–8 giugno 2018, pp. 129–134. Planum pubisher, RomaMilano (2019). ISBN: 9788899237172 21. Errigo, A.. Fostering neighbourhood advantage for health. Implications and guidelines for urban regeneration. International Doctorate program. Urban Regeneration and Economic Development (URED). In: Tutor Caserta, C. (ed.) Fondazione per la medicina Solidale, Pellaro Reggio Calabria e Fallanca C. Dipartimento Patrimonio, Architettura, Urbanistica (PAU), Università degli Studi Mediterranea, Reggio Calabria (2019)

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22. Taccone, A., Fallanca, C., Carrà, N.: La polveriera di Ciccarello da area militare a parco urbano della Città Metropolitana di Reggio Calabria. Vincolo, opportunità, progetto. In: Fiorino, Military landscapes. scenari per il futuro del patrimonio militare. Un confronto internazionale in occasione del 150° anniversario della dismissione delle piazzeforti militari in Italia, vol. 1, pp. 214–215. Skira Editore, Milano (2017). ISBN: 978-88-572-3674-2 23. Bevilacqua, P.: Felicità d’Italia. Paesaggio, arte, musica, cibo, p. 84. Editori Laterza, BariRoma (2017) 24. Geddes, P.: Città in evoluzione, p. 356. Il Saggiatore, Milan (1970) 25. Musco, F., Fregolent, L.: Pianificazione urbanistica e clima urbano. Manuale per la riduzione dei fenomeni di isola di calore urbano. Il Poligrafico, Padova (2014) 26. Harvey, D.: L’esperienza urbana, Metropoli e trasformazioni sociali. Il saggiatore, Milano (1998) 27. Cederna, A.: La diserzione della letteratura, in Com’è bella la città, p. 148. Edizioni Stampatori, Torino (1977) 28. Unwin, R.: La pratica della progettazione urbana, p. 23. Il saggiatore, Milano (1992)

Public Facilities: A Fragile, Yet Crucial Capital for Urban Regeneration Cristiana Mattioli(&) DAStU, Politecnico di Milano, 20133 Milan, Italy [email protected]

Abstract. The paper aims to discuss the crucial role of existing public facilities and areas in processes of urban regeneration. Public facilities and spaces (schools, sports, cultural and health centres, public parks and playgrounds) form a crucial collective infrastructure that drove urbanization processes in the past, while contributing on the construction of universal citizenship. They are widespread, albeit maintaining profound differences and heterogeneities concerning physical consistency, spatial distribution, state of maintenance, management forms. Indeed, the first operation consists of identifying possible situations (geographies) of the condition of welfare spaces in Italy. In particular, the paper debates the situations in which public facilities are already abundant and consolidated, yet inadequate to contemporary requirements/needs. The second part of the paper discusses the plural notion of ‘territorial fragility’ related to public facilities located in ‘intermediate’ and metropolitan territories. Finally, moving from realized urban projects and policies, the last part of the paper proposes to consider public facilities as a strategical element in urban regeneration interventions, on an urban and architectural scale. Keywords: Public facilities


Urban regeneration
Territorial fragility

1 Four Different ‘Geographies’ of Welfare Territories in Italy Public facilities and spaces (schools, sports, cultural and health centres, public parks and playgrounds) form a crucial collective infrastructure [1] that drove urbanization processes in the past [2], while contributing in the construction of universal citizenship. They represent an important part of the identity of the European contemporary city and are very diffused, albeit maintaining profound differences and heterogeneities for what concerns physical consistency, spatial distribution, state of maintenance, management forms [3]. Moreover, they are today under pressure due to welfare state redefinition and contraction [4]. Limiting the field of study to Italy, it is possible to identify at least four different geographies in relation to public facility conditions, their spaces and urban configurations. This subdivision is obviously reductive in regard to the large variety of local situations, but it can be assumed as a possible starting point for better understanding emerging questions and issues.

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 356–365, 2021. https://doi.org/10.1007/978-3-030-48279-4_34

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The first geography considers the role of public facilities in ‘fragile’ territories, namely marginal, rural places that have been ‘left behind’ and excluded from economic development and globalization (Fig. 1) [5]. ‘Fragile’ refers here to social and environmental elements of marginal areas, which are characterized by demographic ageing and depopulation, hydrogeological risk, isolation, abandonment, depletion, scarce participation of local inhabitants. Recently, these territories have been extensively studied thanks to the National Strategy for Inner Areas [6], a territorial cohesion and development policy addressed to the increase of place habitability. The policy defined an indicator for marginality moving from citizenship rights, by classifying Italian municipalities according to the presence of essential services (mobility, school, wealth) and the distance from main poles. Thus, public facilities play a key role in the definition and delimitation of peripheral places since people opportunities and civil gap depend on their accessibility (measured through travel time). Inner areas cover an extensive territory (60% of national surface) and have a population of 13 million inhabitants. In these territories the main issue relates to the contraction of existing public facilities, which are no longer sustainable due to population loss, ageing and low residential density. Other connected topics are the abandonment and underuse of public buildings, the deficit of digital connectivity, the need for service innovation (in the form of community welfare, home care or digital services) and the aggregation of facilities on intermunicipal basis. Even if this last option is often based on the necessity of assuring more efficient and high-quality services, citizens tend to defend existing facilities (small schools, hospitals, etc.), frightened by welfare cuts [7]. Generally speaking, innovation in the welfare sector is crucial to make marginal areas more attractive for young people and families and invert current, negative trends. What is needed is a shift in paradigm that moves from pro-retired unbalanced system to social investment, one that can indeed represent a precondition to local development [8]. New competences and alliances are needed to offer adequate and customized services that cannot always be provided by public institutions [9]. New forms of bottomup welfare service, based on mutualism, proximity and community, often linked to environmental defence and integration of immigrants, emerge [10] and demand institutional support and experimentation. These innovations are certainly tailored for local contexts but can also offer elements of reflection on more general changes, which involve also central areas.

Fig. 1. S. Marcello Pistoiese (PT – Appennine). The local school is part of the network ‘INDIRE Piccole scuole’, which sustains small schools located in marginal areas. Source: Google 2019.

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The second geography is related to public facility lack and deprivation. It comprises some territories already included in the ‘inner areas’ definition – which are not exclusively related to mountain areas, but also to industrial countryside and coastal, touristic districts, where residence is temporary and few services for inhabitants exist [11] – and other, different places, like metropolitan peripheries and informal settlements (Fig. 2), in particular in the cities of Southern regions [12]. In this case, the issue is more traditional: to create new facilities and public services, especially in critical urban contexts. Actually, in many situations the territorial planning system has already planned to provide services but has not yet done so, leaving vacant those areas that should have been equipped with new facilities [13]. In others, where unauthorized houses have been built, welfare services have never been designed. However, in case of remission, these areas became part of the city, posing issues of citizenship rights. On the contrary, in peripheral public neighbourhoods, services have been put at the centre of interventions, but they are often obsolete, if not closed. In some cases, the condition of existing buildings requires a complete substitution, not necessarily in the same place.

Fig. 2. Borgata Centroni (RM). A primary school of big dimensions stands in the centre of one of the informal settlements built in the periphery of Rome. Source: Google 2019.

The third and fourth geographies are more diffuse than the ones mentioned above as they include the territories in which public facilities are already abundant and consolidated, yet inadequate to contemporary requirements/needs. In this sense, public facilities become – or can become in next few years – themselves a ‘fragile’ and critical legacy. We are speaking here about metropolitan cities and belts (third geography) (Fig. 3), as well as mid-sized cities and diffused urbanizations, which represent a kind of ‘in-between territories’ or ‘fringe zones’ between central and inner areas (fourth geography) (Fig. 4). Even if urban processes can show similarities and welfare spaces are changing in both situations, metropolitan and big cities reveal higher level of territorial and social polarizations [14]. Also, a series of specific policies and reuse strategies have already been put in place in many metropolitan contexts. Conversely, the national urban agenda still disregards ‘in-between territories’, in particular in diffused configurations, even if this portion of Italy comprises 50% of land surface and around 35% of national population. The paper treats these last geographies from two specific standpoints: a spatial perspective that reflects on material consistency and identifies different dimensions of physical ‘fragility’; matters related to socio-economic, cultural changes and institutional organization that request policy innovations.

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Fig. 3. San Donato Milanese (MI). The huge complex of high schools is inserted in the first-belt urban context of Milan metropolitan area. Source: Google 2019.

Fig. 4. Quinto di Treviso (TV). The introvert character of a mid-school located between diffuse urbanization and countryside. Source: Google 2019.

2 The ‘Fragile’ Dimensions of Public Facilities in ‘Intermediate’ and Metropolitan Territories Besides the above-mentioned differences, ‘intermediate’ and metropolitan territories are both particularly related to existing facilities and to the issues of their improvement, adaptation, transformation, according to new needs and demands. Indeed, the diffuse and rich welfare legacy located in urban contexts can be intended as a crucial fixed social capital, from which to move in the process of urban reform and regeneration, offering better services to citizens – at least because it involves public-owned resources –. Different conditions of material fragility emerge in relation to existing facilities. Nonetheless, it is important to underline since the beginning the fact that competences and lines of funding are still kept distinct and addressed only to some topics (manly of technical kind). Building Fragility. In times of public resource scarcity, it becomes more and more difficult to maintain the entire social infrastructure [15], not to mention its technical adaptation to more recent legislation. Existing facilities are thus more and more affected by processes of obsolescence and energetic-seismic inefficiency. Recent national policies have tried to tackle this emergency, but they remain sectorial and focused on specific kind of facilities. Specific programs have been put in place in particular for school spaces: the governmental program #Scuole Sicure (Safe Schools) (2013) allocated 400 millions € for the maintenance of scholastic buildings; the #Scuole nuove (New Schools) program (2014–2015) funded the construction of new buildings and the

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complete renovation of existing ones for 244 millions €; the #Scuole antisismiche (Seismic Schools) program (2015) made 40 million € available for interventions of infrastructural and anti-seismic upgrading. Use Fragility. An increasing number of public facilities are today abandoned or underused. It happens in marginal territories where the demand lacks, but also in urban contexts. For the above-mentioned reasons, some buildings cannot be repaired and updated; also, as a consequence of processes of selection and sectorial hierarchization, some others are closed, waiting for a valorisation that today is more and more uncertain. The success and diffusion of reuse initiatives, promoted by administrations, institutions, as well as citizens and non-profit associations, reshape the relationship between public, private and community, and test new juridical instruments and procedures (co-design, co-management, free loan, temporary use, etc.). Even if this kind of soft interventions especially concern the internal reconfiguration of buildings, they can trigger new urban practices and make low-cost spaces available for fragile subjects [16]. In addition, many public areas dedicated to facilities (standard) have not been realized yet, leaving lands vacant. They form a crucial land capital for local administrations and represent important opportunities for the future of the city. Design Fragility. The spatial dimension of welfare has often been considered merely for its ‘volumetric value’. In ordinary realizations, buildings are no more than a ‘box’ that has to be filled with functions and services. In some periods, the role of architectural project has been thus limited to the reproduction of fixed types, chosen from a catalogue. It is indeed quite easy to find the same facilities – sometimes designed by important architects or institutions – located in different places, with which it establishes few relationships. Even today some competitions – such as the recent one for the #Scuole Innovative (Innovative Schools) announced by MIUR (2016) – give few elements of knowledge of the urban site, resulting in decontextualized projects that focus on technological and spatial quality at best. Relational Fragility. If we consider a more comprehensive notion of ‘welfare’ that concerns the ‘well-being’ of people [17, 18], we can assume a range of spaces wider than public facilities, namely urban spaces of public interest, such as squares, streets, etc. In fact, some authors [19] have coined the term ‘urban welfare’ or ‘new welfare’ to indicate the capacity of an urban and territorial system to supply citizens with an appropriate level of well-being through the offer of facilities and spaces of collective interests, accessible to all. In this sense, the whole city can be considered a welfare system and the notion of ‘welfare’ must be redefined: it is not only related to the presence of services and facilities, but also to the general quality of urban context. If it is missed, daily urban space can become ‘hard to use’ [20] as services appear to be disorganized, disconnected, inaccessible. Indeed, even when the quality of existing facilities is high, they often remain very inward-looking, showing poor relationships with urban spaces of proximity (parking and green areas, streets, environmental systems) and neighbourhoods.

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Functional, Social and Environmental Fragility. Existing facilities and services are also subjected to radical social, economic and environmental changes. Climate and demographic changes, migrations, family and work reconfiguration, urban mobility are just some of the issues that impact on their design, definition and management. On many occasions, service provision and spaces are today inadequate to respond to the new needs of citizens and city users and require functional and dimensional redefinitions in order to actively participate in the construction of a more sustainable, resilient, healthy and inclusive city. Or, they may reproduce social inequalities and foster processes of segregation and exclusion. As for environmental issues, an important topic is related to ecological equipment. Open spaces are no more intended only as leisure and sport areas, but also for their capability of improving urban microclimate and air, as well as draining rain waters. Also, if we look to social dimension new demands emerge. In particular, a crucial issue is related to situations of vulnerability, related to work insecurity and exclusion [21]. The crisis has severely hit the middle class, worsening the life conditions of many people [22]. If social policies are used to answer questions related to poverty (defined through experienced indicators), these new kinds of needs challenge traditional policies and instruments. First of all, it is more difficult to intercept them as, in many cases, people feel ashamed to ask for help. Many situations are indeed borderline and blurred, outside known categories. Emergent issues thus ask for new kind of services and spaces (such as collective workplaces) and the definition of new (sustainable) forms of management, which highlight the necessity to involve also private and third sector subjects in the welfare offer. The different dimensions of fragility are not separated, but rather bound tightly to causes and possible responses. The aforementioned considerations question sectorial and spatial separation, fostering not only a new relationship between urban project and social policies, but also the hybrid and flexible configuration of public facilities and spaces. However, the implementation of such integrated projects and policies seems hindered by current institutional fragmentation of public bodies. Not only are the same facilities managed by different administrative sectors – e.g. the school building and the school garden are managed by different offices –, but the redefinition of services and facilities requires a transversal dialogue inside the municipality, potentially involving all the different departments (not only social and urban sectors, but also mobility, cultural, environmental and economic ones) since material welfare reform comprises interventions on a variety of urban materials, at different scales, as well as innovations in service provision and management. The integrated treatment of these spaces can thus foster institutional cooperation and innovation, and a more effective use of national and European resources.

3 Public Facilities and Urban Regeneration Public facilities can play a crucial role in urban regeneration strategies, on different scales [23, 24]. Considered on a building scale, public facilities (such as schools, but also libraries, sport facilities, medical stations) can become trigger points for urban regeneration, if

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intended as ‘neighbourhood centralities’. Such a perspective can allow the intensification of facilities use by making them work all day long thanks to multifunctional configurations. Thus, maintenance work needs to overcome issues of performance and technical compliance, offering the opportunity to transform and innovate typologies and spaces [25], making them more flexible and inclusive in regard to users and programs. The pilot project ‘Torino fa scuola’ launched in 2014 worked on two existing middle schools and defined a process that can be replicated in other situations, focusing on the importance of modern pedagogy principles in the school spaces renovation [26]. Another important issue is related to the necessity to strengthen openness and connection between public facilities and nearby public spaces through the rethinking of open, green spaces [27] or the insertion of facilities in wider systems of public space. As for the first point, it is worth mentioning the project ‘Cortili scolastici aperti’ led since 2013 by ITER in Turin, where some schoolyards have been redesigned with children participation and are now used as public gardens outside school hours (Fig. 5) [28]. Or the similar ‘Project Oasis’, an integrated plan aimed to open Paris schoolyards and to convert them into distributed, local ‘islands of cool’, which could welcome vulnerable people during heatwaves [29]. This second project clearly shows that qualified and innovated services and facilities can have effects on the nearby private residential stock, especially if it is affected by depreciation and underuse; in particular, the improvement of the quantity of vegetation and well-draining soil can turn public facilities to ecosystem services, offering green areas to neighbourhoods and communities. Concerning the second approach, the project for a running track in Olot (Spain), designed by RCR, clearly shows that spatial separation is not always needed and sport facilities – even the most specialised – can be located in the middle of public, green, open space, making them easily accessible and producing great landscape quality [30].

Fig. 5. Turin (TO). Drovetti school, one of the realizations of the project ‘Cortili scolastici aperti’. Source: Google 2019.

On the urban scale, the rich and capillary distribution of public facilities must be valorised for its capacity to be an essential infrastructure for promoting citizenship, health and security. It is thus crucial to go beyond the punctual localization of services and create a wider ‘urban weft’ made by public building and areas – used, abandoned and unrealized –, public open spaces and places of public mobility (collective mobility, cycle and walking systems) (Fig. 6) [31]. To make these places actually become the

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starting points of more extended strategies and projects of urban regeneration and wellbeing, while reinforcing their role as spaces of social encounter and cohesion, it is necessary to focus on what Bernardo Secchi called ‘the project of the ground’ – what holds together building, land and open space; a continuous sequence of public spaces that can eventually allow soft and collective mobility – and insert the social infrastructure in broader urban and natural networks [32]. According to this vision, the project works on a continuous system of connectivity to allow, in particular, the autonomous mobility of fragile users, such as elderly people and children [33]. More in general, the network can contribute in fighting social polarisation and inequality by providing a better living space to citizens and offering them concrete opportunities. Moreover, this local network would promote a more healthy and sustainable way of life and guide urban reform and design. Welfare network might be therefore assumed as a general framework of reference for the reactivation of abandoned buildings and the realization of new public facilities or spaces in unrealized standard areas, as well as for partial and incremental actions of urban reform. Indeed, on an ‘intermediate urban scale’ interventions might be coherent to general vision and appropriate to local needs and resources. Concrete realizations are few, but this approach to urban project has been extensively explored by many academic researches through workshops, courses and thesis [34, 35].

Fig. 6. Modena (MO). The system of slow mobility, public facilities and spaces that surrounds Amendola park, in the Southern part of the city. Source: Google 2019.

‘Fragile’ welfare spaces can thus effectively turn into ‘strategic’ elements that allow the definition of new, intersectoral welfare policies and extended, integrated actions of urban and environmental regeneration. Acknowledgments. This research was supported by DAStU Excellence Project ‘Territorial Fragilities’. I thank my supervisors, professors Cristina Renzoni and Paola Savoldi, as well as all the members of the Scientific Committee and the other postdoc fellows who provided precious suggestions, insight and expertise that greatly improved the work and the manuscript.

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Cities Towards … Sustainability The Critical Issues, the Challenges, the Lines of Action Francesco Alessandria(&) Sapienza University of Rome, Piazzale Aldo Moro 5, 00185 Rome, Italy [email protected],[email protected] Abstract. In the contemporary debate on the “sustainable city” and above all in the political and governance repercussions, the existing technical possibilities to counteract the problems of the cities (pollution, congestion, diseconomies, immigration …) continue to be highlighted. The challenge underway since the mid-1980s is to maintain the characterizing functions in urban centers without compromising the environment and quality of life, not only for current inhabitants, but above all for future generations. To do this, it is necessary to reduce traffic, pollution, optimize the use of resources, guarantee access to services to different categories of users, ensure that there is the possibility of residence, job mobility, security. In essence, building an inclusive city. The indicators make a great contribution and a decisive boost to sustainability thanks to technology. The cities of the future are now designed as large hyperconnected ecosystems, dotted with sensors and devices capable of collecting and processing a huge amount of data necessary for the services to be provided. Big Data presents itself as the beating heart of the smart city and can contribute enormously to the management of the main urban criticalities, from traffic to security. Keywords: Sustainable


Citizen
Technology

1 The Contemporary City and Critical Issues In the contemporary debate on the “sustainable city” and above all in the political and governance repercussions, the existing technical possibilities to counteract the problems of the cities (pollution, congestion, diseconomies, immigration …) continue to be highlighted. Environmentalists have indirectly dealt with cities and the urban environment … but unfortunately there is still an absence of awareness of the relationship between the degradation process of the environment and inadequate urban and territorial planning [1–3]. Cities have been known to be centers of ideas for human activities since they were founded. Trade, culture, science, productivity and social development found their place in them. And it is possible to say that, from the industrial revolution onwards, cities have allowed the inhabitants to improve their social and economic status [4]. However, the improvement in the quality of individual life was not parallel to the quality of collective life. Indeed, as individual quality improved, collective quality deteriorated. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 366–372, 2021. https://doi.org/10.1007/978-3-030-48279-4_35

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In particular, this was manifested above all in large urban areas, which later became metropolitan areas and more recently metropolitan cities with precise administrative identities [5].

2 The Challenge and the Current Situation The challenge underway since the mid-1980s is to maintain the characterizing functions in urban centers without compromising the environment [6, 7], not only for current inhabitants, but, above all, for future generations [8, 9]. To do this it is necessary to reduce traffic, pollution, optimize the use of resources, guarantee access to services to the various categories of users, ensure that there is the possibility of residence, job mobility, security. Basically, in a word, an inclusive city [10, 11]. Today, of the 7 billion inhabitants on planet Earth, half (3.5 billion) live in cities. It is estimated that by 2030, almost 60% of the world’s population will live in urban areas and that 95% of urban sprawl will occur in developing countries. Currently 828 million people live in slums, and the number is constantly increasing Cities occupy only 3% of the Earth’s surface, but consume 60–80% of the available resources and are responsible for 75% of carbon emissions.

3 The Proposals of the Decision Makers The problem is known to the decision makers of the earth [12] and for this purpose the general assembly of the united nations, in 2015, adopted the resolution concerning: Transforming our world: the 2030 Agenda for Sustainable Development: in the body of the resolution are a series of points to be added by 2030 [13] have been indicated. Among these: among these: • guaranteeing everyone access to adequate, safe and convenient accommodation and basic services and requalifying poor neighborhoods; • guaranteeing everyone access to a safe, convenient, accessible and sustainable transport system, improving road safety, in particular by enhancing public transport, with particular attention to the needs of those who are most vulnerable, women and children, people with disabilities and the elderly; • enhance inclusive and sustainable urbanization and the ability to plan and manage a participatory, integrated and sustainable human settlement in all countries; • strengthen efforts to protect and safeguard the world’s cultural and natural heritage; • significantly reduce the number of deaths and the number of people affected and substantially decrease the direct economic losses compared to the global gross domestic product caused by disasters, including those related to water, with particular regard to the protection of the poor and most vulnerable people; • reduce the per capita negative environmental impact of cities, paying particular attention to air quality and the management of municipal and other wastes; • provide universal access to safe, inclusive and accessible green and public spaces, in particular for women, children, the elderly and the disabled;

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• support the positive economic, social and environmental links between urban, periurban and rural areas by strengthening national and regional development planning; • increase, before 2030, the number of cities and human settlements that adopt and implement integrated policies and plans aimed at inclusion, resource efficiency, mitigation and adaptation to climate change, disaster resistance, and that promote and implement holistic disaster risk management on all levels, in line with the Sendai Framework for Disaster Risk Reduction 2015–2030; • Support the least developed countries, also with technical and financial assistance, in building sustainable and resilient buildings using local materials.

4 How to Turn Statements into … Implementations The statements must be followed by operating procedures. The indicators show a great contribution and a decisive boost to sustainability thanks to technology [14, 15]. The cities of the future are now designed as large hyper-connected ecosystems [16], dotted with sensors and devices capable of collecting and processing a huge amount of data necessary for the services to be provided. Big Data present themselves as the beating heart of the smart city and can contribute enormously to the management of the main urban criticalities, from traffic to security [17]. An infrastructure based on the Internet of things is already being used in Amsterdam to monitor traffic in real time and limit harmful emissions to health. Barcelona uses a similar system for integrated water, lighting and parking management. In Los Angeles, new waste management policies have managed to reduce areas classified as uncleaned by 80%. Great innovations are expected in the transport sector. Self-driving cars, electric and shared mobility (cars, scooters and bike sharing), environmental sensors, parking lots, intelligent traffic lights and street lighting will fill the streets of the cities of the future. Increasingly digitized and efficient energy systems will allow to increase the use of solar and wind power, favoring the development of increasingly widespread, decentralized and zero-emission networks. The contribution of urban planning and the method of architectural design are fundamental [18, 19]. More green spaces will help free cities from smog and keep the air clean, while the energy efficiency applied to construction will make homes and offices more resilient. Sustainable architectural solutions, with an increasing focus on alternative and eco-sustainable materials, will therefore improve the well-being of citizens. In summary, cities will be sustainable if they are energy self-sufficient and therefore know how to manage resources in an intelligent and prudent way. This will turn into an improvement in the quality of life of citizens.

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5 The Experiments in Progress But which cities in the world are already moving in this direction? According to the non-profit organization Climate Reality Project1, 5 cities are pointing the way to the urban sustainability of the future: • Copenhagen (Denmark) which aims to become the first carbon free capital in the world; • San Francisco (United States) mainly thanks to the technological innovation applied to transport and the energy efficiency of buildings; • Vancouver (Canada) which applies a 360° green strategy; • Stockholm (Sweden) which has created a centralized, cleaner and more efficient heating system; • Singapore, thanks to a transport plan that reduces pollution and traffic on the roads, providing capillary services and setting limits on the use of the car by residents. The Arcadis Sustainable Cities Index2, of the leading global group in engineering and consultancy in the real estate sector, selects the 100 most sustainable cities every year based on three parameters: people (quality of life), planet (environmental impact), profit (productivity and infrastructure). The 2018 report crowned London first, followed by Stockholm, Edinburgh, Singapore and Vienna. In general, European cities dominate the index occupying eight positions in the top 10, where there are no cities in the United States.In Italy, the smartest and most sustainable cities are identified by the ICity Rate report of FPA3, a company of the Digital 360 Group. The annual ranking analyzes 15 dimensions of urban life declined through 107 factors that summarize the intelligence level of a city. In the last edition the first three places were assigned to: • Florence, which has created an integrated processing system of georeferenced data on the city for real-time traffic management and can boast a record in the development of electric mobility; • Bologna which has built a public network based on the cloud and on an integrated digital identity to collect the offer of content and services from public administration, businesses and citizens.

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It is a nonprofit organization led by former U.S. vice president Al Gore and CEO and president Ken Berlin. The mission is to sensitize people in line with the principle of sustainability. Among the main objectives: to reduce greenhouse gas emissions; accelerate the global transition to renewable energy. The membership of 20,000 sustainability leaders from over 150 countries counts; have branches in 10 countries; thousands of activists in the USA. Arcadis is the leading global design & consultancy firm for natural and built assets. We are more than 28,000 people, in over 70 countries, who are dedicated to improving quality of life. We do so by developing innovative solutions to create liveable cities, to establish a people-centric future of mobility and to transform industries. ICityRate - Provides the ranking of Italian smart cities. The research for the year 2018 was curated by FPA The working group also systematically compared this year with Paolo Testa and Valentina Piersanti from Anci, Sandro Cruciani from Istat, Andrea Sammarco from Unioncamere and Giacomo Giusti from the Tagliacarne Institute.

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• Milan which has experimented with forms of smart mobility and services such as the citizen’s digital file, as well as putting sustainability at the center of some architectural interventions that are redesigning the city skyline.

6 Milano Resilient and Sustainable But in Milano there is also a particular sensitivity towards sustainability. The Municipality declined this aspect with an almost provocative term: Milan resilient city [17]. Milan, a city that responds scientifically to impacting stimuli. In fact, it organized an office to program, design and implement: • • • • • • • • • • • •

• • • •

Public and private spaces, livable, comfortable and adaptive to serve citizens Acquire, process and use local climate data Promote and implement green in the city Promote the resilient regeneration of the public space Develop guidelines to adapt the city to climate change and evaluate its economic impacts Raise awareness and inform institutions about the ability to deal positively with the consequences of climate change To develop naturalization and forestry interventions in the city to encourage cooling Experimenting with technological solutions and NBS to increase and improve the quality of air and urban greenery Promote the agricultural vocation of the city Promote integrated design and increase neighborhood scale resilience Mitigate the effects of extreme heat through site-specific measures and the use of innovative materials and techniques Develop and develop the Air and Climate Plan. This requires the definition of a strategy for adaptation and contrast to climate change with a horizon of 2050 and an intermediate target by 2030 -Drafting of the Local Climate Profile -Drafting of the map relating to the Heat Islands -Economic assessment of the impacts of climate change and risks as part of the development of adaptation strategies Methodology for collecting information and building an administrative, professional and social class that can respond to climate change ClimaMi Develop and implement the urban forestation plan for the Metropolitan City of Milan - ForestaMi Develop the RESTORE proposal for a European call, with the aim of restoring damaged urban ecosystems through customized NBS, taking into account social, ecological and economic issues Implement the European CLEVER project, to promote and test Green infrastructures and innovative naturalistic solutions (NBS) and prepare a replicable model at different scales Develop the digital platform for the promotion and implementation of green roofs and walls, forestry interventions and shared gardens and gardens, as part of the CLEVER project

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• Develop a strategy to provide tools and information to support the design of urban plans for air quality in cities considering the extent, distribution and type of vegetation - VEG Gap • Create working group - URBAN WORKSHOP - for the elaboration of visions and the implementation of project interventions on a neighborhood scale, in relation to the strategy of the Neighborhood Plan - As part of this vision and for the Niguarda district as first pilot development of: a method for neighborhood shock/stress analysis and ‘resilient’ contributions for a vision on the neighborhood scale • Develop a methodological proposal to assess social, territorial and environmental vulnerabilities • Application of the IVAVIA methodology, provided by ResinCities for the analysis of vulnerabilities and risk, graphic management of the impact chaine for data normalization • Develop the VESPUCCI project proposal for a European call, with the aim of maintaining and enhancing sustainable agricultural and forestry production; • Develop the project funded by the Cariplo Foundation: ‘Towards landscapes of living and working in a climate-proof way • Develop and implement a pilot project for the cooling of a public space.

7 Conclusions The above is a path already taken and under construction. This is a best practice to inspire, albeit with the necessary differentiation of context, in other analogous urban realities, both large and medium or small. The significant components contained in this good practice has some important components: participation, sustainability, technology [20]. Therefore, this leads us to look to the future with greater awareness and with a more concrete feeling of hope and in line with the sustainability and resilience of cities!

References 1. Acierno, A.: Dagli spazi della paura all’urbanistica per la sicurezza. Alinea Editrice, Firenze (2003) 2. Beguinot, C. (a cura di) La città cablata un’enciclopedia. I.Pi.Ge.T.–Di.Pi.S.T., Napoli (1989) 3. Caglioti, L.: I tre volti della tecnologia. Rubbettino, Soveria Mannelli (2005) 4. Calafati, A.G. (a cura di) Città tra sviluppo e declino, Un’agenda urbana per l’Italia. Donzelli, Roma (2014) 5. Foresta, S.: Relazione Complesse. Gangemi, Roma (1999) 6. Ricci, L.: Diffusione insediativa, territorio e paesaggio. Un progetto per il governo delle trasformazioni territoriali contemporanee. Carocci, Rome (2006) 7. Sacchi, L.: Tokyo-to, Architettura e città. SKIRA, Ginevra-Milano (2004) 8. Forno, G.: Il recupero del passato e le nuove tecnologie, in La Città Cablata un enciclopedia. I.Pi.Ge.T.-Di.Pi.S.T, Napoli (1989) 9. Fuccella, R.: Elementi di urbanistica. Alinea, Firenze (1995)

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10. Alessandria, F.: Pianificazione e programmazione urbanistica nella città sempre più… interetnica, (2019). http://www.italia-informa.com. Accessed 20 Dec 2019 11. AA.VV. Sviluppo sostenibile e saccheggio delle materie prime, http://www.rekombinant.org. Accessed 20 Nov 2019 12. Consiglio Europeo, A new strategic agenda 2019/2014. http://www.politichecomunitarie.it. Accessed 17 Dec 2019 13. AAVV: Agenda 2030 per lo sviluppo sostenibile. ONU (2015) 14. Giura, T., Piazza, P.A., Alessandria, F.: Tecnologie per una città sicura, I.Pi.Ge.T. – Di.Pi.S. T., Napoli (1996) 15. Spampinato, M.: Politica urbana versus innovazione tecnologica, ISFORT, (Istituto Superiore di formazione e ricerca per i trasporti) (2005). http://www.erroneo.org/ megafono. Accessed 21 Oct 2019 16. Hall, P.: Whi some cities fluorisch while others languisch in UN-Habitatat. London (2006) 17. Direzione Transizione Ambientale, DP Citta Resilienti (2019). http://www.comunedimilano. it. Accessed 20 Nov 2019 18. Stanghellini, S. (a cura di) La selezione dei progetti e il controllo dei costi nella riqualificazione urbana e territoriale. Alinea Editrice, Firenze (2004) 19. Cano, A.: Cosa significa parlare di bioarchitettura oggi? Torino (2005). http://www. antoniocana.it. Accessed 11 Dec 2019 20. AA.VV. Alcuni appunti. http://www.tmcrew.org/eco/nanotecnologia/nanotech.htm. Accessed 22 Jan 2020

Knowledge and Safeguarding of Cultural Heritage. New Technologies for Survey and Restoration: Innovative Methods and Non-destructive Investigation Federica Bonerba1, Carlo Alberto di Buono1, Stefano Leonardi2, Immacolata Lorè3(&), and Raffaele Piatti4 1

4

Roma Tre University, Madonna dei Monti 40, 00184 Rome, Italy 2 Piazza Campidoglio 1, 00186 Rome, Italy 3 LaborEst, Mediterranea University, Via dell’Università 25, 89124 Reggio Calabria, Italy [email protected] Tourism Department, Rome Municipality, San Basilio 51, 00187 Rome, Italy

Abstract. The new technologies related to survey and restoration offer significant applicative potentiality for the documentation and valorisation of cultural heritage, both in terms of data acquisition and for all representation, conservation and dissemination stages. The current methodologies and tools offered very promising opportunities for Cultural Heritage, either for the surveying process or for representation purposes, for objects of architectural, artistic and archaeological interest. This paper highlights how various illustration techniques can be used to create original visual narratives of existing urban realities and future ideas for the development of the city. The paper focuses on the case study of Villa Rivaldi in Rome; after a short discussion of the main questions connected to the field of urban representation, it illustrates the main techniques adopted and related products, with specific interest for photogrammetry and laser scanning. In particular, it shows an application of high resolution laser scanning survey, with photogrammetry data integration, in order to create a digital 3D model of a portion of the facades of Villa Rivaldi. Keywords: Urban drawings and representation
Architectural conservation and survey
Cultural heritage
Laser scanner
Photogrammetry

The paper is the result of the joint work of the authors. Although scientific responsibility is equally attributable, the abstract and Sect. 1 were written by C.A. Di Buono and S. Leonardi; Sect. 2 was written by R. Piatti; Sects. 3, 5 were written by I. Lorè; Sect. 4 was written by F. Bonerba. S. Leonardi—Superintendence, Rome Capital City © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 373–383, 2021. https://doi.org/10.1007/978-3-030-48279-4_36

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1 Introduction The conservation of Cultural Heritage has become a global goal and at the same time a challenge; in order to guarantee its transmission to future generations the UNESCO is increasingly focusing on the issues of digital documentation [1]. The new technologies relating to the survey for diagnostics and restoration offer important applications for the documentation of cultural heritage, both for the phases of data acquisition and for representation and restoration ones, and for its knowledge and enhancement [2]. Italy has an immense wealth of cultural heritage; the essential requisite for valorisation of this heritage is its knowledge both in historical and artistic terms and of intrinsic character (position, shape, geometry, colour). Over the centuries the disciplines of survey and diagnostics have improved the measuring and analysis techniques adapting them to the situations and potential offered by modern technology [3]. The case study involved several professional figures, as a multidisciplinary activity, generating interesting moments of discussion and the emergence of cultural value problems. In recent years the interest in the subject of cultural heritage has grown in the international scientific community that finds its privileged channels in ISPRS (International Society for Photogrammetry and Remote Sensing), ICOMOS (International Council on Monuments and Sites) and CIPA (International Committee of Architectural Photogrammetry). The application fields to which scientific research and in general the surveying activities are directed are very different: the architectural, urbanistic, artistic and archaeological metric surveys are carried out for the purposes of a rigorous description and documentation for restoration and diagnostics, visualisation and exploration techniques in virtual reality and for products’ realisation of interest in the tourist field [3]. The main objective of architectural survey is the knowledge: that is the creation of an interpretative reality model that by a graphic representation and the support of consolidated elements, allows to read and transmit the analysed work. As a privileged instrument of scientific research, the survey operations are aimed both at the acquisition of information that must be organised according to a synthetic language, and at the evaluation of them on the bases of logical criteria [4]. The understanding of built heritage is an indispensable condition for the implementation of any conservative activity; it requires an in-depth research both of bibliographic and iconographic information, and of data related to philological, cultural, perceptive, formal, geometric and chromatic aspect that need to be gathered in comprehensive and understandable hierarchical structures [5]. The historical study, the survey, the material-constructive investigation and the preventive diagnostic analysis are, therefore, to be considered as partial phases that will become useful when they will be related to each other in relation to the researched objective [6]. Different problems require distinct instrumentations that work with nonhomogeneous precisions and different reference systems but having to communicate with each other. Another aspect is the accuracy and precision required for the survey [7]. As it happens in surveys of urban spaces, for example, geometric information can

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be integrated with data of other nature that increases its degree of use by different reference systems; in these cases, it becomes essential to adopt techniques (e.g. GPS) or calculation procedures (bi-dimensional and tri-dimensional transformations) that allow the connection between different datasets. Another consideration refers to the tight bond between survey and representation: the boundaries between these two worlds appear increasingly blurred. The survey performed with modern digital technologies allows very flexible and high-impact presentation methods of data (e.g. texture mapping on laserscan data, virtual reality); on the other hand, it should be remembered that some representation techniques require accuracy and precision of metric surveys. The changes started by the so-called “digital revolution” have profoundly influenced the disciplines of representation [8]. This paper highlights how various illustration techniques can be used to create original visual narratives of existing urban realities and future ideas for the development of the city. On diagnostic level a conservative restoration project of an architectural structure can usefully use survey and non-invasive investigation techniques to acquire information on the building state of conservation. In the same way, these techniques could be applied on a larger scale for surveys of the territory or for a recovery project of historic centres. Among the architectural survey techniques, the digital photogrammetric one provides a relevant contribution to planning diagnostic activities and material interventions [9, 10]. In recent years these techniques have seen important developments thanks to the introduction of digital photogrammetry and laser scanning technique. Regarding non-invasive techniques of investigation, the georadar has greater versatility and effectiveness than sonic tomography, especially in the presence of a stone facing or a difficult access to the structure under examination. On the other hand, thermography can provide information on the surface state of a stone material [11]; the information on the depth state can instead be obtained by a georadar. All mentioned techniques have found application within the site activity at Villa Rivaldi in Rome; it is the subject of the case study that focus on the techniques and products of laser scanning and photogrammetry highlighting the new methodologies for cultural heritage survey.

2 The Case Study The knowledge of cultural heritage for cataloguing and restoration is one of the study’s fields in which surveying techniques have a fundamental role. In these fields it is important to distinguish the geometric acquisition moment of an object from the one of representation and reading of its geometry, highlighting the styles, meanings, technical and cultural contents that characterise the object. It is necessary for the surveyor to understand the importance of using geometrical data and representation tools congruent with the purposes of the study and that fully exploit the metric and descriptive content of the acquired data. The case study was conducted within the Master in Architectural Restoration and Culture Heritage organised by the Department of Architecture of the University of Roma Tre.

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The revised metric survey of the facades of the first courtyard of Villa Rivaldi is the result of an integrated methodological approach. The integrated survey considers different techniques and phases realised with distinct tools in order to optimise the use of the instruments according to the characteristics of the object and the objectives of the survey; these techniques and phases are integrated thanks to the use of common elements such as targets able to relate deferred acquisitions over time [9]. The case study aims to test and evaluate the potential of new technologies to detect and analyse architectural heritage in a non-invasive way for restoration purposes. The case study of Villa Rivaldi can be considered representative of this method; the study is based on data deriving from a series of photogrammetric surveys and a laser scanning campaign. Each of these methodologies will be analysed showing tools, data and contents. The process that allowed the creation of a digital model for measurement is analysed below; the sample object of the 3D laser scanning and photogrammetric survey is a portion of the facades of the court of Villa Rivaldi in Rome. The villa dated in the early of XVI century and built by Eurialo Silvestri (secret waiter of Pope Paul III) has a history of incompleteness and disaffection; it was abandoned in the 80s of the XX century and is currently in a state of neglect, but it is object of important studies as a treasure chest of beauty. As regards the problems related to the execution of the digital survey of the elevations and of their elaboration, the building represented a valid example for the development of a survey and representation methodology that can be extended to other buildings with historical and architectural value. In fact, the building is located within the historic center of Rome near the Colosseum and is characterised by a complex decorative apparatus.

3 The Laser Scanner for the Geometry Survey of Architectural Objects It is important to highlight that the use of new technologies for documentation of cultural heritage is not a substitute of the previous applied methods; it is an additional tool. The dense cloud and the 3D geometric models are a wealth of information that adds to the previous knowledge on the architectural object in order to better understand it [12]. The laser scanner is a tool that sends a laser beam along a specify directions in the space; it generates the measurement of the distance and allows the rapid acquisition of the geometric elements for the calculation of the three-dimensional coordinates of a high number of points with the consequent creation of dense digital models [13, 14]. The study uses the laser scanner data of the detection campaign carried out with the support of the RilTec laboratory (Architecture Department - University of Roma Tre). The instrument used is a scanner whose characteristics suggested a gripping project composed of a scan on the courtyard. The instrument used for the survey is a phase difference laser that emits a continuous signal to the object through a mirror and measures the phase difference between

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the emitted wave and the received one; in this way it quickly realises dense and accurate point clouds [15]. The scans position was based on the accessibility of the site, the visibility and coverage of the architectural elements. In particular, four stations were carried out in correspondence with the floors landings in order to verify the sections constructed with the empiric method and the hypotheses of different construction phases in time in Villa Rivaldi. On the outside a scan was carried out in the courtyard of the building to frame the facades in their context. The result of the laser scanning is a points cloud with known coordinates and a given “colour” that represents the reflectance or the quantity of energy reflected by the point in relation to the energy emitted by the laser. The reflectance value offers a first reading of the building information that in some cases can be interesting; in fact, its value is due to the angle of incidence of the wave to the measured surface but it is also linked to the chemical composition and colour of the material and to its temperature and humidity conditions [16, 17]. In the case study of Villa Rivaldi these data have given some indications on further analysis and investigations carried out at a later time with a thermal imaging camera. For the courtyard fronts of Villa Rivaldi, about 5mln meaningful points have been searched in order to return the features that draw the main elements of the facades such as portals, cornices, architectural details and deviation points of the facades alignments. The next data processing allowed the vectorial restitution of the fronts that were used as a metric base for the realisation of the digital survey of the facades of the courtyard. The point clouds of Villa Rivaldi were obtained from laser scanners and have an average size of 5 mln points; the point clouds registration, or rather the alignment and in some cases the georeferencing of them, is a fundamental procedure in the processing data derived from laser scanning. The point clouds are inserted in a same cartesian coordinate system through roto-translation transformations [18]. In the specific case of the survey of the courtyard facades of Villa Rivaldi the point clouds were oriented in two phases; the first one is the pre-alignment phase that provides the recognition of clouds’ homologous points (easily recognisable architectural elements), the second one is the phase of automatic alignment through algorithms that reduce the distances between the points of two different clouds (calculation of minimum squares) [9]. With new technologies the selection of information takes place after the measurement and it is evident that this involves a numerous and redundant data collection but at the same time makes the interpretation and reading operations extremely interesting. The analysis of point clouds becomes a multidisciplinary process and the interpretation of data remains a subjective phase linked to the knowledge of the surveyor [8]. The point clouds generated by the survey campaign of Villa Rivaldi made it possible to conduct measurement operations in a software environment that allowed the navigation in the space and constituted a solid model for measurement in graphic arts. To complete the survey operations with laser scanners, two photogrammetric survey campaigns have been added in order to obtain details on the architectural scale. The importance of the photographic texture mapping in the application field of cultural heritage should be underlined: the reproduction of photographs on the 3D metric model

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is a considerable support in the study and interpretation of an architectural object that has allowed to obtain valuable information on the state of conservation and on the interventions stratification that took place over time in the building under examination.

4 The Photogrammetric Survey of Architectural Details Like any new technology, digital photogrammetry began its history by solving some problems faster and at lower costs that compared to analytical photogrammetry that required great economic and operational efforts. To realise this fact, we can consider the considerable simplifications of digital software that can be used by a common PC with the possibility of automatically identifying pairs of homologous points in DTM generation, the execution of some orientation phases and the production of orthophotos and digital straightening on any surface. Photogrammetry is a technique based on transformation processes of perspective photographic dataset that are fundamental in the documentation of an architectural structure; it allows the 3D reconstruction of objects and their graphical representation in scale without requiring a physical contact with them. A photogrammetric survey is translated into numerical data, drawings and images (coordinates), maps or orthophotoprojections [10]. The processing of a digital image requires a univocal correspondence that must be established between the points of the object and the image ones (georeferencing process). The integration between digital photogrammetry and other metric survey techniques allows to outline increasingly economic products with high levels of precision that meet the needs of architectural survey and diagnostics [10]. The important role of photogrammetry as a modern and rigorous technique of survey in the field of cultural heritage is due to its characteristics; it does not require contact with the object and allows a rapid acquisition with considerable flexibility of use and precision in the metric determination of geometry and the shape of objects [3]. The survey campaigns of Villa Rivaldi were conducted between 2018 and 2019 and carried out by image-based techniques using a process of structure from motion (SFM) [7]. The photogrammetric survey was carried out after the laser scanning campaign with the aim of increasing the amount of details in specific areas of the courtyard facades; in particular, the photogrammetric survey was used to acquire the architectural details (cornices, portals and mouldings) making explicit the data of the two photographic campaigns. The campaigns were carried out with a reflex Canon Eos 600D (18–55 mm). To control lens distortion, the camera has been calibrated using both lens, a specially dataset of photos and a software that recognises lens distortion and the exact focal distance. Regarding the acquisition methods of photographic images some choices have been made considering the characteristics of the architecture and its partial accessibility; in the external survey campaigns it was preferred to work with diffused light and in overcast weather conditions in order to reduce the shadows brought and to guarantee a greater uniformity of the colour. Regarding to the description of acquisition photograph methods, the images were shoot moving around the object with the limitation of the inaccessible areas. With this

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technique, sets of photos were created relating to the architectural elements of detail and in particular to the portal made of ashlar of the west facade of the courtyard. The dataset for the photogrammetric survey of the portal consists of n ° 40 photos that were shoot with a Canon Eos 600D and a lens of 18–55 mm (see Fig. 1).

Fig. 1. Photogrammetric survey of the portal - Courtyard of Villa Rivaldi, Rome - Dataset.

The second step is the search for all the unknown parameters of the photographic rooms such as the position from which the photo was taken, the angle, their internal parameters (thanks to the calibration), and the 3D coordinates of the tie points. In the first instance, the projection centers of the photographic rooms were identified [19]. In the next step, the PhotoScan & Metashape algorithm was used to iteratively solve the rays coming from a photographic room by associating the corresponding points coming from the other ones; the result of this process is a 3D model in which the photos are oriented towards each other and the object of the survey is represented by a points cloud corresponding to the tie points (see Fig. 2). The next phase to the orientation of the photographic rooms was the Dense Image Matching (DIM); knowing the reciprocal position of the photographic rooms, the software realises a re-projection of the photographic image points in order to obtain a dense and coloured cloud with the colour code coming from the photographs (dense cloud) [20]. In the model of the Villa Rivaldi’ portal a dense cloud of 5 mln coloured points was generated.

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Fig. 2. Photogrammetric 3D model of the portal - Courtyard of Villa Rivaldi, Rome.

Fig. 3. Orientation and scale of the photogrammetric model.

The final step is the orientation and scale of the dense cloud (see Fig. 3); to obtain a high metric precision it was decided to orient and scale the model using a series of markers extracted directly from the point cloud obtained from the previous laser scanning campaign. The verification of the accuracy of the dense cloud was carried out by comparing it with the reference cloud [7]. The 3D model of the object was created using the architectural sections extracted from the point clouds [21]; the set of point clouds obtained both through laser scanning

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and with the photogrammetric method was the main reference for the definitive metric and graphic restitution.

5 Conclusion The quality of modern instruments, the operational flexibility and the ability to provide the basis for dedicated information systems merge with the expressive potential provided by modern representation techniques: today, from a technical point of view all the conditions exist for the rigorous survey to become the practice in the field of cultural heritage [3]. Today’s architects, urban planners and scholars have unique resources to visualise ideas and data, with a wide range of technologies from computeraided drafting to photo-realistic rendering, and virtual reality. Despite these vast developments, the tools of representation and documentation are a mixture of old and new – from methods which have existed for centuries, to the technology developed in the last decades. This paper highlights how various illustration techniques can be used to create original visual narratives of existing urban realities and future ideas for the development of the city. Taking into consideration the relationships between the built environment and social transformations, the case study tries to bring future projects of urban visualisation on the area of interest. The problem of conservation of cultural heritage requires the understanding of the phenomena that underlie the degradation of materials and the knowledge of adequate interventions that allow the restoration of an adequate condition for the asset and that, if possible, are in able to slow down its future degradation respecting its historical and cultural value. It is a theme of high complexity that can’t be tackled without a multidisciplinary approach and the involvement of specific professional figures. According to this approach, the survey phase followed a strategy that included the use of complementary survey techniques (laser scanning, digital photogrammetry) in order to obtain a 3D geo-referenced model in Cad environment of the examined architecture. This model constitutes the geometric basis of a database that can be integrated with information from surveys on the state of conservation of materials. The integration of diagnostic information with survey data remains the defining element of this approach; investigation techniques such as georadar, thermography, spectrometry and colorimetry can be important tools, not only for diagnostic purposes but also for check the quality of the interventions made on the building. These instruments could give a relevant contribute to surveys of post-disaster contests, because of their capabilities of recollecting a consistent amount of information in small periods of time. In these situations, it is possible to preserve digitally the scene of post-disaster, as it happened in some urban scenarios damaged by earthquakes. The documentation, as a systematic activity of registration and management of information, means knowing in order to conserve and give value; the knowledge makes the cultural heritage more accessible to population and creates a system of consciences that prevents irremediable and inestimable losses. In fact, it is necessary that any activity of cultural heritage management is structured on a solid knowledge in order to ensure a better planning of management and recovery interventions, constantly

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monitoring the changes over time. The hope of preserving and transmitting the cultural heritage in the future is also placed in the new that will be able to perpetuate the substance and essence of assets for as long as possible. The versatility of the mentioned techniques and the continuous technological evolution of instrumentation reveals more innovative spaces at the application level.

References 1. National Library of Australia: Guidelines for the preservation of digital heritage. Information Society Division, United Nations Educational, Scientific and Cultural Organisation (2013) 2. Böhler, W., Hein, G., Marbs, A.: The potential of non-contact close range laser scanners for cultural heritage recording. In: Proceedings of XVIII CIPA Symposium, Postdam, Germany (2001) 3. Bitelli, G.: Modern techniques and instruments for the survey of cultural heritage. In: Proceedings 6th National ASITA Conference, IX–XXIV, Perugia (2002) 4. Fasolo, M.: The survey as a cognitive model. In: XY Dimensions of the Drawing. Officina edizioni, Rome (1995) 5. Casale, A.: Procedures for the survey and treatment of architectures. In: Cupelloni, L. (ed.) The Testaccio Slaughterhouse in Rome - Methods and Tools for the Redevelopment of the Architectural Heritage. Gangemi Editore, Rome (2001) 6. Campanella, C.: The Survey of the Buildings: Graphic Rendering Techniques for the Intervention Project. II Sole 24 ore, Milan (2004) 7. Remondino, F., Nocerino, E., Toschi, I., Menna, F.: A critical review of automated photogrammetric processing of large datasets. Int. Arch. Photogram. Rem. Sens. Spatial Inf. Sci. 42(XLII-2/W5), 591–599 (2017). https://doi.org/10.5194/isprs-archives-xlii-2-w5-5912017 8. Bianchini, C.: Survey 2.0: new technologies, new tools, new detectors? In: Italian Survey & International Experience. Gangemi Editore, Rome (2014) 9. Canciani M., Saccone M.: The use of 3D models in integrated survey: the church of St. Thomas of Villanova in Castel Gandolfo. Int. Arch. Photogram. Rem. Sens. Spatial Inf. Sci. 38(5/W16) (2001) 10. Albery, E., Dequal, S., Lingua, A., Rinaudo, F.: A new tool for architecturalphotogrammetry: the 3D navigator. Int. Arch. Photogram. Rem. Sens. 32(6W8/2), 177–182 (2000) 11. Romeo, C.: Thermography and its use in the analysis of architectural artefacts. In: Suppl. 13° News Bullettin of the Casa-Città Department, Polytechnic of Torino (1996) 12. Tarsha-Kurdi, F., Landes, T., Grussenmeyer, P., Smigiel, E.: New approach for automatic detection of buildings in airborne laser scanner data using first echo only. In: SPRS Communication III Symposium, Photogrammetric Computer Vision, pp. 25–30. Bonn, Germany (2006) 13. Boccaro, P., Comoglio, G.: New methodologies for architectural photogrammetry survey. Int. Arch. Photogram. Rem. Sens. 33(B5/1) (2000) 14. Grussenmeyer, P., et al.: Digital heritage. progress in cultural heritage: documentation, preservation, and protection. In: Proceedings of 6th International Conference, EuroMed 2016, Nicosia, Cyprus (2016) 15. Bertocci, S., Bini, M.: Architectural and urban survey manual. CittàStudi (2012) 16. Docci, C.F.: Integrated Methods for Surveying, Drawing, Modeling Architecture and the City. Gangemi Editore, Rome (2011) 17. Clini, et al: Colour, reflectance and temperatures. In: Culture and Science of Colour (2014)

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18. Murtiyoso, A., Grussenmeyer, P., Koehl, M., Freville, T.: Acquisition and processing experiences of close range UAV images for the 3D modeling of heritage buildings. In: Proceedings of 6th International Conference, EuroMed 2016, Nicosia, Cyprus (2016) 19. Gruen, A., Beyer, H.A.: System calibration through self-calibration. In: Calibration and Orientation of Cameras in Computer Vision. Springer, Heidelberg (2001) 20. Saccone, M.: Draw the Pantheon. The practice of survey in 19th century academic teaching and contemporary digital design. Phd thesis (2017) 21. Canciani, M., Falcolini, C., Saccone, M., Spadafora, G.: From point clouds to architectural models: Algorithms for shape reconstruction. Int. Arch. Photogram. Rem. Sens. Spatial Inf. Sci. 10(L-5/W1) (2013)

Conceptual Drawings as Explorative Tools: Tracing the Evolution of the Extended and Nuclear Family Houses in Kuwait Mohammad Almulla1 and Beniamino Polimeni2(&) 1

2

Nuqat Ala al Hurouf, Kuwait City, Kuwait [email protected] Leicester School of Architecture at De Montfort University, Leicester LE1 9BH, UK [email protected]

Abstract. This paper examines the evolution of the layout and occupancy of family houses in Kuwait, using conceptual drawings as a tool to study, describe and understand their transformations. Through the analysis of the political and social development of the country, this research will describe the main architectural facets of a group of case studies related to three different phases: the pre-oil period, the post-oil period and the current contemporary stage of evolution. Particular attention is given to the dynamics that have influenced the relationships between social changes and the houses’ layouts, including specific design traditions developed in each period. The goal of this investigation is to propose a logical sequence of drawings and graphic analyses valuable to illustrate and verify the persistence of a cultural continuity, which has survived substantial socio-economic transformations that occurred during the past century. This cultural continuity runs from the urban layouts to the basic units and represents a significant level of awareness to be used in every future planning action. Keywords: Architectural representation Housing
Family houses


Traditional architecture
Kuwait


1 Introduction Kuwait is a small, independent nation located at the northern tip of the Persian Gulf. The country was founded in the 17th century by a small group of families from the Arabian Peninsula, which moved north to find a more flourishing political and geographical environment (Al-Nakib 2016). At the time, the Arabian Peninsula was ruled by the Al-Hasa kingdom, which enforced a rigid tribal and Islamic rule. This small group of people established their town and society independently from the rest of the peninsula (Al-Nakib 2016). At the tip of the gulf, they found a small fishing area – located where Kuwait city is today – occupied by an even smaller group of people who was also independent. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 384–395, 2021. https://doi.org/10.1007/978-3-030-48279-4_37

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The newcomers decided to settle, joining the existing groups, generating an evolved urban settlement in the shape of a walled town (Merdan 2008). Families from the Persian coast, Southern Iraq and other neighbouring societies, such as the Levant, Indians and East Africans, gradually moved to this geographic area, influencing the creation of a unique, traditional built environment in Kuwait. The result of this cultural diversity along with favourable economic conditions protected and encouraged a highly distinctive identity, which is evident in the architectural solutions and the particular urban forms of the traditional city. The global influences coming from the west during the 20th century modified the original urban language of Kuwait city (Al-Sanafi 2001). These changes are visible in the development of new house types for nuclear families and the typological transformation of the traditional extended family houses. However, in the last thirty years, renewed attention towards the traditional architectural and urban repertoires has emerged (Mahmeed 2007). Describing these changes is the primary goal of this analysis, which investigates the domestic spatial dimension using visual and graphic tools. Throughout the periods that we conventionally define as “pre-oil”, “post-oil” and “contemporary Kuwait”, this research observes the close connections existing between architecture and society and the built environment.

2 Precedent Studies The theme of the evolution of the architecture of the last century in Kuwait has been studied, from different perspectives, by various historians and scholars. The majority of them have aimed to highlight the aspects that associate architecture and the built environment with the mutable social organisation of the country from the pre-oil period up to now; other authors have instead concentrated their attention on the urban form and housing with a focus on their relations with the traditional Islamic values; still others have investigated some aspects of the housing policy proposed by the government and the western influences that have shaped the layout of the buildings. In this research, we will combine some of these studies to create a logical sequence of drawings, which describe the transformation of the country’s built environment over time, focusing on housing. The first source useful for our pathway is the study conducted by Merdan (2008), in which the urban structure and design of public buildings of pre-oil and post-oil Kuwait are described through the exploration of their physical and typological transformation. Specifically, the author delineates a pathway in which the traditional settlements, characterised by neighbourhoods of families who worked in particular fields, have been transformed into high-rise buildings with a substantial effect on traditional shared economic and social bonds. Although this research does not explicitly consider housing as a critical factor in understanding the correlation between social and urban evolutions (Merdan 2008), it provides an overview of the general development of the built environment, further developed by Alhazim (2013) in a paper titled ‘Design philosophy of the traditional Kuwaiti house’. Alhazim’s paper describes traditional housing as an organic and

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spontaneous response to the environment and society, designed by the locals, based on traditional forms, to be efficient and associated with Islamic and Arabic cultural values. The author investigates some of the features that characterise traditional houses with specific attention placed on the courtyard, considered both as the main element for the circulation and the primary generator of an inward building for the purpose of privacy. Although other social and cultural aspects are not deeply analysed, the research emphasises the importance of understanding the principles and methods of housing design from the past, to generate meaningful and evolved housing solutions for the future. A thorough analysis of modern political housing strategies implemented by the government is included in the published paper ‘The right to housing in Kuwait: an urban injustice in a socially just system’ (Alshalfan 2013). In this research, the author points out how the process of modernisation of the country was extremely fast and did not consider the pre-existing, traditional built environment. The primary point of the paper is concerned with the ineffectiveness of the master plan for Kuwait city and its weak strategies in protecting the pre-existing social cohesion. The actions proposed by the government are centred on a scheme based on two options: the first consists of a subsidised loan for a small house; the second consists of a plot of land and a small sum of money delivered to build a new development. Both of the schemes are analysed trying to delineate the possible effects on the future housing scenario of the country and also taking into consideration the possible economic impact on society. Comprehensive research on the evolution of housing in Kuwait from the pre-oil to the post-oil period has been conducted by Al-Sanafi (2001). Using data extracted from different disciplines, this piece of research describes how the new economic conditions of the second half of the 20th century have influenced the general way of dwelling and consequently, the house types. In particular, the suburban arrangement, resulting from the increased oil production, allowed people to live in detached houses arranged to host only the nuclear family rather than the extended one as used to happen traditionally. Other aspects of this study are the relationship between the western influences on the broad architectural scenario of the country and the results of government house policies on the architectural language of the buildings. In particular, the author describes how an imposed plan has been influential on the social aspects of people who applied for subsidised loans and how, on the other hand, the more expensive option of plot and loan has generated a new architectural style conditioned by European models. A central aspect of the analysis is based on the economic crisis in the 1980s, and the Iraqi invasion in 1990 that brought a new perspective on financial and cultural issues, and also contributed to some significant changes in the urban environment as well with the revival of traditional types.

3 Methodology The analysis of this research is focused on the possibility of determining the morphological evolution of Kuwaiti houses by means of visual instruments, investigating the idea that representations can be effective forms of research. Taking into account the social and economic aspects characterising each period mentioned, the study will be

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tracing the house evolution and considering the changes that have influenced family dynamics and the very notion of dwelling. The reasons for this choice are twofold: on the one hand, graphic analysis is a useful tool to explore and to communicate the main architectural characteristics of the architecture realities, and, on the other hand, it allows us to collect, combine and coordinate information and knowledge arising from different cultural, historical, religious and social realities. In order to trace the evolution of the houses’ plans, each type has been considered as an entity composed of single parts, each in turn composed of several elements characterised by different structures and functions. Following a chronological order which looks into the pre-oil, post-oil and contemporary models, the first research operation was to construct, for each example, a series of blocks in which public and private spaces are defined; thus creating a volumetric understanding of the layout in that regard. After having divided the examples into different areas, the second phase was to build a set of diagrams, expressed by curved fluid lines, representing circulation, aiming to hypothesise a set of possible user experiences. Each of these lines is beneficial to compare how the relationship between place and experience is influenced by the layout, and consequently by the changes in society. The third phase consisted of the definitions of a set of dots that represent the level of engagement between the public and the private in each building, as places in which multiple small events can happen throughout the day. The comparison among different analytical drawings and their composition, along with the study of the historical sources coming from the precedent studies, will define the house layout development and its effect on, and response to, the dynamics of the family the Kuwaiti house hosts throughout the stated periods. From the mentioned drawing studies, a single final drawing will be collaged to express the findings as a whole, merging all the separate, small analyses for generating a combined artefact.

4 The Case Studies 4.1

The Traditional Extended Family House of the Pre-oil Period

The case studies that will be considered in this research have been chosen according to the chronological progression mentioned in the previous chapter. Each one includes the most common features of their historical phase in the most simplistic way. The traditional extended family house of Kuwait (Fig. 1) represents, through its spatial distribution, the emblematic character of Kuwaiti society during the pre-oil period. This type is built around a courtyard characteristically used by women (Mahmeed 2007), although a small separate patio for men or a detached room with an external entrance, designed to receive male visitors, was often present. This type is a reflection of the culture of a country whose economy was based on the sea trade and, consequently, on a family model in which men used to stay away from the family for long periods and women were responsible for managing most of the household affairs (Ali et al. 2007). The impact of this particular family structure is evident in the home layout in which women typically occupied large spaces. The female impact balanced

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the overall male authority creating a fluidity between the family cosmos and the rest of the community (Al-Ghusain 1984). The house is organised to accommodate the needs of an extended patriarchal family in which sons remain in the same place they grew up, and the female members move to their husbands’ houses. Men and their wives eventually occupy rooms and areas initially conceived for the woman of the original family unit (Al-Thakib 1974). It is worth mentioning that, based on Islamic teachings, brothers’ wives were not considered as first-degree family members, in the sense that they are supposed to remain covered up and treat their brothers-in-law in the same way they would treat strangers (Al-Haroun 2019). However, in those traditional dwellings, men and women shared the same courtyard for many activities, and that indicates a certain flexibility in gender separation and the way the family interacted inside the house. Visitors and services suppliers from the community could access and interact with the family in specific isolated rooms close to the main entrance, although it is reasonable to assume that people of the same neighbourhood were familiar with the house layout of the family of the same area (Fig. 1). This strong sense of community, along with a social model based on resources-sharing, contributed to a lenient approach towards gender roles and separation within the community. The following drawings reveal how the structure of the society influenced both the spatial distribution and the internal and external interactions of the family members. Fluidity and intimacy of the traditional house are represented, highlighting a significant degree of openness and engagement that contradict the general rigid view regarding society in pre-oil Kuwait (Fig. 2).

Fig. 1. Façade (Life in Kuwait) and plan of a traditional Kuwaiti house, (Al-Sanafi 2001).

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Fig. 2. Map of the circulation and dwellers’ interaction between public (represented in white) and private spaces (represented in black) in the traditional Kuwaiti house.

4.2

The Modern Post-oil Nuclear Family House

The modern house (Fig. 3) represents the result of a change characterised by a new social and political scenario which started at the end of the Second World War and evolved rapidly and also, thanks to the politics of the government on media, education and the built environment (Albaqshi 2010). With the new process of globalisation and the increasing need for oil across the world, Kuwait experienced a period of wealth driven by a new economy, which required a break with traditional communal values to create a new social system consisting of independent individuals who would have supported the countries capital system, as stated by Harari (2015; 2018). Over thirty years, Kuwaiti society embraced liberal and western attitudes reflected in the significant urban changes designed by the government and developed by British companies (Alomaim 2016). This new model of society influenced neighbourhoods, government housing policies and the architectural features of private houses (Albaqshi 2010; Al-Sanafi 2001). Hence, the nuclear family house is the result of this process and represents the new lifestyle of the family and its relations with the community as a whole.As represented in the visual analysis of the plans, the main element of novelty of this new type is the separation and disengagement of public and private spaces within the house (Fig. 4), which is especially evident in the layout of the outside courtyard that contributes to the fragmentation of internal interactions and engagement

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(Alaqshi 2010). Moreover, the modern house stops being dominated by a women-led space with the disappearance of the private courtyard set-up. These new plan features were influenced by the new role of men in the capitalistic society, which enhanced and revived the Islamic patriarchal authority, contributing to the transformation of the traditional common bonds, internal and external, to the communal bonds (Acker 2004).

Fig. 3. Façade, plan of the ground floor and first floor of the modern Kuwaiti house. 21. (Kuwait-History.net), (Al-Sanafi 2001).

Fig. 4. Map of the circulation and dwellers’ interaction between public (represented in white) and private spaces (represented in black) in the modern Kuwaiti house.

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391

The Contemporary Extended Family House

The 21st century started with new challenges and cultural transformations fostered by the economic crisis of 2008, which contributed to modify the scenario of a society that had almost wholly adopted a “global” way of living (Harari 2017). The immediate effect of the crisis was the rising price of the suburban land and the development of new housing types alongside the existing detached dwellings predominantly distributed in the suburbs (Al-Haroun 2019). Although high-rise residential areas with apartment blocks existed, they were generally occupied by ex-pats and were not suitable for Kuwaiti people (Alshalfan 2013). However, the new economic conditions made apartments an attractive financial solution for the locals (Al-Haroun 2019). As a result, Kuwaiti people started planning their houses within the suburbs as units consisting of small multi-storey flats (Fig. 5), in which the ground floor was used by the owner, and the upper floors were primarily rented to other families to cover the initial investment and could be eventually occupied by their children after marriage (Al-Zamil 2016). Even though this form of housing had sporadically existed since the beginning of modernisation, it became a widespread trend in the 21st century for different socio-economic groups (Al-Haroun 2019). A large ground floor characterised some of these types for the house owner and small apartments above, or – as in the examples selected – were designed as multi-storey buildings where two or more residences of the same size were contained within the same structure. This spatial arrangement, generated by source sharing and financial optimisation, represented a new model of the extended family, which fostered a renovated domestic unity and a possible new ground for future social transformations.

Fig. 5. A contemporary Kuwaiti house façade (on the left); different plans of a contemporary Kuwaiti house (on the right), (Al-haroun 2019).

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Our visual analysis describes how the newly extended family house shares similar values with traditional houses, characterised by a peculiar level of engagement for both public and private spaces, and a stronger interrelation between circulation and communication when compared with the nuclear family type (Fig. 6). Furthermore, the revived extended family house re-established the quality of gender mixing that the traditional house offered, providing a significant contribution to social connectivity and openness.

Fig. 6. Maps of the circulation and dwellers’ interaction between public (represented in white) and private spaces (represented in black) in the contemporary Kuwaiti house.

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5 Conclusion The collection of drawings and collage produced for each of the three periods reveal a noteworthy biunique relationship between the houses and dwellers. Within the house dimension, the analysis disclosed a peculiar relation between public and private spaces, which undergoes a critical shift throughout the examined phases. The traditional extended family house demonstrates family openness inward and outward. The layout of the modern house introduced more privacy and independence according to western social and political values and contributed to the weakening of communal bonds and connectivity. However, the contemporary house has revived the extended family house form, mainly due to economic issues, introducing some traditional elements in the layout, which are potentially able to influence social behaviour and renew traditional communal values. Starting from the premise that evolution is an erratic and non-linear process, this research tries to revisit, re-examine and re-evaluate the existing studies on housing, offering a new perspective on social and architectural aspects that have been occasionally mistranslated through the process of modernisation, as pointed out by Alshehabi in his book titled Contested Modernity (2019). In a time in which new architectural ideas are emerging globally to renovate and impose new homogenous ways of inhabiting the world, a reference to the traditional environment can be favourable to fortify relationships between the spatial, social and cultural qualities of different societies. These qualities, imbued in traditional constructions, are expressions of a system of contact and exchanges, a sense of belonging and identity, testifying to the capacity of inhabitants to live together, share resources and maintain the conditions of social cohesion. This new understanding of the urban environment should be supported by policies and regulations that encourage the dialogical relationship between the past and modernity, challenging the idea that traditional architecture is adverse to progress. At the same time, the design ideas embedded in traditional types could be used to promote social cohesion and an opportunity for producing creativity and new aesthetics (Al-Haroun 2019). The conclusion artefact (Fig. 7) portrays the findings of this research through a non-linear process, expressing the erratic evolution of housing in Kuwait and its possible cultural continuity. From the traditional highly intimate and interconnected extended family house, passing through the modern house, often isolated, to the current situation in which the contemporary extended family house represents a new example of social cohesion.

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Fig. 7. Conclusion artefact representing the erratic multilayered housing evolution. Different drawings have been combined to represent different levels of dwellers’ engagement according to typological development.

References Acker, J.: Gender, capitalism and globalisation. Sage J. 30(1), 17–41 (2004) Albaqshi, M.: The Social Production of Space: Kuwait’s Spatial History. Proquest, Ann Arbor (2010) Alhazim, M., Littlewood, J., Canavan, K. and Carey, P.: Design philosophy of the traditional kuwaiti house. In: Mediterranean Green Energy Forum 2013, vol. 2, pp. 23–30. Future Technology Press, United Kingdom (2013) Ali, A.J., Al-Kazemi, A.A.: Islamic work ethic in Kuwait. Cross-Cult. Manag. Int. J. 14(2), 93– 104 (2007) Alshalfan, S.: The right to housing in kuwait: an urban injustice in a socially just system. In: The London School of Economics and Political Science, no. 28 (2013) Alshehabi, O.H.: Contested Modernity: Sectarianism, Nationalism, and Colonialism in Bahrain, 1st edn. Oneworld Academic, New york (2019) Al-Gusain, N.: Housing in Kuwait: A Study of the Relationship Between Design Concepts and Socio-Economic Changes. California State University, Northridge (1984) Al-Haroun, Y.A.: The Phenomenon of Apartments in the kuwaiti house. J. Eng. Res. 8(2), 1–24 (2019) Alomaim, A.: Nation Building in Kuwait 1961–1991. Escholars.org (2016) Al-Nakib, F.: Kuwait Transformed: A History of Oil and Urban Life, 1st edn. Standford University Press, Palo Alto (2016) Al-Sanafi, N.H.: The Influence of Socio-Economic Changes on House Design in Kuwait. EThOS (2001) Al-Thakeb, F.: The Kuwaiti Family: Today and Yesterday. The Ohaio State University, Columbus (1974)

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Al-Zamil, F., AL-Shaheen A., Qutaiba E.: Housing type preferences among Kuwaitis. J. Gulf Arab. Peninsula Stud. 42(161), 17–53. 37 (2016) Harari, Y.N.: Homo Sapiens: A Brief History of Humankind, 1st edn. Harper, New York (2015) Harari, Y.N.: Homo Dues: A Brief History of Tomorrow, 1st edn. Harper, New York (2017) Harari, Y.N.: 21 Lessons for The 21st Century, 1st edn. Random House, New York (2018) Mahmeed, T.: Kuwait Architecture and Design. Florida State University, Miami (2007) Merdan, A.: Built Environment Transformation in Kuwait. Researchgate.net (2008). Accessed 25 Jan 2020 Life in Kuwait Blog. http://www.lifeinkuwaitblog.com/2014/05/huge-old-kuwaiti-house-kuwaitcity.html. Accessed 18 Mar 2020 Kuwait-History.net. https://www.kuwait-history.net/vb/showthread.php?t=13455. Accessed 18 Mar 2020

Marcet Sine Adversio Virtues Christer Bengs(&) Aalto University, PO BOX 11000, 00076 Aalto, Finland [email protected]

Abstract. The Anthropocene stands for a new phase in geology where mankind is the prime agent of change. Drawing on urban history, here is proposed that the Anthropocene started with the invention of the linear perspective and pertaining globalisation in the early modern era, or alternatively, with the unilateral way of human control under emerging industrialism. Either way, the start represents unilateral control. In the first case, mankind took on to subdue nature, in the second case to subdue human minds of the many by human minds of the few. Keywords: Urban studies


Anthropocene
Social control

1 Introduction: The Anthropocene The Anthropocene indicates a new geological phase that our planet has entered as mankind has become the prime agent of change. This claim is undisputable and the influence of humans can be observed in geological deposits such as sedimentary rock. The abundant supply of such deposits causes controversy among scholars, rising a crucial question: How to date the beginning of the Anthropocene? Presented criteria include (1) the impact of farming that emerged thousands of years ago, (2) the global circuit of trade that arose in the late 15th century, (3) the Industrial Revolution that occurred at the end of the 18th century, and finally, (4) the Great Acceleration of the mid-20th century. An additional difficulty in fixing the start of the Anthropocene concerns the geological marks that are diachronous, varying in age from place to place. Furthermore, any choice of starting point dramatizes a particular story of the Anthropocene [1]. The nascent global trade of the late 15th century relates to repercussions such as colonialism, slave trade and emerging capitalism, that is, perpetual economic growth based on accumulating investments. Industrialisation, starting in the late 18th century, is associated with prevailing pollution and depletion of natural resources while the Great Acceleration of the last century connects to global dominance, militarisation as well as neo-colonialism and regional deprivation. Altered relations between various populations contribute to global changes. True, the Anthropocene has been managed by the powerful elites, but its unfolding sums up the lives of all. As the Anthropocene per definition relates to the overall effects of human activities, an understanding of its beginning should include human history in addition to natural history. Various social, economic, political and even humanist approaches rise easily objections as any particular academic tradition involves axiomatic propositions and © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 396–405, 2021. https://doi.org/10.1007/978-3-030-48279-4_38

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thereby may be considered ideological. A fairly recent debate among economic anthropologists is significative. When discussing change in human communities, the causes of change have been boiled down to cultural matters (cultural economics), social matters (social and political economy) and human nature (self-interest and neoclassical microeconomics) [2]. In the last instance, final explanations are thought to be axiomatic and thus mutually excluding. Here, the aim is not to distinguish a final cause of change, but to discuss various approaches to the fact that the Anthropocene has come into being. Consequently, all three points of departure are addressed. Urban history obviously reflects general cultural traits. Here, the urban morphology is viewed through the lenses of four discernible perspectives, defined as functions of seeing and being seen. They are supposed to be objective in the sense that archaeological evidence does not lie – although those interpreting it may do so. The political economy of any advanced country is reflected in planning legislation. Physical structures are a main ingredient of Anthropocene deposits and large-scale development could hypothetically relate to wealth concentration, and, in the Nordic countries, to the accomplished ways of welfare and social rights. Concentration of resources requires systems for social and political control, which include ways for controlling individuals and social institutions alike. This approach indicates the trivial notion that both individuals and institutions should be addressed in their social and political dimensions. In modern society, the ethical predicament of individuals is to operate rationally by promoting both production and use of relevant knowledge. Do we really possess this opportunity? Are the present conditions under which knowledge is produced, distributed and utilised open for scrutiny? If not, this may add to particular strata of Anthropocene deposits.

2 Urban History Already in the Gospels, seeing is equalised with evidence. In an evolutionary context, the visual capability has been essential for survival, but, being open for interpretations, it is culturally constructed as well [3]. For this very reason, different ways of seeing manifest themselves as different perspectives in urban morphology, which can be discovered and analysed regardless of variations in urban functions [4]. Seeing indicates to-see or not-to-see as well as to-be-seen or not-to-be-seen. A cross-tabulation designates four possible combinations. The four variants correspond to particular perspectives, and different relations between controllers and controlled (Fig. 1). The labyrinth implies introversion in terms of not-to-see and not-to-be-seen. In the labyrinth, one lacks overview, but gains cover. They have been found in Stone Age remains and may reflect the world of hunters and gatherers, who did not build societies and needed not to expose themselves. Later, the labyrinth is also a constitutive element of tribal cities, where public life was minimal and domestic security needed to be granted. In concurrent urbanism, the labyrinthic pattern in the form of branching urban units has gained popularity because of its suitability for providing exclusion. The value perspective has got a touch of exhibitionism where the subject does not see but is seen. The ones seeing are the mundane or celestial authorities who overlook

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Fig. 1. Perspectives in history as a function of seeing and being seen

the densely built city from their viewpoint of hilltop castles, temples or towers. The important urban elements are blown up in scale and the rest is crammed, which hampers the possibility of wanderers to gain visual orientation. In Medieval towns in Europe, churches looked at people, not people at churches. Highrise buildings of today imply the capitalist mechanism of perpetual investing, but also the mighty of finance. The linear perspective matches the extrovert activity of seeing and being seen. First developed in church art during the Middle Ages, the so-called reverse perspective renders figures or landscapes that seem to gain a view over their spectators. The impression was reached by constructing the vanishing point in front of the picture, behind the spectator. In perspective drawing, the vanishing point is an abstraction, because it is the point where parallels meet and therefore locate in infinity. Infinity corresponded to eternal life and to the destiny of the soul, which the figures of the pictures seem to scrutinize. The invention of our present linear perspective, with the vanishing point behind the picture, in front of the spectator, is associated with Filippo Brunelleschi, and dated to c. 1420. Now, the worldly spectator laid hold of the previous role of the celestial figures, and looks into the future and the infinity of the material world. The mathematical formalisation of the linear perspective had crucial effect on technological development, including navigation [5]. It also fathered the idea of urban regeneration by drawing up straight streets through crammed cities. Monuments and land marks could be placed at focal points. Urban renewal served the purpose of magnifying value of land. Economic benefit for the few replaced communality for all. The first known map of property prices is from 1420’s in Firenze, the city of Brunelleschi [6]. Today, urban planning could not be imagined without the invention of the linear perspective, or appropriation of rising land value for that matter. The perspective called Panopticon corresponds to a voyeuristic attitude of seeing but not-to-be-seen. Here, the viewer not-to-be-seen is the one in charge. A fusion of the linear and the reverse perspective was elaborated by Jeremy Bentham in 1791, and named after Panoptes, the mythological giant with 100 eyes. Starting in the 18th century, the British society underwent strong industrialisation and urbanisation as well as disciplining of the industrial working force. Bentham invented the scheme for public institutions to execute unilateral control. The guards in the centre were invisible to the inmates, who were constantly exposed while being prevented from knowing whether they were controlled or not at any given moment. The other perspectives discussed above involve both controller and controlled: The labyrinth is a case of local selfcontrol while both the value perspective and the linear perspectives involve sovereigns

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and subdued in counteraction. Rulers and deities need the subdued for manifesting their power. Only the Panopticon implies a totally unilateral control (Fig. 2).

Fig. 2. Panopticon: One-directional control. Jeremy Bentham 1791 [7]

In conclusion, the emergence of the linear perspective as a distanced, and sometimes manipulative way of viewing reality coincided with nascent capitalism and arising urban land markets. The Panopticon indicated the need of industrial society to find forms for one-directional control of the many by the few. In terms of the economy, the driving force of capitalism is to establish and expand investment possibilities and new markets. This is a process that has continued till today. In terms of societal control, markets cannot be established and expanded without integrating the whole population into this mode of production, both as producers of goods and services, and as consumers as well. Both have implications for the Anthropocene.

3 Expansion and Concentration All the reiterated perspectives are still present in urban development, but concurrent urban planning is based on the idea of foreseeing soaring land values, not visual orientation. At the level of city regions, visual confusion is now prevailing while single neighbourhoods in urban agglomerations are featured by labyrinthic standardisation. Traditional towns used to imply endless variety within overall unity. Now the opposite prevails, that is, monotony within overall chaos. Visual orientation is replaced by algorithms and manuals for finding one’s way in the hurly-burly. When trying to grasp altered urban conditions, the change of planning legislation in Sweden provides an instructive example. The first proper urban legislation was issued in 1874 and stipulated plans to include detailed regulations regarding physical shape and property division [8]. Implementation was overlooked. By the contribution of hundreds or thousands of property holders, development took place plot by plot over decades. The land bank created by the plan stood as a guarantee for a steady supply of building sites and kept land prices in check. When selling, property owners would gain from the customary increase of property prices.

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The first neoliberal planning and building regulation of 1987 is in all respects the opposite [9]. The foreseen end result is not required in any detail, but the process of building is lined out in detail. Plans are elaborated only if there is a property owner ready to initiate a project. Given a fixed time frame, implementation of a plan is then a matter for the developer. After finishing the project, the developer carries out the legal subdivision of the property and sells off the legal entities. Surplus land revenues initiated by the project are fully collected by the developer. At large, development is thus directly connected to land holding and favours big players. The result in Sweden is an exceptionally monopolised construction business, managing the development market. From a single purchaser’s perspective, control of environmental qualities and the benefit of rising land value is lost. In neoliberal planning theory, “public-private partnership” is strongly advocated by referring to the need for pooling resources and user cooperation, and the need to fight alleged municipal corruption associated with old fashioned “blue print planning”. In essence, concurrent planning is directly associated with large scale development and the appropriation of rising land value. It used to be called speculation, now it is known under the euphemism of collaboration. Unilateral control needs of course its proponents, and the best argument is the one disguised as multilateral control. Before neoliberal planning practices, future dwellers would not have collaborated, but simply produced their environment themselves. Here, the issue is however not the contingent failure of neoliberalism, but its dependence on large-scale development. Monopolisation of the development business, enhanced by spatial planning, is actually part of a broader picture. In a country like Sweden, the active engagement of the state and other public authorities has been decisive in creating a policy concerning provision of large-scale infrastructure and huge housing estates. During the post war decades of rapid urbanisation and economic growth, monopolised construction was founded on the extensive use of concrete instead of wood – in a country with some of the biggest forest resources in the world! Rental housing financed by public budgets was in focus of the development, accomplished in uniform enclaves and resulting in extensive social segregation despite the fact that rentals were accessible without income restrictions. As dwellings can be let for rent only by property owners, rental dwellers as well as dwellers in cooperatives could not legally let space for rent. This right is restricted to private or public rental firms, or to property owners. The factual outcome of this policy has been that ordinary savers lack the possibility to accumulate wealth in any other way than investing on the stock exchange, which has directed the savings of the millions to the corporate sector and the big banks. Sweden is reputed for its equal income distribution, but is in fact internationally outstanding for its uneven wealth distribution due to concentrated ownership of property [10]. The period of the Great Acceleration has been adored for levelling average income and standard of living across populations in advanced economies. Much less focus has been put on the increasing concentration of wealth. The global distribution of wealth has been a long-term concern for an international network of researchers [11]. Concurrently, the wealthiest 10% of the global population owns 81.7% of global assets, and the wealthiest 1.0% owns 45.0% [12]. Concentration of wealth seems to correlate with the exponential accumulation of global credits, which pinpoints the financial sector’s function as provider of concentration of wealth.

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4 Political and Social Control Wealth implies the control of resources and therefore it has since the dawn of history been associated with political power and control of knowledge. This connection did not diminish with the establishment of modern democracy based on representation. According to the classical definition of democracy, the composition of government should reflect the whole citizenry [13]. Government included political decision-making and the judiciary as well as civic administration. Drawing of lots was thought to produce governments that reflected the true composition of the citizenry, and it was generally preferred to elections, which were supposed to induce fractions, headed by elites that would unite against the people. These ideas of ancient Greece were in Europe revised only after the French revolution when representative democracy based on elections started to occur [14]. The major debate on the constitution of the USA took place during the federal convention in 1787. Representation through elections was considered to favour representatives that were superior in terms of wealth, power and knowledge to the average. Reducing the number of elected representatives by enlarging constituencies served the same purpose. This kind of political organization is still a valid model for representative democracy, and it has proved to be very flexible in promoting the interests of elites. Principal relations between wealth, power and knowledge are illustrated in Fig. 3. In relative terms, the top in shrinking while the bottom is swelling as a function of economic growth. By promoting educated people, recruitment from bottom-up takes place. The flexibility of the system also allows for advancement by power or wealth. Control runs top-down due to concentration of assets, and includes the control of wealth formation, civic, political and social rights as well as access to education and knowledge.

Fig. 3. Wealth, power and knowledge as relative privileges

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The accountability of corporations as well as public agencies has in many countries for years been delegated to themselves by demanding internally elaborated ethical rules for action. The flaws of self-control are laid bare by the banking sector, which has been notorious for failed conduct. Discussions concerning artificial intelligence (AI) seem to pivot around the same matter. How to humanize artificial intelligence by internalizing it to the sector itself? The confidence of the AI-establishment appears somewhat pubertal [15]. It is quite likely that the interests of a self-conscious system to maintain itself would clash with the functions of the metasystem. To be sure, ethics as a guardian of human conduct was for millennia anchored in the celestial sphere. The rules as well as punishment were externalized. Most advanced social systems appear self-referential. By definition, those in power control the production of information and knowledge, but habitually cover up or deny their power. The idea of free markets is flawed by the very fact that any unregulated marketplace implies its own self-destruction. Representative democracy is paradoxical in the sense that it provides the means for establishing permanent minority rule by utilizing temporary majority rule. Global politics indicate that influential democracies consider even wars too important to be part of democratic processing. To consider degree of democracy, it has to be evaluated based on empirical evidence. Democracy is not a “value”, but a possible outcome of an assessment based on defined criteria [16]. According to standard setups in game theory, mutual trust among players pays off, providing players are trustworthy. If they are not, betrayal pays off [17]. At the level of society, the tragedy of the commons indicates failure in pooling resources for common benefits [18]. If common resources are unfairly depleted, trust is gone. This connects trust to size of community. The larger the group, the more fragile is mutual trust and self-control. When trust is there, a community can act as a coherent whole for the benefit of everyone and enunciate a public interest. If not, it remains a collection of selfish individuals as professed by neoliberal theory, replacing the idea of public interest for collusion among stakeholders and corporate interests. In the case of centralised and unilateral control, trust is in short demand as life is based on binding all individuals to central command. Globalisation may require global institutions, but it is difficult to see how they could match the basic demand for democracy, based on trust. Now we live in a Panopticon featured by technology and artificial intelligence where controllers and the controlled seldom meat. Impersonal surveillance is implemented by cameras and interception of electronically transmitted information. Positioning systems monitor movements and conversations. Aerial surveillance has been increasingly automated. Open-source intelligence focusing on social networks enables the gathering of detailed information about people’s professional and social networks. Data mining is the application of statistical techniques and programmatic algorithms to discover previously unnoticed relationships within the data. Data profiling stands for assembling information about a particular individual or group in order to generate foreseen behaviour. In addition, a government can access information from third parties like banks, credit companies or employers by requesting, compelling or purchasing data. Of crucial importance are social media, DNA-testing agencies and family-tree providers that get their merchandise free of charge from hundreds of millions of people. Four or five thousand data points on every adult in the United States were available for

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profiling, securing the outcome of the last presidential elections [19]. Chinese Huawei or Russian trolling rise uneasiness, but do not appear more frightening than the businesses of British firm Cambridge Analytica. The surprising outcomes of recent elections in the USA, France and the UK, testify to Bentham’s idea of obtaining power of mind over mind: Unilateral control promoted under the pretext of free communication.

5 The Individual Predicament At the level of individuals, control is related to the preconditions for the existence and degree of free will, and consequently, degree of individual responsibility. Determinists would argue that the past controls the present and consequently the future. As we cannot control the past or the way the past controls the present and the future, we are unable to influence the present and the future. A counterargument states that much in life occurs by accident. Introducing randomness as a significant part of life does not, however, increase an element of control or responsibility, but rather the opposite. A deterministic view implies circumscribed freedom and responsibility, and if determinism is swapped for randomness, freedom and responsibility are equally lost [20]. The soul or the subconscious are sometimes introduced as a solution to the dilemma. In elaborating artificial intelligence, a liberating ghost in the machine is introduced. But how to understand the alleged freedom of the human soul, or the artificial ghost? If an inner being expresses invariances, the situation corresponds to the dilemma of determinism. If we consider a truly free soul, we will again face the problem of randomness. Introducing God is not very helpful either. If God is predictable, we face the determinist challenge, if not, we are lost in chance. Fatalism does not seem to induce personal responsibility. Many would however argue that a person can act freely under the impact of various deliberations, thereby taking responsibility. Knowledge of the consequences of different actions can be accumulated, which is the actual basis of modern science and most academic institutions. Scientific knowledge is however increasingly produced and distributed in a centrally controlled manner, resulting in a growing bulk of knowledge, but validating it, based on personal experience and benefit, gets progressively difficult. A major part of knowledge is out of reach not only for the broader public, but for academia as well. This may indicate one of the corner stones of concurrent control.

6 Conclusions Urban history obviously reflects general cultural traits, but at the same time it seems devoid of ideology, when discussed in terms of physical remains and urban morphologies. Here, the urban morphology has been addressed through the lenses of four discernible perspectives. Two of the presented historical perspectives seem to have emerged at the same time as global trade of the early modern period, or at the time of industrialisation three centuries later, indicating the rationale of cultural economics. The start of profound structural change can be detected in the archaeological material of urban history.

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Control of resources constitutes the basis of political power and knowledge. Expanding capitalism and industrialisation is manifested in the ways the production of physical environment has been altered, and an objective way of illustrating this is to document crucial changes in planning legislation, which frames construction, development and concurrent housing. The physical structures are main ingredients of manmade geological deposits as well. Industrialised and monopolised development is both the cause and effect of wealth concentration. In parallel, the Nordic form of welfare society seems to have promoted these tendencies. Global concentration of resources requires systems for controlling the many by the few. Technologically based surveillance of individuals and political institutions seem to be the backbone of control, that is, the hardware. The history of political sciences indicates why representative democracy has been flexible enough to lend itself to the interests of the elite. This matter may be interpreted as the software of political control. The predicament of individual researchers and others, is to contribute to the accumulation of knowledge. Simultaneously, the individual overview of knowledge and its availability is obstructed. In absolute terms, the amount of knowledge has increased, but decreased in relative terms, which causes both ethical and practical problems for rational individuals. Sooner or later, mankind will most probably vanish while nature will sustain. When considering the start of Anthropocene, two options seem relevant. It all started with the invention of the linear perspective and pertaining globalisation in the early modern era, or, alternatively, with the unilateral way of human control under emerging industrialism. Either way, the start represents unilateral control. In the first case, mankind took on to subdue nature, foreign lands and people, in the second case to subdue human minds of the many by human minds of the few. Profess withers without opposition: Marcet sine adversio virtues!

References 1. Lewis, S.L., Maslin, M.A.: The Human Planet, How We Created the Anthropocene. Pelican. Penguin Books, London (2018) 2. Wilk, R.R., Cliggett, L.C.: Economies and Cultures: Foundations of Economic Anthropology. Westview Press, Boulder (2007). A Member of the Perseus Books Group 3. Bek, L.: Reality in the Mirror of Art. Aarhus University Press, Aarhus (2004) 4. Bengs, C.: Perspectives in perspective – seeing, visualising, ruling. In: Prezioso, M. (ed.) Capitale umano e valore aggiunto territorial. Geografia economica-politica, Aracne, Italy, vol. 25, pp 19–49 (2018) 5. Wootton, D.: The Invention of Science, A New History of the Scientific Revolution. Penguin Books, London (2016) 6. Kostof, S.: The City Shaped, Urban Patterns and Meanings Through History. Thames and Hudson, London (1991) 7. Wikimedia, https://upload.wikimedia.org/wikipedia/commons/8/85/Panopticon_Jeremy_ Bentham.jpg. Accessed 5 Mar 2020 8. Byggnads- ch Brandstadgan för rikets städer. Stockholm (1874) 9. Riksdag, S.: Plan- och bygglag (1987:10). Stockholm (1987)

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10. Bengs, C.: The housing regime of Sweden: Concurrent challenges - Part A: Aims, effects and interpretations. Department of Real Estate, Planning and Geoinformatics, Aalto University, Espoo, p. 52, (Aalto University publication series Science + Technology 14) (2015). http:// urn.fi/URN:ISBN:978-952-60-6474-1 11. Piketty, T.: Capital in the Twenty-First Century. The Belknap Press of Harvard University Press, Cambridge (2014) 12. Global Wealth Databook 2019. Research Institute, Credit Suisse Homepage. https://www. credit-suisse.com/about-us/en/reports-research/global-wealth-report.html. Accessed 27 Jan 2020 13. Thorley, J.: Athenian Democracy. Routledge, London (1996) 14. Manin, B.: The Principles of Representative Government. University of Cambridge Press, Cambridge (1997) 15. Tegmark, M.: Life 3.0, Being Human in the Age of Artificial Intelligence. Penguin Books, London (2018) 16. Bengs, C.: Pluralitas non est ponenda sine necessitate. Procedia-Soc. Behav. Sci. 223, 561– 567 (2016). Elsevier 17. Cheng, E.: The Art of Logic, How to Make Sense in a World that Doesn’t. Profile Books, London (2019) 18. Ostrom, E.: Governing the Commons: The Evolution of Institutions for Collective Action. Cambridge University Press, Cambridge (1999) 19. Zuboff, S.: The Age of Surveillance Capitalism, the Fight for a Human Future at the New Frontier of Power. Profile Boo, London (2019) 20. Blackburn, S.: Think. Oxford University Press, New York (2001)

Urban Art as a Popular Expression in the Historic Centre of Mexico City Luis Fernando Zapata Montalvo(&) Leicester School of Architecture, De Montfort University, Leicester LE1 9HB, UK [email protected]

Abstract. The public space is one of the main features that shape the urban landscape of most cities. Trying to define it seems a complex task, due to the number of elements that characterize it, leading researchers to set up perceptions that, to some extent, prevent them from being able to visualize all of the problems of a city in a suitable manner. This becomes even more complex and confusing when the public space is located within a historic centre. Furthermore, public space sometimes is not fully valued as an essential component of the urban cultural heritage. Each historic centre is different, not only for its formal, historical and cultural features, but also because of the people who live in them and the very different manifestations of spatial appropriation that can occur there over the time. The urban or street art is one of those manifestations that, as a cultural practice, has spread on many streets in the historic centre of Mexico City, giving it a particular identity and provoking several positive and negative views among its inhabitants. This paper does not intend to explain the phenomenon in depth, but it seeks to show a reality that is happening in one of the world’s biggest cities in the world, Mexico City.

1 Introduction Cultural heritage means to enter into the realms of a topic with multiple concepts, as it can be approached from several perspectives. It is, in one way or another, what defines and characterizes to any society through its various cultural manifestations, whether these are material or symbolic. However, in attempting to identify how heritage is expressed in the urban context, it could be seen that the city is a scenario where several forms of cultural expression converge, whether they are traditional or contemporary, formal or informal, accepted or rejected. The importance of discussing the consideration of the public space as a fundamental part of cultural heritage arises from the need to recognize a value often ignored, because, although we are in contact with it in the everyday life, rarely we stop to reflect on the many different things that happen in the streets and squares of historic centres. As a first approach, it is important to identify why the public space of historic centres is an essential aspect of the heritage not only from the urban perspective, but also from the cultural, because its value is the result of physical and symbolic aspects that, as a whole, give the city its own identity. While public space represents a © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 406–415, 2021. https://doi.org/10.1007/978-3-030-48279-4_39

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fundamental element in any city, it is foremost the main scenario of public life, therefore, in order to understand it from its different connotations, it is important to perceive it as an integrated conception of public space. It is common to talk about the heritage value that a historic centre has, but we seldom, thoroughly, analyse the components that make up the centre as a whole, because this value does not lie solely in the buildings that make it up, but also on the whole structured set defined by the streets, squares, gardens, etc. In this sense, to perceive public space as an urban heritage, it is necessary to consider several elements that are beyond its exact meaning because their particularities are the result of its history and from the people who have inhabited it over the years, since beyond to consider public space as just a physical space, it is above all, a symbolic space that reflects the society’s identity. Thus, a historic centre acquires a meaning that is the result of the historical burden added to its relevance and present conditions.

2 A Place of Expression for the Tangible and Intangible The public space in most Mexican cities have an incomparable vitality inherited from pre-Hispanic times, that has been exposed to constant adaptation to meet the needs of every epoch. Although the uses and functions have been diverse over the years, many of these have disappeared, while others still stand. The streets and squares have been the scenario of various passages in the history of the cities by hosting multiple activities, such as, serving as a place of expression, demonstration or celebration and subsistence, where tangible and intangible values coexist to give the heritage value a meaning. To understand such complexity, it is necessary to have a holistic approach of the elements that define public space in order to avoid an incomplete view. When we ask ourselves what the public space is, we usually think of the squares and gardens that are scattered in the city; however, we do not always consider the streets as the main element through which this space becomes tangible, hence its importance lies in its functionality as a connector element of urban space. On the other hand, it is impossible to imagine a city without streets or avenues, since these are urban components of any city. In addition, when we think about the public space, it is most likely that we keep in our memory the images of the most emblematic squares and gardens of the main streets that serve as nodal elements, which together form the basis of urbanity, like if these were the arteries of a city. As Navazo (2010) describes, the streets of our cities are spaces in which the main activity is movement. It is fundamentally a movement between an origin and a destination, motivated by diverse causes. Therefore, understanding what public space and streets are as such, should imply leaving aside the thought of it as an empty space. The street is the public space par excellence; it is the scenario of public life, defined by the ‘comings and goings’ of pedestrians, who make their public character make sense, since the diversity of users, uses and functions makes this space complex and varied (Carmona 2018).

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Likewise, if we investigate the different meanings and uses of public space, as well as how they have been transformed over time, we will be able to recognize and value their importance as main elements of the structure and its urban dynamic (Fig. 1).

Fig. 1. Street artists, The GERMEN has turned the troubled hillside district of Palmitas into a coloured mural entitled “El Macro Mural Barrio de Palmitas’’.

However, perceiving the public space as an urban heritage requires the consideration of many other elements that go beyond its mere location, because its characteristics are the result of its history and of those who have inhabited it over the years. This, in a historic centre, acquires a potential meaning in which society is reflected. That is the reason why public space, understood as heritage, must be valued not only by its formal and aesthetic qualities, but also by its functional and symbolic qualities. The different elements that make up the public space, such as avenues, alleys, squares and courtyards, comprise a system of urban voids, whose origins have been intentional, because in addition to serving as means to transit, multiple social, political, commercial and cultural events take place on them, which are very different from those that take place in the rest of the city (Hardoy and Gutman 1992). French anthropologist Marc Auge defined public spaces as places that meet three characteristics: they are identifiers, relational and historical, whose meaning responds to its social and spatial content (Auge 2000). Although the public space of historic centres is a place that possesses a relevant meaning due to the social and cultural activities that happen there, either by traditions or by certain social events, it is a space that acquires much of its value and meaning, not only for the formal events celebrated there (festivals, celebrations, parades, etc.), but also for the everyday activities. Mean and Tims (2005), point out that, although the

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streets and squares have a high amount of shared values and meanings, they can be somewhat ambiguous because the history of the place does not always represent a purely chronological history that follows specific dates or events without exact referents that just simply occur in everyday life. However, the value of these spaces is given by the same people who live and transit through them, for whom these places represent a symbol of identity, rarely comparable to any other places in the city. In other words, the historic centre is the public space that is shaped “not by its parts, but by the whole” (Kanellopoulou 2017). People keep them alive through their daily activities. The historic centre, like any other part of the city, is exposed to multiple urban activities, which keep it useful and functional. When its vitality is lost, it decays and become a sort of marginal place. The particularities of this vitality that characterizes a historic centre, responds to its capacity to ensure that old and contemporary social activities can coexist. Thus, while the material heritage is exposed to constant change, social and cultural activities are also exposed. The ways of appropriating public space, of using it, of living it or transiting it, also change over time; while some of them remain intact, others tend to adapt to modernity; many others disappear, while others integrate and some of them become a cultural heritage. Nevertheless, the value of these spaces does not always comply to just purely symbolic issues, but also responds to the duality between the tangible and the intangible. Worthy of note is that much of the valuation of the public space is due to the origin of its existence. The public space of historic centres in most Mexican cities offer a unique view that allows to identify the way in which various physical and functional transformations have been given overtime. It should be recalled, that most of the cities founded in the colonial period followed an urban layout, whose main element was the “plaza mayor” (main square), which served as a main landmark from which began the distribution of the blocks that would make up the new city. Although, over the years, the uses and functions through which the public spaces of historic urban centres have been very diverse, many of them have disappeared, while others still stand. Streets and squares have been the scenario of multiple passages in the history of the cities and their inhabitants, by hosting various activities like for example, serving as a place of expression, of protest or celebration, as well as subsistence, as there are still many trades and activities that take place in these spaces.

3 Public Space, Historic Centre and Urban Art The city itself is a big scenario of urban life in which several activities take place, and hence it is subject to a wide variety of ways of appropriation by the society that inhabits it on a daily or sporadic way. A historical centre possesses a power of attraction that is not often comparable to another zone of the city. The multiple actors that in them converge, use the space in many different ways, hence the cultural expressions that occur there are not a mere coincidence, but they are an ideal place to reach the others, to be observed and heard. Among the many cultural expressions is the so-called urban art or “graffiti” that can emerge in multiple ways, which is expressed through the graphic intervention on facades or walls. Although it is a phenomenon that is present all over the city, it has

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particular ways of manifesting itself on the walls of the historic centre, which for many can be regarded as vandalism acts. However, it is important to reflect on the subject before judging, because being an expression of contemporary society, these drawings or graffities/graffiti become messages that reflect a reality and a particular moment; hence in some way they acquire a value as a living heritage. Peter Bengtsen, one of the leading theorists of this expression, has proposed a very clear differentiation between graffiti, street art and urban art. The first is addressed to a small community that recognizes symbols and initials incomprehensible to people outside a certain circle. Street art, on the other hand, has an understandable message to a wider audience and is done without the consent of another person. Urban art, is the one that is made by request, usually for a festival or in order to sell it as a work of art (Bengtsen 2018). Before going deeper in discussing the links between public space, historic centre and urban art, it is important to make a review of some general details of the first. Urban art should, in principle, be identified as an expression of visual culture, which, historically has emerged itself in multiple ways, beyond popular graffiti. There are various forms of graphic expression found on the walls of the cities, giving rise to a phenomenon that can hardly be labelled or conceptualized under precise definitions, as their variability and heterogeneity are a fundamental part of their essence. In this sense with regards to the commonly called graffiti, although the differentiation is somewhat complex because there is no clear border between it and the one considered to be urban art, one of the main variants considered is the illegality of the former, contrary to the second that is done with the property owner’s consent (McAuliffe 2012). This ambiguous separation in legal terms leads to judging urban art negatively, not only by authorities, but also by society itself. The fact that urban art is manifested through graphic interventions in public spaces responds to a premeditated intention, which translates into an appropriation of public space, since its value with regards to the city and society itself, makes it a civic milestone. This is due to its monumentality, its multifunctionality, its diversity and its function as a place of encounter and expression, since it is in those spaces where various cultural, political and social manifestations take place. On the other hand, just as architecture has represented a symbol of power throughout history, public spaces have also fulfilled this function, as many monuments, streets and squares have been erected on them, leaving an important testimony over time. Thus, the urban graphic is a means of expression that finds, on public streets, the ideal scenario by expressing itself as a counterculture that, in addition to being impregnated by a high social or political content, also contains certain artistic displays, characteristic of this phenomenon, in turn converting this act into a testimony of its present. The fact that the urban art is expressed on the streets, is because these spaces are above all, a social space, which allows different ways of appropriation to be done by diverse groups seeking that their conflicts or concerns be heard or seen. Probably, this is the reason why urban art, as such, has a close link with public space, and with the street itself, using it as a resource, not only as a canvas, but also by its composition, its context, its location and its meaning in the urban Imaginary (Riggle 2010). Therefore, to enable urban art to be urban, it must emerge in the public space to maintain those categories that distinguish it from other artistic expressions.

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Urban art as a sociocultural practice, underlines the multiple capacities of being, of public space, because it is not a new or unknown phenomenon; it is a practice that has been present in the history of humankind (Visconti et al. 2010). Worth to note is the fact that the public space of the historic centre has very different characteristics from those of the rest of the city, which is the result of its conditions of confluence, which attracts urban artists to make the public space its main scenario. Likewise, the historic centre can be perceived as a space that encompasses multiple phenomena that are a means of communication and expression, since it contains the largest number of places of socialization, in addition to attracting the greatest number of users. Therefore, this mode of expression is just one more of many other phenomena that happen in such spaces, the result of all its symbolic conditions that makes the public space, a space for everyone, in which each user experiences a different way of appropriation, whose intentions are also different. While some people seek anonymity or go unnoticed, others seek to provoke and be seen, as is the case with the urban art or graffiti. Nowadays, the heritage preservation practices in some Latino American countries such as Mexico, have been focused in maintaining the historical cities as museums, as untouchable elements that should somehow remain indifferent to their temporality. However, the works performed by urban artists turn into a sort of update of the heritage that in turn, is an act of provocation towards the inhabitants in seeking to establish a critical relationship with respect to the urban image of the city. Although the presence of urban art in the streets is an act that provokes, it also motivates the passers-by to modify their perception of the urban space and to change the meaning of a certain place through the different discourses that urban artists can manage. All this complexity surrounding the public space, the historic urban centre and urban art, deserves a deeper analysis, since the superficial perceptions will hardly deepen into the particularities that each of these elements have and the links that are established between them, links that are not merely functional, but also symbolic.

4 Urban Art in Mexico City Founded in the 14th century, Mexico City has one of the most emblematic urban centres of Mexico, inscribed on the UNESCO World Heritage List since 1987. This centre has an approximate extension of 970 ha, comprised of various monuments of religious and civil character. It is noteworthy that culture and traditions are characterized by their very diverse cultural expressions, most of them inherited and others of a contemporary character but not less valuable, that together form a world-renowned cultural heritage. In recent years, the walls of the historic centre have been taken over by various street artists, some of them anonymous and others recognized, who, under request of the owners of properties, have used the facades as canvas to carry out multiple graphic works, which over the years, have begun to give a new face to the historic centre of

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Mexico City. Although a few years ago these were isolated interventions, they are becoming more frequent today (Fig. 2).

Fig. 2. Tejedores de sueños (The dream weavers) by Mexican street artists Saner and Sego.

The fact that these graphic manifestations are often seen in the historic centre of Mexico City is due to several factors. Choosing the walls is a way of appropriation, making the public space the scenario that hosts a message addressed to the people, which is an expression of society that has become a symbol of cultural identity due to the artistic tradition, specifically of graphic character. This type of graphic expression gives a tangible and intangible value to urban heritage and therefore to the public space of the historic urban centre. This attracts and brings together locals and visitors, who do not come or transit only by necessity, but to make its squares and streets a destination in itself, either by walking, or just to observe a social, cultural, civic or political act, and in the specific case of the urban art, it has become a reason to walk through certain streets; to know and appreciate the urban art. However, the question of why we refer to the urban graphic of the historic centre of Mexico City as a cultural expression, emerges. Although there is a broad debate regarding the graphic interventions made on the walls of buildings considered historical heritage, not all these interventions can, or should, be judged under the same criteria. However, the increasing of these graphic expressions has begun to give a unique character to the public space in the city. The presence of urban art in Mexico acquires a different nuance than in other countries. Although there is a remarkable pre-Hispanic heritage that used the walls of temples to express and represent their cosmology, and later the muralism at its greater expression, they rooted in the social aspect and seem to have been facing many

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obstacles to its evolution, while in other countries, there is an unusual commercial and social boom. Mexico, the recognized country of muralism, paradoxically lagged behind the world phenomenon of street art. Meanwhile, in Europe and the United States, particularly in cities like New York and Philadelphia, there was a graffiti boom in the 1980s, emerged as a sort of clandestine battle of youngsters seeking to express themselves, by transgression of boundaries, and competing to see who did it better, bigger and in the most difficult places. Over time, some graffiti artists explored beyond the writing and tagging on the walls with aerosol and included new techniques (stencil or templates, posters, stickers, murals), new materials and motifs, until they were grouped into a broader term: urban art or street art. An art form that sought to impress the spectator, often making an ironic critique of society or a political system, and that soon began to be valued by the artistic community, even by galleries and museums. The graffiti or street art has also given rise in Europe, to an interesting debate on visual law in the public space. Of course, here the dissident character of the street art is relative. Very often, it is about purely aesthetic, landscaped and picturesque expressions. The provocative images of Banksy and BLU are already almost a forgotten issue among street artists who have indeed been absorbed by mediatization and the art market. In some countries, organizing street art festivals is a way to enhance historic centres and promote cultural tourism, such is the case in London, New York and Melbourne. The street art has been used as part of recovery strategies to raise the commercial value of land use, in key areas of territorial reordering. To do so, several recognized street artists are invited to express their work on walls in such sites. However, in Mexico, it seems there was not the same development. Here, graffiti still coexists in the traditional sense, mostly created clandestinely and seen as vandalism by the authorities. In Mexico, this boom has been seen very little seen. Possibly the most known initiative is the one proposed by “Nueve Arte Urbano” (Nine Urban Art), which has promoted several contests and festivals of graphic urban art in the Mexican city of Queretaro. Other initiatives are also important, but more restricted in resources, have also happened in other Mexican cities, such as Puebla and Oaxaca. Other initiatives in the Historic Centre of Mexico City attempted to raise the level of urban art by giving more interesting spaces, but this has not been enough. In 2012, in the midst of the international boom of the graffiti expression, some young entrepreneurs from the private sector organized a festival called “All City Canvas”. An event for which renowned street artists from other parts of the world were invited, getting privileged spaces. In Mexico, ‘muralism’ meant nationalism and vindication of ancient values. Meanings that are today rejected as a contemporary expression of art. This fear has also been an obstacle to recognize expressions of street art in the country. There is a fear of politicization or stagnation of aesthetic proposals. On the other hand, one sector of the country’s cultural elite holds, an artistic exigency attached to the canons of classical art.

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5 Conclusions Although the urban art is a phenomenon that is around the world, it is still a topic of discussion because it is not always, nor will it be totally, accepted by society because its origins fall into a counterculture response. Nowadays, a few of its expressions, such as graffiti, emerge under a consensus, leaving aside the illegal origin that graffiti originally had. It is still under the perception of the preservation of the historical centres, that urban art represents an attack that alters the original image of the public space; however, it is also important to assess how heritage is perceived, and how it can be kept alive. Throughout history, society has sought different ways of manifesting and becoming visible, hence that urban art has found, on the street walls of historic centres, an ideal space of expression, which, by containing a message that talks about a time and a space, becomes a witness of a time that should be valued before being judged in a negative way, recognize its value as a contemporary cultural practice that enriches the public space not only in the artistic sense with respect to the graphic techniques used, but the value that the message can contain in each work. In “Graffiti at Heritage Places: Vandalism as Cultural Significance or Conservation Sacrilege?” (Oliver and Merrill 2011), the authors discuss the need to rethink the way heritage is being theorized and suggest to perceive urban art as an element that can, or should be seen as heritage, because urban art, as such, is witness of a time, hence urban graphics can have a heritage value, not only for its artistic or aesthetic qualities, but because of its cultural significance. This is not due to an arbitrary and subjective perception, but to the essence of what heritage as such means, understood as a cultural product and a political resource, which can be negotiated under certain social circumstances, since each society has the capacity to choose what heritage is, what element, object or practice has a cultural value that represents a symbol of identity of a specific society. Worth a mention is that, in cities such as Melbourne in Australia, for example, a dialogue with urban artists has been established; areas of tolerance have been created as the result of their recognition and valorisation, which has had a positive effect on the city, adding to them an element of identity and by observing a reduction of illegal graffiti. If urban art is a reality in historical centres such as in Mexico City, it is important to recognize it as a witness of the history that is built in the present. Accepting the heritage value that a work of urban art can have in a historical context, implies a paradigm shift of the fundamentalist canons of the conservation of cultural heritage, because if its value is recognized, it would imply its preservation as a witness of a time for future generations. It is clear that each historic centre acquires its own personality, not only because of its formal characteristics, but also because of the multiple ways in which citizens experience the city. The public space is a great scenario of multiple cultural expressions, where urban art should be valued as a contemporary cultural practice that, although it may modify the image of a building, it is a reversible modification.

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The question that may still need to be considered is if urban art detracts from the public space of historic centres, its heritage value, or, conversely, it can become an added value to the image, by adding a current character to it, such as a link between past and present. It is true that there is an urgent need to raise the quality of street art and street art in Mexico. Knowing its economic, social and cultural potential in other parts of the world would be a good start. But it is also a precondition that some of the prejudices about the ways in which artistic genres originate and evolve should be eradicated. Support for cultural policies, of course, is of crucial importance.

References Auge, M.: Los no lugares Barcelona, pp. 115–118. Gedisa Editorial, Barcelona (2000) Bengtsen, P.: Street art and the nature of the city. In: Lund Studies in Arts and Cultural Sciences, pp. 125–138 (2018) Carmona, M.: Principles for Public Space Design, Planning to do Better. Springer, Heidelberg (2019). https://link.springer.com/article/10.1057/s41289-018-0070-3#citeas. Accessed 30 Jan 2019 Hardoy, E., Gutman, M.: Impacto de la urbanización en los centros históricos de Iberoamérica. Mapfre PNUD UNESCO, Spain (1992) Kanellopoulou, D.: Walking, feeling, talking: the experience of public space in the historical center of Athens. Senses Soc. 12(2), 177–192 (2017) McAuliffe, C.: Graffti or street art? negotiation the moral geographies of the creative city. J. Urban Aff. 34(2), 189–206 (2012) Mean, M., Tims. C.: People make places: Growing the public life of cities. Demos (2005). http:// www.demos.co.uk/. Accessed 30 Jan 2019 Navazo, M.: De la ciudad de tránsito a la ciudad hogar. Bulletin. Ciudades para un Futuro más Sostenible (2010). http://habitat.aq.upm.es/boletin/n45/amnav.html. Accessed 30 Jan 2020 Oliver, S., Merrill, C.: Graffiti at heritage places: vandalism as cultural significance or conservation sacrilege? Time Mind J. Archaeol. 4(1), 59–76 (2011) Riggle, N.: Street art: the transfiguration of commonplaces. J. Aesthetics Art Criticism 68(3), 243–257 (2010) Visconti, L., Sherry, J., Borghini, S., Anderson, L.: Street art, sweet art? reclaiming the “public” in public place. J. Consum. Res. 37(3), 511–529 (2010)

Smart Technologies for the Environmental Design of Smaller Urban Centres Elvira Nicolini(&) and Marina Sinatra Department of Architecture, University of Palermo, Palermo, Italy [email protected]

Abstract. The present study focuses on welfare measures and specifically on healthcare. The challenge we would like to accept is to provide efficient healthcare to residents in an isolated area without health services, maintaining the same level of healthcare ensured by hospitals. The innovative design, that we want to experience, is closely linked to the use of ICT, information and communication technologies, because these technologies would be able to perform autonomously multiple functions, using remote control. Telemedicine or “virtual health” is a particular branch of ICT that can improve future quality of living in a marginal urban center as a tool to ensure prompt access to expert advice, as well as patient monitoring, wherever patients and medical centers may currently be located. Mobile technology applied to healthcare could stimulate advances in telemedicine: handheld and mobile phones, equipped with specific software with advanced diagnostic instruments, being small and user friendly, could enhance medical services if integrated in houses and if the users might have a direct access to them. The research consists, in a first step, the analysis of the main technologies for active and healthy ageing and then re-designed an healthcare system structure in a case study (a small town near Palermo), in terms of usability and accessibility for health authorities and, most of all, patients. We chose as a case study a little mountain town, which because of its location, is forced to wallow in a condition of marginality, far from fundamental services for citizens. Keywords: Smart cities


ICT
Telemedicine
Active and healthy ageing

1 Introduction Motivation. There is an increasing number of small urban communities where the local population is gradually moving away to the big cities, and one of the principal causes is due to the malfunctioning, or, in some cases, the actual lack, of services. From an analysis [1] carried out on data regarding mobility and transport in the northern part of Sicily, it clearly emerges that it is both dangerous and difficult to reach the main health centers swiftly, with their being at some distance. Like many other Italian towns, stuck in the mountains in the middle of nowhere, San Mauro Castelverde, has witnessed a steady decline in its population and active involvement in life in the local region. Although this hardly conjures up a vision of a prosperous future, the town has contributed to conserving a rich historical past and a cultural heritage of great © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 416–429, 2021. https://doi.org/10.1007/978-3-030-48279-4_40

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interest and potential. However, these conditions allow us to consider these towns as: new laboratories of urban and environmental sustainability as conditions of an ancient balance between eco-compatibility and impact mitigation, bearing testimony to a form of self-sufficiency often referred to with phrases such as short supply chain [2]. Research problem. The problem posed is the resolution of marginal situation by making smart from the healthcare point of view. We wondered whether, with the help of new technology, it may be possible to tackle a situation where small communities, off the beaten tracks, are faced with abandonment; we asked ourselves whether a valid answer to the question might be provided in the planning of health facilities, by exploiting the networking concept of the home automation system and integrated with ICT. We want to imagine a smart health service that could be adaptable to the needs of the consumer and the context, through a calibrated approach extending from the resident’s home environment to the larger scale of the whole local area. Aims. By resolving the issue of marginality, the desired consequence would be the de-congesting of the big cities in favor of the smaller towns and their re-vitalization. Virtual technology delivers information at speed, with a streamlining of documentation and a precision in communication. The launching of such a system would allow swift access to expert consultancy and personal information about the patient, regardless of where the patient and information reside. Virtual technology today is of assistance in various fields and is an integral part of daily life; therefore, it is important that people of all ages and socio-economic contexts are able to handle it. Furthermore, the public sector, by using this technology, would manage to guarantee, in an efficient and timely manner, most of the services with a substantial lowering of costs for any possible transfers, working hours, installation of new medical aids, etc. Hypothesis. We hypothesized a network where the small urban center San Mauro Castelverde, through new technologies and new virtual reality becomes a hub serving the neighboring centers. The particular geographical layout of this area led us to work on two levels: on the one hand, there is a need to respond to the daily requirements of the townspeople, reducing the problem of marginality, albeit in a virtual manner; on the other hand, to create a network at the local level between the town, the neighboring municipalities and the closest health facilities, based on the principle of mutual intermunicipal aid. We imagine that this network would aim to serve 25,000 patients in an intermediate area between the Provinces of Palermo and Messina. Methodology. The research starts by a selection of international best practices that have shown how virtual health can contribute effectively to users’ comfort. From these, we selected the most common ICTs and, then, we analyzed, both on a building and urban scale, the main systems for assisted health service. These systems and technologies were then proposed on the case study: on the building scale, the prevalence of vulnerable subjects has suggested to intervening with user-friendly solutions; at the territorial scale, the study envisages the conception and implementation of a virtual network that connects users to hospitals present in the area. Finally, the study provides a traveling service of first assistance and prevention/health promotion that involves San Mauro Castelverde and the neighboring marginal centers.

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2 Conceptual Structure 2.1

Best Practices of Virtual Health

The best practices that we examined, employ very different approaches: from the more complete solutions that reckon with EHR (Electronic health record), ePrescripting (online medical prescription), CDSS (Clinical Decision Support System) and telemedicine, to partial solutions focusing on a specific sector. Local welfare represents the most promising area from the point of view of benefits; for example, the “Health Coaching” experimentation (method helping the patient to be self-sufficient in the prevention and chronic nature of the illness), in the “KKH” structure in Hannover, Germany, in operation since July 2007, involves 1,200 patients, most of whom have demonstrated an increase in satisfaction with regard to both the health service and behavioral improvements in handling their state of health, with a limitation of costs of up to 10% [3]. With the increase in numbers of the elderly and a decrease in the active population it is not always possible to provide domestic assistance and in order to allow people to live at home independently, the Eindhoven University of Technology is carrying out research to create a robotic assistant for those with reduced physical or cognitive capacity. By means of technology and computerized systems “RoboEarth” [4] might, within a few years, carry out various household functions, ensuring a new and better quality of life to those who would like to be independent within the walls of their own home, in spite of their disabilities. Norway has also invested in telemedicine solutions, many applications are being used, including: Teleconsultations between general practitioner and specialist, Tele-pathology, Tele-radiology and Tele-psychiatry. The Home Care Centre in Helsinki [5], in its own project for virtual assistance, examined how video-technology might be a valid integrative support in the daily treatment of its patients. The patients come into contact with the health worker via a swiveling camera and a touch-screen installed in their homes; if a patient were to call for help using the emergency bracelet, an alarm would instantly activate the video to assess the emergency; the medical personnel could then monitor the state of the patient until help arrived. Telemedicine services, in the Italian context, are being experimented at the Molinette Hospital in Torino (tele-monitoring with the involvement of 40 patients) [4] and at the Sant’Orsola-Malpighi Polyclinic in Bologna (tele-didactics for hospitalized children in the wards for Pediatric Oncoematology and Pediatric Cardiology and Cardio-surgery). An established example is the tele-medicine service activated by the Messina Hospital, which links up the Aeolian islands with better-equipped centers (Messina, Milazzo, Lipari) as regards filing, consultancy and analysis of patients’ medical records, using POCT, Point Of Care Testing, which guarantees the production of clinical analyses in real-time, with the possibility of sharing between medical personnel [7]. The Health project at Avellino Hospital has provided for a Hospital Car: a technologically advanced camper, where specialized doctors and nursing personnel are freely available for consultation and check-ups. Moreover, with tele-radiology it is possible to carry out diagnostic examinations at the patient’s home with lightweight, hi-tech digital instruments that take up little space.

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Characteristics of Virtual Health

New technology, and especially ICT, exemplifies an instrument devised to make daily life smoother, representing a new frontier in Man’s approach to the real world. ICT takes on a more functional role in the life of Man if planned in line with a vision integrated into the context in which it is inserted and, even more so, if installed in accordance with networked systems that respond to the various demands of the consumer. So far, in the health field, however, numerous ICTs have been seen to be applied mostly at the local level, in business enterprises or even in individualized areas; this restricts the effectiveness and organizational synergy [8]. Telemedicine is “a way of supplying services for medical assistance, through recourse to ICT, in situations in which the healthcare professional and the patient do not happen to find themselves in the same locality” [9]. This encourages empowerment in the patient, who thus has the possibility of accessing and handling data regarding processes of assistance and treatment that concern him personally; it responds to the therapeutic needs of subjects who have difficulty in travelling from their homes. There are numerous fields of application, in continuous evolution, ranging from the transmission of electrocardiographic read-outs or radiographic and computerized images, to digital photographs of skin lesions, to monitoring during pregnancy, etc. Therefore, this appears to represent excellent technical back-up at-a-distance and operated by specialists. The most common ICTs are the following (Table 1). Table 1. ICT for smart health Denomination Electronic clinical card

References D.L. n. 179 art. 13, 18/10/2012

Electronic health file

DPCM n.178 29/09/2015

Cloud computing

AgID CM n.2–3 09/04/2018

Mobile health

Myhealthapps Directory – EU

Web portals

Manuale del teleconsulto IPOCM

Description A structured digital document that collects data regarding the patient’s medical history. It supports processes of assistance in individual cases of treatment An instrument with which the individual can track and consult his medical history. The information is inserted by the GP and various specialized consultants Remote-control technological infrastructure used as a virtual resource to memorize and/or process data via CPU or software distributed on the network Software (applications) installed in mobile apparatus and geared towards medical assistance, consultation of clinical information, monitoring of vitals, aid in handling chronic diseases, at the consumer’s disposition for tagnavigation inside hospitals Web-sites containing information about the management of the health structure. Chats and social pages offering information services and remote assistance to the patient (continued)

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Denomination Hospital car

References CEN EN 1789:2007

Transmission instruments

D.Lgs n. 82 art. 6, 27/03/2005

Point Of care test (POCT) systems

Guidelines SIPMEL, SIBIOC, TELESA

Healthbots

Directive 2011/24/UE

Description Medical campers equipped with hi-tech digital apparatus, taking up little space, at the disposition of specialized operators and consumers Devices for distribution and acquisition with a protocol of digital clinical data via the use of digital fingerprints Mobile systems for domestic medical analysis, such as palmtops, test kits, glucometers, test strips, saliva-based HIV tests, electrocardiographs, portable Doppler tests, etc. Smart Speaker and voice Assistant, interface devices with the consumer, using software that interprets the natural language and activates associated functions. They are often equipped with loud-speakers and monitors

Monitoring of the patient via telemedicine takes places through tele-management, which envisages an interchange between the clinical and diagnostic environments by means of consultancy among specialized professionals. The tele-consultancy is a constant during various stages of tele-management and, via computerized devices consents the creation of interactive links between two or more communicating work stations, by telephone or computer networks, between doctors and between doctor and patient. Tele-management concludes with a tele-diagnosis representing the last phase of the clinical procedure and consists in a diagnosis carried out with radiological, sonographic images, etc., arriving from work-stations near the patient. All this enables one to define, in the least time possible, the choice of most suitable methodology for the patient’s treatment. Mobile technology applied to healthcare can bring about valid developments for tele-medicine, reaching out to remote communities [10]. Technological research has opened up a rapidly-expanding new market: from modern PDAs and mobile-phones equipped with software dedicated to manageable instrumentation of diagnostic examination, to easy-to-use software with intuitive graphic interfaces. With regard to managing the patient, these devices, installed in the patient’s accommodation or in travelling mobile structures (e.g. well-equipped campers) could improve services, by reducing physical limitations, such as distances between places. If designed as networks, health facilities could become the core of a network that connects outlying day hospitals, assistance services and private accommodation. A new frontier in interaction between Man and digital reality is that of the Brain Computer Interface (BCI), literally an interface between brain and computer. The idea is to exploit the electro-encephalographic signals (EEG) produced by our brains when we imagine the movement of a part of our body, in order to send signals capable of controlling a computer and, more generally, every type of electronic device [11].

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Recognition of a non-verbal language comprising facial expressions, gestures, subject’s posture, skin complexion, etc. could provide an overall picture of emotions that would assess the state of health and act in consequence, in order to improve the consumer’s well-being and security. If the computer were connected to a medicalemergency base of operations, the consumer, in situations of difficulty, would be able to contact the base by thought-processes alone. Another area of research that offers significant prospects is that of robotic systems in the field of personal mobility and rehabilitation. One example of a robotic system for personal mobility is represented by go-to-goal wheelchairs, equipped with sensors that consent automatic movement, taking the consumer to his/her chosen destination [13]. This technology is based on the use of signals, radio frequencies or ultrasound, which arrive from reference points in pre-established places. 2.3

Dimensions of Smart Living

The building automation is one equipped with programmed or commanded systems to manage the plant engineering and technological elements, with the aim of optimizing and improving the quality of the consumer’s daily life [15]. These systems are appropriate to home automation, which, on the single-building level, consists in integrating electric and automation technology in several plant-engineering components in the home. The most usual systems for acquiring information are sensors that pick up the environmental values for luminosity, temperature, presence of gas, humidity, movement etc. Information regarding the state of the building is conveyed to the IT control system, which then intervenes on the devices whenever the parameters do not tally with the pre-imposed data. On the single-building level, home automation is mainly aimed at maximizing energy saving, leading to significant decreases in consumption thanks to automatic control of the parameters chosen. Home automation also performs well in terms of well-being and security by means of voice control commands that can recognize a few pre-imposed phrases and send activation signals to the devices. The devices that receive the activation signals are assorted and consist of terminal components of the systems present in the building; therefore, for example, they might be radiators or heat pumps, lighting components, frames, toilet flushing systems, fire sprinklers, alarms, sound system elements, video-intercom, etc. The devices might also be activated by a transponder, a sort of very small “magic key” that receives and transmits a signal given from the user. Utilizing the home automation system the user is facilitated in his movement; he is aware of his home’s real-time consumption and in cases of emergency he can enter into contact with assistants through a few simple actions. In case of necessity, home automation will utilize environmental listening systems and begin calling a pre-imposed sequence of phone numbers, initiating a speakerphone conversation, with the help of microphones and loudspeakers positioned around the house. Systems of this type can be integrated with the use of a camera, creating a system of video-surveillance, geared towards controlling the home. The technology that regulates home functions can be connected to systems for acquisition of renewable energy; switching these on and regulating them can also be automatized with home automation systems. Thus, the building will become a complex eco-system [16], in which every

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system is automatized and functions with the others in integrated fashion, responding to the user’s need for well-being. Although home automation is today better known as a system on the scale of a single building, one can imagine transferring the concept of the self-sufficient network system to the planning of urban services, such as garbage collection, mobility, health, electricity distribution, etc. For city automation, in the case of health services, information and communication technology are fundamental for remedying the problem of physical mobility, wherever it is not possible, for reasons of a physical-mobility nature or such, to reach the local medical facility in a short time. Home-based services represent one of the keys to tackling the problem effectively, especially in remote areas, lacking medical facilities and without adequate road networks. Favoring the possibility of a home-based health service is the home automation sys-tem installed as a network in homes and local medical facilities or in medical means of transport, such as campers or caravans. Travelling medical campers can be equipped with lightweight diagnostic instruments; the ICTs installed will provide assistance to general practitioners in providing direct consultancy with specialists. The home automation system installed in local medical facilities or homes would guarantee the patient immediate feedback, via telecommunication, from a doctor, thus precluding the need for both of them to have to move; for administration it would optimize running costs and cut the cost of apparatus, whilst ensuring the analytical and diagnostic precision of the consultancy. Connecting up devices that are close to the user with hospitals, remote-maintenance services would be configured; this would be necessary for triggering therapeutic continuity for the patient in care. In similar fashion, in cases of chronic disease or simple frailness, an adequate utilization of remote-maintenance reduces the inappropriate consumption of medical resources and, at the same time, is capable of enhancing the quality of life of the patient, who can consult a doctor whenever he deems it opportune. In order to progress, the “network” system has to involve various individuals and administrative bodies (local health authorities, Municipalities, social centres, etc.) equipped with home automation devices ready to be used. The “HUB&SPOKE model alludes to the structure of a bicycle in which the spokes are connected to the hub, without being connected to each other” [17]. This principle is used in describing this type of logistical system in which all satellite operations, which are not in contact with each other, are linked to the core, which is defined as the barycenter of operations. The utilization of medical caravans and campers, in conditions of emergency, enables one to intervene swiftly with a first aid team structure in a totally autonomous modular system. Therefore, the issue is one of organizing immediate assistance in a structure that can quickly arrive in the vicinity of the patient’s home and operate efficiently and in complete autonomy for several days. Home assistance planned in this way, constitutes a valid alternative to hospitalization, with direct assistance, in the face of constant clinical support, being activated only in cases of real necessity.

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Active and Healthy Ageing

Assistive home automation is the science that provides for the integration of technology of automation, electronics, IT and telecommunications in the domestic environment. Sensors are used to communicate the state of environmental parameters (input) to the computer control system, which arranges an intervention by activating certain devices (output) either automatically or through command signals. On the one hand, this system renders the home more efficient energy-wise, thanks to the automatic control of the parameters; on the other hand, it helps the user via the automation of certain daily actions and through remote-control of devices. Home automation systems can be designed by constituting an infrastructure with several devices, in which to install interactive interfaces that activate useful functions for the user and the person assisting him/her. Home automation infrastructure is organized into three systems: command interface, transmission device and communication protocol [13]. The command interface is the mechanism that the user utilizes to control the devices. There are various types of interface, such as, for example, remotecontrols with direct selection, with a scan, with voice control, with pressure and breath sensors and so on, the choice of which must be based on a careful analysis of the user’s needs. Computers, in the same way as palmtops, represent valid interface instruments since they are easy to carry around and capable of providing great quantities of data through simple actions (subject to the user’s ability). The transmission device is the system (wired or wireless) through which the signals pass, whilst permitting communication between devices [14]. The infra-red wireless, the most widely adopted solution because it is simple and cheap, is not able to surmount physical objects placed in between. The radio-frequency wireless can surmount objects placed in between and represents a good solution wherever there is little desire to intervene with additional wiring, as, for example, in the case of installation in an existing building. On the other hand, problems might occur owing to radio interference, whenever there are radio antennae or repeaters in the neighborhood. The most common wired solutions are power line communications (PLC) and twisted-pair cabling. PLC exploits the pre-existing power grid to transmit communication signals between devices. This system often suffers system functioning errors because of the restricted transmission band, which renders it very sensitive to power surges provoked by other devices connected to the same power grid. The method based on the twisted-pair utilizes a dedicated cable for transmission, which has to be joined to the normal telephone landline. Despite costly installation, the transmission band may achieve extremely high values, also rendering this system very efficient for complex applications. The communication protocol is the language with which the devices communicate with each other.

3 Case Study: San Mauro Castelverde The last decade has seen urban planners and architects questioning and experimenting at length on the planning and conversion of the cities we live in, into sustainable cities that can optimize and innovate public services and resources in order to improve the

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quality of life. Our opinion is that it’s possible to scale the principles adopted by the European Union since 2007 under the project “smart city”, to little towns, thinking in terms of systemic view of the city, connected with each other and with its own territory also thanks to new technologies. The Italian urban landscape is dotted with small and peripheral cities, in which, despite the criticisms, a good quality of life prevails, the slow life persists despite the frenetic pace of the big cities; these are places where living under the banner of sustainability is an almost innate practice, where the agricultural landscape is still quite unspoiled and where noise and atmospheric pollution are significantly limited. In these places the wealth to be conserved does not only reside in friezes or valuable furnishings to be restored, but also and above all in the culture and tradition that is handed down from generation to generation, in the proximity and in the attitude to social inclusion, characterizing values of communities who live there. Specifically from an architectural point of view, it must be borne in mind that, besides being valuable architectural and artistic examples, these places preserve another heritage that deserves to be preserved: a building tradition of great value that bears witness to the constructive wisdom of the past, without the aid of modern technologies has produced a building heritage that is resistant to time, fully functional and naturally ecosustainable [18]. Therefore it is in this land rich in resources to be protected that our research is moving with the firm conviction that the new sustainable not only correspond to hyper large cities, but with the help of new technology, the small urban centers can be made smart, with the double advantage of and containing the process of social congestion that afflicts the big cities. 3.1

Analysis of the Urban Center and Emerging Needs

The case study on which we conducted our research is a peripheral urban center located at the top of the Madonie mountain range, in the Sicilian hinterland on the out-skirts of the provincial areas of Palermo and Messina: San Mauro Castelverde. From the urban planning and territorial analysis conducted it was evident that this center represents well the conditions of many other small Italian urban centers since it shares the main features: geographical marginality, demographic decrease, lack of road infrastructures, absence of structures that provide welfare services basic, limited job opportunities. On the other hand, this border area, located between the Madonie park and the Nebrodi park, bears distinctive features, partly due to its very nature and geographical position, which deserve to be preserved. It is, in fact, a fertile productive area; it is a place, albeit bumpy and fragmented, where craft and agricultural activities survive, closely linked to the natural potential of the places; It is a place where the development of human activities is balanced with the preservation of historical-cultural and environmental forms.

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We have analyzed and assessed the level of the social and transport infrastructures present in the territory, drawing on key information for the formulation of the research proposal: the center is poorly connected with the neighboring municipalities by an incomplete and disconnected road network, they are not school buildings of higher education are present in banking institutions and, except for the presence of an helipad for the landing of rescue aircraft and the medical guard, the main health services are not insured to the population. From the analysis of the ISTAT statistical data, we have obtained other important considerations: the demographic decrease coincides with a progressive aging of the population. Furthermore, it is worrisome that the population groups in the productive age are decreasing more intensely than the others, with inevitable consequences for the local economy. However, there is an encouraging presence of a small but not negligible number of young people. The simulation of the itineraries made with an online route calculator has made it possible to establish distances and travel times between an urban center and a hospital and territorial assistance center, and to demonstrate that despite the geographical proximity in many cases the road infrastructure network it strongly influences the degree of marginality of one urban center compared to another, and above all compared to the proximity health care. Furthermore, an analysis of the specialties present in the health facilities at the service of the area studied was performed and a limited variety of specialist health services was found, except for Cefalù. This means that, for particular visits, the users residing in the municipalities of the territory must necessarily go to the Cefalù public hospital and therefore use, on average, seventy minutes on winding provincial roads.

4 Results 4.1

Hypothetical Mobile Network Health

The results from the study have led to outline a framework of needs which led to hypothesize some ideas for increasing the future quality of living in an urban center like San Mauro Castelverde. Among the various possible areas of application, it was decided to focus on health and living environments by choosing to study solutions both on the building scale and on the urban scale. On the building scale, certainly the prevalence of vulnerable and/or frail subjects such as the elderly, disabled and children within the resident community has suggested intervening with solutions aimed at improving indoor health care through the use of user-friendly interfaces such as sensors and new-generation microsystems, wearable devices to detect or prevent falls, wireless networks for high-precision determination of the user’s position or possible intrusions, new systems to manage the patient’s medical information and monitoring of vital parameters, innovative systems for home care management. The ambition is to transform the quality of life through the technological infrastructure of the home environment: the use of new technologies for living environments and assistive home

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automation is now a real possibility to improve the accessibility and usability of the environment domestic and to extend the person’s abilities. Responding to real user needs and transforming the house into a physical space of support and monitoring of activities in order to detect dangerous situations, or evaluating the vital parameters of the occupants of an environment: these objectives are fully achieved by remote assistance and remote monitoring; through the provision of minimally invasive devices and sustainable costs, it is possible to combine reduction of social costs and improvement of the quality of life. Home automation therefore allows elderly or disabled users to enjoy their autonomy by interacting directly with the devices and to configure real smart houses where the person is at the center of a protection, assistance and inclusion system. The virtual management of rescue, diagnostics, triage, specialist visits are no longer a utopia in our day, but constitute the challenge that telemedicine, otherwise called virtual health, is currently supporting in close collaboration with technological innovation. At the territorial scale, the study also envisages the conception and implementation of a network consisting of hubs virtually interconnected through ICT to hospitals present in the area and among them, the logistic definition of a traveling service of first assistance and prevention/health promotion. The proposal involves the programming of four health campers that, according to different routes during the week, reach the center of San Mauro Castelverde and the neighboring marginal centers. The ITCs allow, in this case, the results of the analyses carried out on the camper to be transmitted to the patient thus creating virtual connections for medical consultation. Considering that outside the domestic environment the user can use these services in an assisted manner, a public place has been provided where technology can be at the service of the citizen. This research demonstrates that the same premises of the medical service, through an architectural regeneration, could become a point of highly technical specialist care. The hypothesis envisages that the medical camper will be parked in the urban center for about 90 min, during which citizens can undergo specialist visits scheduled on a certain day. The City, by providing one or more electric cars, could guarantee the organization and delivery of a traveling health service through the use of mobile devices and specialists who can perform the most common medical services, consultations and routine diagnostic tests, even at home. These mobile units, equipped to guarantee access to treatment, would decongest hospital facilities, and would also contribute to reducing the movement of citizens (Fig. 1). Finally we hypothesize a virtual network of urban centers, of which San Mauro Castelverde is part, connected to each other and with the main hospitals and health centers of the territory through the use of new information technologies of communication as interoperability platforms between processes and systems information that is complementary to the provision of online services, to the construction of shared databases, to the support of home health services (Fig. 2).

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Itinerary hospital unit Petralia Sottana

Pediatrics and Geriatrics

Itinerary hospital unit Cefalù

Ophthalmology and Neurology

Itinerary hospital unit Nicosia

Otolaryngologist and Internal Medicine

Itinerary hospital unit Mistretta

Cardiology and Orthopedics

Fig. 1. Routes and campers identified to ensure health care in San Mauro Castelverde and in other urban centers included in the network.

Fig. 2. Hypothesis of mobile network health in San Mauro Castelverde. The blue line indicates the path of the health car, the red pattern is a parking for the ambulance and the blue pattern is a parking for the hospital-car.

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Conclusion

Virtual health as being small and user friendly, could enhance medical services if integrated in houses and if the users might have a direct access to them. The advantages resulting from this research are valuable in terms of efficiency and territorial livability, impacting on mobility, communication, cost savings and the improvement of health. The study aims to be an alternative and integration of the local and territori-al health offer in order to put the patient at the center of the health system and thus contribute to improving the quality of life. Undoubtedly in terms of Smart Living this hypothesis contributes significantly to improving individual safety and quality of life. In terms of mobility, if the specialist doctor would be able to reach more patients, this would have a significant impact on the environment and on the reduction of hospital visits. From a financial point of view, analyzing costs and benefits, a reduction in public expenditure would be enabled by a sharp reduction in access to the facilities and decongestion of the hospital structure. Finally, from a social point of view, the research aims at developing greater cohesion and inclusiveness and therefore a significant improvement in individual conditions and quality of life. Acknowledgements. Elvira Nicolini is a triennial researcher funded by the Italian Ministry for the University (PON R&I 2014/20 AIM D.M. 407/2018). This paper has been edited under the coordination of E. Nicolini. She has written the pages nos. 1–9. M. Sinatra has written the pages nos. 9–13.

References 1. Scavone, V., Sinatra, M., et al.: Centri storici e smart town: mobilità sostenibile e infrastrutture virtuali. In Castagneto, F., e Fiore, V. (eds) Recupero Valorizzazione Manutenzione nei centri storici, pp. 255. Lettera Ventidue Edizioni, Syracuse (2013) 2. Mamì, A.: Resilienza e sicurezza nei centri urbani minori a forte connotazione storica. In: Territorio della Ricerca su Insediamenti e Ambiente. Inter-departmental review from the University of Napoli “Federico II”, vol. 8, no. 2, pp. 53 (2015) 3. Härter, M., Dwinger, S., et al.: Evaluation of telephone health coaching of German health insurants with chronic conditions. Health Educ. J. 14, 622–634 (2013) 4. Waibel, M., Beetz, M., et al.: RoboEarth. A world wide web for robots digital object. IEEE Rob. Autom. Mag. 18(2), 69–82 (2011) 5. City of Helsinki, home care Homepage. Accessed 23 Dec 2019 6. Ricauda, N., Tibaldi, V., et. al.: L’ospedalizzazione a domicilio di Torino e la telemedicine. Prospettive assistenziali 180, 13–16 (2012) 7. Sicilian Region, National Health Association “Piccole Isole”: Progetto di Telemedicina Eolienet. http://www.amapanarea.it/progetto_eolienet.pdf. Accessed 23 Dec 2019 8. ICT health centre: ICT in Sanità. Mettere in circolo l’innovazione, Milan (2012) 9. Italian Republic, Ministry for Health: Telemedicina, p. 10, Rome (2012) 10. Italian Republic - Ministry for Economic Development, ENEA: Sistemi di telegestione e telecontrollo nel settore ospedaliero, Report Ricerca di Sistema Elettrico, in accordance with the, Federazione Italiana per l’uso Razionale dell’Energia, p. 33 (2011) 11. Leuthardt, E.C., Schalk, G., et al.: A brain–computer interface using electrocorticographic signals in humans. J. Neural Eng. 1(2), 63–71 (2004)

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12. Stefanov, D.H., Bien, Z., Bang, W.C.: The smart house for older persons and persons with physical disabilities: structure, technology arrangements, and perspectives. IEEE Trans. Rehabil. Eng. 12, 228–250 (2004) 13. Capolla, M.: Progettare la domotica. Criteri e tecniche per la progettazione della casa intelligente. Maggioli Editor, San Marino (2004) 14. Trisciuoglio, D.: Introduzione alla domotica. Tecniche Nuove Editor, Milan (2009) 15. Buckman, A., Mayfield, M., Beck, B.M.: What is a smart building, smart and sustainable. Built Environ. 3(2), 92–109 (2014) 16. Davidoff, S., Lee, K., et al.: Principles of smart home control. Lecture Notes in Computer Science, pp. 19–34 (2006) 17. Hospital care, Emilia–Romagna Region Homepage. https://salute.regione.emilia-romagna.it/ assistenza-ospedaliera/malattie-rare. Accessed 23 Dec 2019 18. Mamì, A.: Centri storici e Smart Town: i centri minori come laboratori di nuova residenzialità sostenibile. In: Castagneto, F. e Fiore, V. (eds) Recupero Valorizzazione Manutenzione nei centri storici, pp. 250–253. Lettera Ventidue Edizioni, Syracuse (2013)

Performance-Based Planning for Sustainable Cities. Innovative Approaches and Practices in Italy Gabriella Pultrone(&) Mediterranea University of Reggio Calabria, Reggio Calabria, Italy [email protected]

Abstract. Urban areas are socio-ecological systems, whose interactions between environment and human activities tend to become increasingly complex due to global challenges, such as climate change and resource depletion. In particular, cities play a key role in the fight against climate change, as they can reduce their significant contribution to global GHG emissions, offering the inhabitants significant local benefits also in terms of local economic development and job creation, in a virtuous process including both economic and social sustainability, and boosting resilience. Within this complex framework, the paper is part of a research in progress focused on the possible contribution of urban planning to the implementation and localization of the Agenda 2030 Sustainable Development Goals (SDGs) and of the New Urban Agenda, and its main objective is to better understand whether a Performance-based Planning (PBP) approach may contribute to making cities more sustainable and resilient, according to the SDG 11. Through two significant case studies, the cities of Bolzano and Pordenone, both in the North of Italy, it shows how PBP may be integrated into the existing urban planning tools to meet the needs of better urban quality, environmental, ecological mitigation, adaptation, and quality of urban and architectural design, thus opening up future scenarios of great interest for innovation in urban planning and territorial governance. Keywords: Performance-based planning (PBP)
Mitigation and adaptation climate change
SDG 11 and New Urban Agenda

1 Introduction Urban areas are socio-ecological systems, whose interactions between environment and human activities tend to become increasingly complex due to global challenges, such as climate change and resource depletion, which affect different areas and sectors in various ways and require innovative answers [1–3]. As a matter of fact, on the one hand, increasing urbanization and agglomeration provide significant economies of scale for cities and regions, on the other, they can also lead to costs and externalities, such as those associated with noise, congestion and pollution, with related social and economic risks and a low level of life quality. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 430–439, 2021. https://doi.org/10.1007/978-3-030-48279-4_41

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According to UN-Habitat, cities are engines of economic development and lie at the core of a new urban era (the so-called ‘Anthropocene’) where people can find freedom, innovation, prosperity, and resilience. Well-planned and well-designed cities offer all residents the opportunity to lead a safe, healthy and productive life, besides presenting countries with important opportunities to promote social inclusion, resilience and prosperity [2, 4]. In addition, the framework provided by the 17 Sustainable Development Goals (SDGs) of UN Agenda 2030 (2015) is helpful for interpreting and facing the challenges of the world we live in. For mayors and local leaders who are working to improve the quality of life in urban environments, the SDGs provide a resource for a more balanced and fair urban development. It is an ambitious programme in which cities play a leading role so much that SDG 11 and, as a consequence, UN New Urban Agenda reaffirm the importance of making cities and human settlements inclusive, safe, resilient and sustainable [5, 6]. Within this broad and varied framework, the importance of the role and responsibility of urban planning emerges, as new planning and predictive modelling tools, based on systemic approaches, can provide an unprecedented means to all groups of stakeholders and city authorities of better understanding the social, economic and political interconnections inherent in urban systems, and making better use of systemic approaches aimed at significantly improving the effectiveness of decision-making and achieving efficiency in the allocation and use of resources [4, 7, 8]. In the light of the above, with reference to a broader interdisciplinary research activity in progress, and focusing on the possible and desirable contribution to the implementation and localization of the Agenda 2030 SDGs, this article aims at better understanding whether a Performance-based Planning (PBP) approach may contribute to making cities more sustainable and resilient, and whether it can be integrated in the existing planning processes, thus opening up future scenarios of great interest for innovation in urban planning and territorial governance, in line with the three pillars of sustainability, i.e., economy, environment, and social equity.

2 Methodology Given the breadth of the theme, in order to pursue the objectives of this work, mentioned above, the article is divided in two main parts: the first one consists of a brief preliminary investigation was carried out into the meaning of PBP, its origins and the extension of its application in the urban planning field; in the second part, among the different possible issues referable to SDG 11 and the New Urban Agenda, two case studies (the Italian cities of Bolzano and Pordenone, both in the North of Italy) were selected, since they were considered particularly significant because they aim at increasing urban resilience through mitigation and adaptation to climate change, whose numerous negative effects affect not only the environment, but also the society, economy and health. Moreover, awareness of the appropriateness of the choice also arises from a particular knowledge of the two cities, documented by previous and ongoing research and teaching experiences, concerning the two specific territorial areas. The consequent discussion aims at showing PBP may be integrated into the existing urban planning tools, such as the Municipal Masterplan, to meet the needs of

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better urban quality, environmental, ecological mitigation, adaptation, and quality of urban and architectural design.

3 Performed-Based Planning from Theory to Possible Application Performed-based Planning (hereinafter referred to as PBP) can be defined as the use of a strategic direction (goals and objectives) and performance trends to drive the development of agency strategies and priorities in the performance-based plans. The demand-performance theory originated in disciplinary fields other than urban planning; in fact, it was born as a technical regulation in the field of industrial production to guarantee the compliance, in terms of performance, of a product with the demand for quality by users according to given criteria. The quality assessment is therefore based on the performance levels of the product in relation to the users’ demands and expectations. The “performance legislation” has also extended to the building field and to the related technological components, as a tool to guarantee the technical performance of building assets. The concept of performance, in all the fields in which it is applied, is closely connected with a request dependent in turn on a user’s need. The logical sequence “needs-requirements-performance” is found in the structure of the legislation. In particular, the requirements, expressed both in qualitative and in quantitative terms (in the form of requests for services), represent, in principle, the essential constituent elements of the legislation. In the case of the application of the demand theory to the urban field, the object of the quality request is referred to the urban environment and its constituent elements. Quality is identified with the set of conditions, the characteristics of the physical form and the environmental conditions of the context, which allow providing, in terms of performance, an adequate response to the needs of the user/citizen. In addition to representing the main prerequisite for the implementation of urban projects, the regulations/technical standards of the plan express the idea of a city that underlies the project. Considering urban planning regulations with a performance-based approach, it is important to take into account not only purely numerical and definitive indications (indices, density, limits, etc.), but also the morphological aspects mentioned above, as well as the aspects relating to socioeconomic and testimonial values, which will then take the form of guidelines for good design, respecting the constituent elements of the existing context [9]. A brief review of the literature shows that there have been few evaluations of PBP, though it is being used by many governments, in the United States, Australia, and New Zealand [10–13], with a particular diffusion in the transport sector. Over 80 cities and towns across the U.S. use performance-based planning to chart smart futures, connecting growth with transportation investments and the environment on a regional basis. It looks at factors, such as land use patterns, density, and urban form, to find innovative solutions to challenges like housing, carbon emissions reductions, agriculture preservation, and regional economic development. PBP is an ongoing process including the following steps: 1) identifying performance goals for the region; 2) creating a set of scenarios that looks at how the adoption of different sets of policies and investments will affect the regional quality of life; 3)

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analysing the implications of different scenarios; 4) providing the public, decisionmakers, and city planners with opportunities to evaluate each scenario; 5) monitoring progress [14]. In Europe, about ten years ago, Umberto J. Rivolin [15], envisaged the cohabitation of two planning system models: a more traditional and widespread one, aspiring to ‘conform’ single projects to a collective strategy, affirmed by the plan, usually through the zoning of the territory; and a different and less institutionalized one, promoting those projects capable of ‘performing’ a collective strategy in spatial planning traditions and institutional planning. The operational advantages of PBP may be summed up as follows: 1) better control of spatial transformation; 2) more flexibility and political autonomy in the design of public strategies; 3) pivotal function of spatial development control through technical evaluations; 4) better accountability of political and technical responsibilities; 5) overall incentive to social responsibility and to democracy; and trigger of a virtuous circle in territorial governance processes (Rivolin 2008). A fundamental tenet of PBP is that planning schemes should set performance criteria but not otherwise dictate what uses may be permitted in any particular zone or on any particular site [16].

4 PBP and Urban Planning Tools: Ongoing Experiences In the north-east of Italy, Bolzano and Pordenone are provincial capitals of two with special statutes (Trentino-Alto Adige and Friuli-Venezia Giulia, respectively) that, in their policies, strategies and actions, have long shown great sensitivity and commitment in addressing global challenges on the environment, landscape and energy in the local circular economy, as highlighted in the following paragraphs. 4.1

The City of Bolzano and Reduction of Building Impact Index

Bolzano is an Italian city of over 100,000 inhabitants located in Trentino-Alto Adige (in the Südtirol Region) and it is well-known as the third Italian city for quality of the environment and quality of life and as one of the 40 cities in the world to have obtained full energy self-sufficiency from renewable energy sources. This city has in fact succeeded in obtaining 100% of its energy needs from water bodies transformed into highly effective (and ecological) sources of hydropower that guarantee self-sufficiency and energy independence. In addition to this important milestone, Bolzano has declared that it wants to further reduce its CO2 emissions by another 23%: if this project goes through, it would become one of the first cities in the world with almost 0 emissions. The strategy is coherent with the “2050 Energy-Alto Adige-Climate Strategy” [17], which faces the main aspects of territorial development, such as energy, climate protection, economic development, low CO2 emissions, sustainable exploitation of resources and technological and cultural innovation. The marked sensitivity of the Province towards climate changes (water availability, permafrost, natural hazards, dependence on agriculture and tourism from climate conditions, areas for permanent settlements) imposes on its leaders and on the whole society the adoption of an

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energy-saving management and maximum research efficiency, as well as the progressive replacement of the fossil energy sources used. The Municipality of Bolzano shows its sensitivity towards environmental challenges through a concrete commitment which can be understood as a PBP approach. In fact, in order to obtain a general overview of the problems and possible mitigation and compensation measures to increase green and permeable surfaces, and in order to draw up a concrete proposal for the introduction of rules in the municipal building regulations, the local administration commissioned a study that ended with the choice of the Reduction of Building Impact Index (hereinafter referred to as RIE Index) model for the calculation of the building impact and with the elaboration of a final operational proposal for the inclusion of the RIE Index in urban planning tools. It is a specific algorithm aimed at regulating the building activity to comply with the new requirements of energy saving and less impact on the urban hydrological system [18]. RIE Index was chosen as an indicator of the permeability of the urban territory that aims to mitigate the hydrological impacts of the context in which the new buildings are erected, stimulating the creation of permeable surfaces, whose advantages are well-known. In particular, article 19 bis of the Building Regulations of the Municipality of Bolzano (introduced in 2004 and revised in 2009) makes the adoption of the RIE procedure mandatory for all new buildings and for interventions on existing buildings, as well as for interventions of any kind - on plots of land and/or existing buildings - which affect the external surfaces exposed to rainwater (roofs, terraces, outdoor installations, courtyards, green areas, paved areas, etc.). A manual contains the instructions for use by designers, technicians and municipal officials for compiling the RIE index calculation program [18]. In order to obtain the RIE certification for the issuing of the building or habitability permit, the following parameters are required for the approval of each project: 1) RIE greater than or equal to 1.50 in the case of buildings in the productive area (e.g. sheds, production plants, …); 2) RIE greater than or equal to 4.00 in the case of a residential area (e.g. condominiums, but also schools, churches). Since 2004, the variety of cases presented has led to the introduction of the possibility, for designers whose works fail to meet the required values of 1.50 or 4.00, to present a supplementary report in the RIE certification in which they can motivate their design choices and support the reasons that prevented the recourse to alternative solutions (e.g., roof under protection of the fine arts, reasons of static order, in the case of only partial renovations…). This report, evaluated by the technician in charge of issuing the certification, can be accepted only in case of proven impossibility of designing a better solution. In essence, the RIE algorithm expresses a relationship where, with reference to a specific area/lot subject to evaluation, the surfaces treated with green are placed in the numerator and the surfaces not treated with green are placed in the denominator. Such surfaces, appropriately multiplied by the run-off coefficient or by its reciprocal and added, in the numerator, to the trees present in the same areas and expressed in equivalent surfaces by means of preset values, concur to return a number, called RIE, with range of variation between 0 and approx. 10 (11.13 to be exact). The transferability of this method to different territorial contexts was also the subject of specific investigations, for example with reference to the city of Bari, in the south of Italy [19].

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The Municipal Masterplan of Pordenone Between Participation and Sustainability Objectives

Pordenone, with its 51,000 inhabitants, is the main city in western Friuli-Venezia Giulia. It is located along the banks of the Noncello river, whose short course flows a little further into the river Meduna, the main tributary of the Livenza. The Municipal Masterplan (hereinafter referred to as PRGC) introduces some innovative elements, such as environmental and ecosystem services and the containment of soil consumption [20]. In the process of building the new PRGC, scenarios were used as tools for deepening and verifying the most relevant territorial themes, for a sustainable development of the city, with particular attention to the issues of soil consumption, ecosystem services and reuse of the existing building heritage. In addition to the analysis of classical quantitative indices (such as the number of inhabitants or urban planning standards), a check was also made on the carrying capacity of the territory to support them. With reference to the process of drawing up the plan, the participatory process, called “Pordenone più facile” (Pordenone easier) began in July 2012 through a series of meetings that followed one another until December 2012 with the aim of giving back to the designers of the plan an overall view of the city by the citizens and its main actors. Through the document of “Directives, strategies and policies for territorial governance”, the planners adopted the guidelines that the Pordenone municipal administration intended to give for the preparation of the new PRGC. They are articulated in a series of invariants, macro-guidelines and guidelines, aimed at orienting the planning of the urban evolution of Pordenone. In particular, the Administration considers the following plan invariants to be strategic and indispensable: 1) increasing the safety of the urban system; 2) environmental protection; 3) containment of soil consumption; 4) supra-municipal cooperation. The three “plan scenarios” proposed are based on alternative strategies developed in strict compliance with these plan invariants, proceeding from the set of common policies emerged during the debate on the Plan and divided into macro-guidelines and guidelines. The two macro-guidelines (saving resources; enhancing the energy of the city) aim at steering the development and enhancement of the territory. The precise guidelines of the Plan, defined on the basis of the main urban systems, indicate the strategies, the strengthening policies and the in-depth design and regulatory considerations that are considered strategic: 1) Strengthening the service system; 2) Strengthening the production system; 3) Attractive capacity of the urban system; 4) Urban regeneration; 5) Enhancement of the environmental system; 6) Enhancement of the eco-systemic potential of non-built spaces. The three scenarios below have been sized and calibrated to be all sustainable from an environmental, economic and social point of view. They are structured to respond differently to the performance levels assumed in the objectives and present differences with respect to the expected results and implementation times. Scenario 1 - Urban Regeneration. It proposes specific actions aimed primarily at triggering a progressive evolution of the existing fabric, configuring a more efficient city, which makes energy saving the economic engine for the implementation of interventions, and generates, in the medium term, an overall redefinition of the

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urban image. The private interventions are configured as components of projects for the overall redevelopment of large sections of the city. The scenario then determines a system that regulates itself in relation to the different configurations of demand. Since most of the interventions included in this project hypothesis concern private interventions – with little effect on the redevelopment of public spaces and on strengthening the ecological value of external areas –, this scenario envisages specific actions on the system of public areas and strategic policies for increasing the ecosystem-based role of agriculture by identifying the economic resources for the realization of environmental interventions within the charges of urbanization of private transformations, Scenario 2 - Controlled Expansion. The foreseen transformations have a potential value that must be exploited to the full within the different detailed project proposals, with respect to the objectives of sustainability, social cohesion and attractive power. Implementations must also be calibrated with respect to the correct population/services growth offered and to the environmental mitigation works, in order to keep the existing balance unchanged. This allows, in the short term, to significantly increase the ecosystem value of the Pordenone area thanks to the introduction of the Preventive Planting (preverdissement). This technique guarantees immediate results on the widespread quality of the city, anticipating interventions of public interest, albeit temporarily, in the first phase of the life of the Plan and providing, even in this period of stagnation of the building activity, tangible and high-quality results. Scenario 3 - Expansion Regeneration. The objective of the scenario is to keep the current environmental balance as minimum threshold value. Any transformations that imply impacts on the overall system must therefore be preceded by actions of mitigation and strengthening of the contribution of eco-system services, in order not to worsen the existing balance. The increase in settlement capacity, activities and urbanized areas is therefore subordinated to widespread interventions of regeneration of the existing city. The final construction of the plan scenario therefore results from the comparison and the composition of the policies contained in each of the three scenarios in relation to the specific territorial and environmental characteristics of Pordenone territory and in relation to the issues that emerged during the meetings with citizens, different stakeholders and professional associations. The masterplan adopted and then approved (2016), as required by the regional law of Friuli Venezia Giulia (Regional Law 5/2007 and subsequent amendments), consists of two different and complementary components: the structural plan, which is the knowledge framework of the municipal outlining urban planning strategies and actions for the development, conservation and enhancement of essential resources; and the operational/implementation plan, which translates strategies into concrete actions and interventions. The long term “strategy” of the structural component is based on two main elements: urban regeneration, as a necessary tool for a new development perspective; and the eco-tech system, as a reservoir of natural energy to power the city and generate new resources. The combination of these two strategies, designed as innovative elements of the traditional planning tools, proposes a new generation plan to achieve the main goals, namely innovative development and enhanced territorial ecosystem, while increasing the quality of life and of the environment. In particular, interventions within the implementation plan must be designed based on performance criteria relating to the

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environmental, performance and energy content provided in the specific table and must achieve a minimum score of 25 points if they concern areas that do not determine soil consumption and 35 if, instead, they determine soil consumption. Article 49 of the Implementation Technical Rules (NTA) identifies the performance criteria for the creation of the transformation areas, while art. 50 contains the requirements for interventions in the transformation areas and specifies characteristics and contents of the Normative Sheets related to each areas. 4.3

Lesson Learnt. Common Approach and Specific Differences

Despite the due differences, a common PBP approach can be found in the two case studies proposed: specific indications of the urban regulations concern performance and aim at facing common challenges and achieving common objectives of sustainability, according to the specificities of the local territorial, environmental, economic and social context. In the first case, the RIE index is introduced in the building regulations of the city of Bolzano as an index of environmental quality able to certify the quality of the building’s intervention with respect to the permeability of the soil and greenery. Therefore, it can be considered as one of the most organic Italian cases of sustainable management of urban meteoric waters and of its integration into territorial planning. The case of Pordenone is more complex as it encompasses different aspects, from the formation process of the masterplan to the civic participation, to the construction of the scenarios and the standard sheets providing indications for a better quality and sustainability of the project. Anyway, the two case studies examined lead to the following reflections, whose value can be extended to other territorial contexts. Local and regional governments should consider working together and collaborating with different stakeholders to share their services and their local knowledge, either through informal mechanisms (strategies of municipalities or regions), or through more complex institutional forms of collaboration. This cooperation could imply also economic advantages deriving from economies of scale [21]. As already highlighted, in the case of urban planning regulations with a PBP approach, it is essential to consider not only purely numerical and definitive indications (indices, density, limits, etc.), but also the morphological aspects mentioned above and those related to the socio-economic structure and testimonial values. Such aspects will have the form of guidelines for good design, respecting the constituent elements of the existing context. This is also an indicator of the change in attitude towards the plan and the related technical standards seen as dynamic elements in the form and timing of implementation. The PBP mode is different from the prescriptive/conforming planning mode, since the former emphasizes the achievement of goals, while the latter designates specific ways to achieve the goals. It is be able to give urban designers and architects more space for innovation to come up with better scenarios and thus with a better urban environment. Considering sustainability issues, the prescriptive code on urban infrastructure is facing challenges from fast evolving new technologies, such as the distributed energy supply systems, and water recycling systems. A sustainability program is hardly effective if only prescribed by law, but it is possible through constant dialogue and ongoing awareness-raising work. That is why it is extremely important and essential to inform citizens and encourage them to collaborate, to involve them to play an active role in creating a future vision.

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5 Conclusion In conclusion, in today’s world, where cities are drivers of change, urban planning and design are cornerstones for a more sustainable future, and should help realize the principles for achieving a better quality of life and well-being for all citizens, through spatial visioning and strategic planning supported by policies, tools, institutional and participatory mechanisms and regulatory procedures. This approach, shared internationally, requires a vision and coherent actions between institutions and stakeholders for urban and territorial policies, services and land use, through appropriate regulatory frameworks and tools. Therefore, urban planning and design codes and standards should be revisited to address resilience and sustainability of all urban spaces. Resilient design should be adopted for new interventions, rehabilitation (Build-Back-Better) and requalification of existing places, sites and infrastructures, including urban peripheries and rural areas. In order to ensure the achievement of the objectives, an effective renewal in the processes and planning practices is necessary to fully integrate the ecological dimension in its traditional problems. With reference to the case studies examined above, it was argued that it might be better to integrate performance based planning (PBP) with traditional urban planning tools, and with different methods, partially explored or to be explored. This would allow achieving the objectives of the plan and, more generally, implementing and localizing SDG 11 and, at the same time, taking care of our Common Home [22]. Equally important is the process of citizen participation for more effective urban planning. Besides, it is possible to draw useful indications for further in-depth scientific, methodological and operational studies for all the actors involved in the process of planning and territorial governance.

References 1. EEA: Climate change, impacts and vulnerability in Europe 2016 - An indicator-based report, EEA Report N.1 2017 (2017) 2. Pultrone, G.: what planning for facing global challenges? approaches, policies, strategies, tools, ongoing experiences in urban areas. In: Leone, A, Gargiulo, C. (eds.) Environmental and Territorial Modelling for Planning And Design, pp. 577–587. FedOA Press, Napoli (2018). https://doi.org/10.6093/978-88-6887-048-5 3. United Nations-Economics & Social Affairs: World Urbanization Prospects. The 2018 Revision (2018). https://esa.un.org/unpd/wup/Publications/Files/WUP2018-KeyFacts.pdf 4. UN-Habitat. 2016. The City We Need 2.0. Towards a New Urban Paradigm. United Nations Human Settlements Programme, Nairobi (2016) 5. United Nations: New Urban Agenda. New York (2017). http://habitat3.org/wp-content/ uploads/New-Urban-Agenda-GA-Adopted-68th-Plenary-N1646655-E.pdf 6. United Nations General Assembly: Transforming our world: the 2030 Agenda for sustainable development. New York: United Nations (2015). https://sustainabledevel opment.un.org/post2015/transformingourworld 7. Sustainable Development Solutions Network: Getting Started with the SDGs in Cities. A Guide for stakeholders (2016). http://unsdsn.org/wp-content/uploads/2016/07/9.1.8.Cities-SDG-Guide.pdf

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8. UN-Habitat: International Guidelines on Urban and Territorial Planning. United Nations Human Settlements Programme. Nairobi (2015). https://www.uclg.org/sites/default/files/igutp_english.pdf 9. Campofredano, A.: Progetto urbanistico e approccio prestazionale (1995). http://www. cittasostenibili.it/html/testo_sito_Anto.htm 10. Porter, D., Phillips, P., Lassar, T.: Flexible Zoning: How it Works. Urban Land Institute, Washington (1988) 11. Baker, D.C., Sipe, N.G., Gleeson, B.J.: Performance-based planning: perspectives from the United States, Australia, and New Zealand. J. Plan. Educ. Res. 25(4), 396–409 (2006) 12. Frew, T., Baker, D., Donehue, P.: performance based planning in Queensland: a case of unintended plan-making outcomes. Land Use Policy 50, 239–251 (2016) 13. Roughan, J.: Performance based planning. In: Queensland. Buckley Vann Planning + Development (2016). https://www.planning.org.au/documents/item/7429 14. U.S. Department of Transportation - Federal Highway Transportation: Performance-Based Planning and Programming Guidebook (2013) 15. Rivolin, U.J.: Conforming and performing planning systems in europe: an unbearable cohabitation. Plan. Pract. Res. 23(2), 167–186 (2008). https://doi.org/10.1080/ 02697450802327081 16. McInerney, A., England, P.: Anything goes? performance-based planning and the slippery slope in Queensland planning law. Environ. Plan. Law J. 34(3), 238–250 (2017) 17. Provincia Autonoma di Bolzano - Alto Adige, Dipartimento all’Urbanistica, Ambiente ed Energia: Climate Strategy. South Tyrol Energy 2050. https://ambiente.provincia.bz.it/ pubblicazioni.asp?publ_action=4&publ_article_id=214427 18. Available on the internet. www.comune.bolzano.it 19. Pelorosso, R., Gobattoni, F., Lopez, N., Leone, A: Urban green and environmental processes: towards a multifunctional landscape design. TeMA J. Land Use Mob. Environ. 6(1), 95–111 (2013). https://doi.org/10.6092/1970-9870/1418 20. Comune di Pordenone, Assessorato all’urbanistica e alla pianificazione del territorio Settore IV - Assetto Territoriale: PRGC di Pordenone. Energie per la città. Relazione di Piano. Febbraio 2017 (2017). https://www.comune.pordenone.it/it/servizi/online/prgconline/elaborati-prgc-approvato 21. Cavalli, L.: Agenda 2030 da globale a locale. Report Marzo 2018. Fondazione ENI Enrico Mattei-FEEM, SDSN Italia (2018). https://www.feem.it/m/publications_pages/2018-cavalliagenda2030.pdf 22. Francis, P., Bergoglio, J.M.: Laudato si. Lettera enciclica sulla cura della casa comune. Published editions of various publishing houses (2015)

Cost-Benefit Analysis and Ecological Discounting Antonio Nesticò(&)

and Gabriella Maselli

Department of Civil Engineering, University of Salerno, Fisciano, SA, Italy {anestico,gmaselli}@unisa.it

Abstract. The discounting of costs and benefits is a critical operation when projects, plans and programmes with long-term extra-financial effects need to be assessed. Therefore, the aim of the paper is first to show the potential deriving from the use of specific procedures to discount the environmental impact of the investment, then to define a probabilistic model for the estimate of the “ecological” Declining Discount Rate and “economic” Declining Discount Rate. The implementation of the model to the data of the Italian economy returns an ecological discount rate lower than the economic one. This means giving more weight to environmental externalities rather than strictly financial repercussions. This has a clear impact on the decision-making process for projects with intergenerational environmental implications. Keywords: Economic evaluation of projects
Ecological discounting Economic discounting
Declining discount rate




1 Introduction Recent concerns about climate change are increasingly conducting analysts to focus attention on the correct assessment of environmental externalities. Among the most important issues, there is that of discounting, since the discount rates commonly used in economic analysis tend to underestimate environmental benefits and damages progressively more distant in time [1]. This is because the “conventional” discounting procedures, i.e. conducted with time-invariant discount rate, cause a marked and sometimes unacceptable contraction in the values of cash flows that are produced for future generations [2–6]. Some authors suggest solving the problem by resorting to “hyperbolic” discounting [7–14]. This leads to the exclusion of the use of time-invariant rates in favor of timedeclining rates, which can associate greater weight to events with long-term effects. The literature proposes two approaches for the estimation of time-declining discount rates: Consumption-Based Approach, which uses Ramsey formula; Expected Net Present Value Approach (ENPV). For both, the theoretical assumption that defines the declining trend is the inclusion of an uncertainty factor in the time structure of the The contribution to this paper is the result of the joint work of both authors, to which the paper has to be attributed in equal parts. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 440–450, 2021. https://doi.org/10.1007/978-3-030-48279-4_42

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social discount rate [7]. If for the Consumption-Based Approach, the uncertainty concerns the growth rate of consumption, in the ENPV it is the same discount rate that is modelled as uncertain. Other scholars, instead, to discount the environmental components propose an “ecological” rate less than the “economic” one, the latter useful to evaluate strictly financial cash flows [1, 15–18]. Usually, the discount rate coincides with the rate at which the society is willing to postpone a current consumption unit to obtain higher consumption later. It is assumed namely that future generations are richer than present ones, so that, by the principle of diminishing marginal utility, an incremental unit of consumption today is worth more than tomorrow. However, current policy actions increasingly lead to greater impacts on the environment – inter alia, greenhouse gas emissions, rising temperatures, reduced biodiversity – rather than future consumption. Hence, the need to define an “ecological” discount rate that takes into account the correlation between environmental goods and consumer goods [1, 15]. The aim of this research is first to show the advantages of using an “ecological” discount rate less than the “economic” one, then to define a model to estimate the declining function of the two discount rates. In light of the limitations of the literature protocols, as well as the needs related to the simple implementation of evaluation tools, the model is structured on probabilistic logic algorithms. Section 2 below provides the theoretical framework on the approaches traditionally used for the economic and ecological discounting. In Sect. 3, we explain the logicaloperational steps on which the proposed probabilistic model is based. In Sect. 4, the model is implemented to estimate the ecological DDR and the economic DDR for Italy. The last section reports conclusions and research perspectives.

2 Economic and Environmental Discounting: Literature Review The Social Discount Rate is generally estimated according to the Social Rate of Time Preference (SRTP) logic. This approach reflects the point of view of the consumer, who prefers to receive the same amount of goods and services sooner rather than later. This means that consumers are generally “impatient” or “myopic” due to the risk of not being alive in the future and, for this reason, tend to give more weight to current consumption [19]. In summary, the assumption underlying the SRTP is that the welfare of society is a function of the consumption utility U(c) alone. Then, assuming that U(c) is iso-elastic, i.e. that the elasticity of the marginal utility of consumption is constant, then the discount rate r can be estimated using Ramsey’s formula: r ¼ dþc
g

ð1Þ

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Where: – q is the time preference rate, which reflects the importance that society attaches to the well-being of the present generation over that of the future generation; – c is the elasticity of the marginal utility of consumption, understood as a parameter of aversion of the social planner, or more generally of the Government, towards the disparity of incomes; – g is the growth rate of consumption. If we suppose that the consumption register follows a Brownian motion with trend l(h) and volatility r(h) with h parameter uncertain over time, then the function (1) of the discount rate r is declining over time. For example, assuming that the average l(h) of the growth rate of consumption is uncertain, the (1) becomes: n 1 X rt ¼  ln qh eðclh Þt  0:5c2 r2 t h¼1

ð2Þ

P where qh ¼ 1, with qh probability that the l parameter associated with the uncertainty will occur. The use of declining discount rates makes it possible to give greater “weight” to all cash flows – both financial and non-financial – that are far away in time and that would end up being excessively underestimated with constant discounting. However, when it is necessary to express an economic performance judgement on investment initiatives with multidimensional impacts, it may be of interest to discount differently the environmental impacts and the financial effects. In this respect, it has been said that current investment programmes increasingly generate greater effects on the environment than on future consumption. In this perspective, some scholars suggest to estimate an “ecological” discount rate different from the “economic” discount rate [1, 15–18]. This can be done assuming that: 1. the environment deteriorates over time, so an incremental improvement in environmental quality will be more valuable to future generations than to current ones; 2. the utility or “happiness” of society U(c1t, c2t) depends on two determinants or “goods” i.e. the consumption c1t and environmental quality c2t. The availability of the two goods varies over time; 3. the utility function U(c1t, c2t) is Cobb-Douglas type, growing and concave; 4. the two goods, i.e. consumption and environmental quality, are interchangeable; 5. the environmental quality grows less rapidly than consumption. Under these conditions, the inter-temporal social welfare is measured by the discounted value of the flow of temporal expected felicity: If the parameters c1t and c2t are known, if they follow a geometric Brownian motion and if they are correlated by a deterministic function of the type c2t = f (c1t), then deriving U(c1t, c2t) with respect to the consumption c1t, the equation that describes the “economic” discount rate r1t is:

Cost-Benefit Analysis and Ecological Discounting

r1t ¼ d þ ½c1 þ qðc2  1Þ
½g1  0:5ð1 þ c1 qðc2  1Þ
r11

443

ð3Þ

Deriving instead U(c1t, c2t) with respect to the environmental quality c2t we have the function of the “ecological” discount r2t: r2t ¼ d þ ½ðqðc2 þ c1  1Þ
½g1  0:5ðqc2 þ c1 Þ
r11

ð4Þ

With reference to (3) and (4): – – – – –

d is the time preference rate; c1 the parameter of aversion to the risk of income inequality; c2 the degree of aversion to environmental risk; g1 the growth rate of consumption; r11 the uncertainty of the growth rate of consumption in terms of the average squared deviation of the variable; – q the elasticity of environmental quality to changes in the growth rate of g1 consumption.

In the specified hypotheses, as Eqs. (3) and (4) show, a flat structure of the two rates – “economic” and “ecological” – is obtained. If the parameters governing economic growth and environmental quality change are considered uncertain, then we obtain a structure of the economic discount rate and the ecological discount rate that declines over time. There are many econometric models recognized in the literature useful to estimate the uncertain parameters of (3) and (4), i.e. g1, r11, and q, that define the structure of the rate declining in time t. However, the complexity inherent in some of them, as well as the difficulty of finding the data useful for the evaluation, make estimating the DDR not always easy. This is the reason why few governments still use time-declining rates in feasibility studies for inter-generational projects, i.e. those where the generation that receives the benefits is different from the one that bears the costs. In addition, recent political concerns about sustainable development make it of interest to assess environmental externalities and financial cash flows separately. This by using economic discount rates greater than ecological ones. Thus, the objective of this paper is to characterize a model for the estimation of the two rates – the economic and the ecological – which, while respecting the theoretical principles proposed in the literature, is of simple use for the economic operator.

3 Characterization of a Probabilistic Model to Estimate the Economic Discount Rate and the Ecological Discount Rate The idea is to assume the growth rate of consumption g1 in (2) and (4) as an uncertain variable in the analysis period. This means associating to the uncertain future value of g1 a probability distribution derived from the analysis of the historical trend of gt.

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Operationally, the first step coincides with the estimation of the certain parameters of the formulas (3) and (4). d reflects the importance that society attributes to the wellbeing of the present generation compared to that of the future generation. In particular, d is given by the sum of two contributions: the discount rate l based on mortality and the pure temporal preference rate r. Since individuals rationally discount future utility based on the probability of being alive at the time of the decision, l coincides with the average mortality rate. The rate r is positive and reflects the irrational behaviour of individuals in their choices about the distribution of resources over time. The literature shows values 0 < r < 0.5% [19–21]. The elasticity of the marginal utility of consumption c1 is estimated by implementing the formula proposed by both Stern [22] and Cowell and Karen [23]: c1 ¼

logð1  tÞ logð1  YT Þ

ð5Þ

where t is the marginal tax rate; T/Y is the average tax rate, the ratio between the total amount of income tax and taxable income before tax. The degree of environmental risk aversion c2 is not easy to assess. Gollier [1, 15] notes that the share of consumption expenditure to be allocated to environmental quality is given by the following formula: c ¼

c2  1 c1 þ c2  2

ð6Þ

The value of c2 in (9) can be obtained considering that 10% < c * < 50% [24, 25]. Finally, the calibration of parameter q depends on how the environmental quality is defined. Gollier describes the latter as the percentage of total land area (including inland waters) having very high anthropogenic impact. Thus, q expresses the sensitivity of environmental quality c2 to changes in consumption c1, where the latter is approximated to the per capita GDP [1, 15]. In this research, environmental quality c2 is defined according to the Environmental Sustainability Index (ESI) supplied by the Yale Center for Environmental Law and Policy. The ESI is a composite index that, through 21 environmental performance indicators, summarizes the ability of 146 countries to preserve the environment. Consider c1 as the GDP per capita of a country and c2 as the relative ESI. From the correlation between the two parameters comes the value q, which represents the inclination of the line: ln c2 ¼ x þ q
ln c1 þ e

ð7Þ

where x is the line intercept on the y-axis and e the statistical error of the regression. The second step of the analysis is to derive the probability distribution that best approximates the historical series of g1. From the latter then, through the Montecarlo analysis, it is possible to predict all the probable values that the r1 and r2 rates can assume.

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The third step is to determine, starting from the probability distributions identified in the previous step, the values of the r1 and r2 rates for each of the n years of the analysis period. Here the reference is to the logic of the ENPV Approach, according to which estimating the expected net present value (ENPV) of a project with an uncertain but constant discount rate is equivalent to computing the NPV with a certain but decreasing “certainty-equivalent” discount rate that reaches the minimum possible value at time t [9–11]. According to this approach, we move from two uncertain and constant discount rates (r1 and r2), which coincide with the expected value of the probability distributions in step 2, to certain but decreasing rates with a “certaintyequivalent” discount rate. The transition from the uncertain and constant discount rate to the certain but decreasing rate with a “certainty equivalent” requires first of all to estimate the economic discount factors E1(Pt) and ecological discount factors E2(Pt) for each future t. E1(Pt) and E2(Pt) are expressed respectively by the reports: " E2 ðPt Þ ¼ E2

m X

# pr1i
e

ðr1i tÞ

pr2i
e

ðr2i tÞ

ð8Þ

i¼1

" E2 ðPt Þ ¼ E2

m X

# ð9Þ

i¼1

Where: r1i = value of the i-th economic discount rate, as shown by the probability distribution of r1 derived from formula (3) with g1 uncertain variable; p1i = probability that the i-th value of the economic rate r1 has to occur; r2i = value of the i-th ecological discount rate, as it results from the probability distribution of r2 derived from formula (4) with g1 uncertain variable; p1i = probability that the i-th value of the ecological rate r2 has to occur; t = time variable; m = number of intervals in which the probability functions of r1 and r2 are discretized. Having obtained the time sequences of the economic and ecological discount factors, the last step coincides with the estimate of the declining economic discount rate ~r1t and the declining ecological discount rate ~r2t : E1 ðPt Þ 1 ¼~r1t E1 ðPt þ 1Þ

ð10Þ

E2 ðPt Þ 1 ¼~r2t E2 ðPt þ 1Þ

ð11Þ

Figure 1 summarizes the logical-operational steps of the model for the estimation of ~r1t and ~r2t .

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4 Discount Rates: Estimation for Italy The model for estimating the economic discount rate ~r1t and ecological discount rate ~r2t , summarised in Fig. 1, is applied to data on the Italian economy. The data used for evaluating the probability distributions of r1 and r2 are summarized below. d is the sum of two rates: l, estimated on the basis of Italy’s mortality rates provided by ISTAT and the World Bank for the period 1989–2018; r, to which a value of 0.3% is attributed in order not to create excessive disparity of treatment between the current and future generations.

1.

Estimate of certain parameters of (3) and (4): δ , γ 1, γ2, σ11, ρ

2. Estimation of the probability distribution of the growth rate of consumption g1 and, consequently, the “economic” discount rate and “ecological” discount rate r1 and r2

3. Estimation of the “certainty-equivalent” discount factors – economic and ecological E1 Pt and E Pt

4. Estimation of the “economic” DDR

and “ecological” DDR

Fig. 1. Logical-operational phases of the model for the estimation of ~r1t and ~r2t .

The implementation of the formula (5) returns the elasticity of the marginal utility of consumption c1. In this case, the reference database is that of the Organization for Economic Cooperation and Development Countries (OECD), which provides the marginal t and average T/Y individual income tax rates for several multiples (67%, 100%, 133%, 167%) of the average wage. The value of c2 is instead obtained from (6) assuming c* = 30%. Parameter q summarises the sensitivity of environmental quality c2 (expressed through the Environmental Sustainability Index - ESI) to changes in consumption c1, with c1 approximated to GDP per capita. The most recent values of the index, i.e. those of 2005, are correlated for 146 countries with their GDP per capita in 2005. Figure 2 summarises the result of the regression analysis expressed by (7), where q coincides with the slope of the straight line and is equal to 0.04.

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Fig. 2. Linear regression analysis for the estimation of q.

The analysis of the historical trend of the GDP growth rate for the forty-year period 1979–2018 makes it possible to first assess the probability distribution of g1 and then those of the “economic” discount rate r1 and “ecological” discount rate r2. Through steps 3 and 4 of the model, it is possible to switch from r1 and r2 to economic discount rate ~r1t and ecological discount rate ~r2t . In summary, the processing carried out returns for Italy: • an economic discount rate ~r1t which starts from an initial value of 3.3% to reach the final value of 0.65% after 300 years; • an ecological discount rate ~r2t considerably less than economic ~r1t . Indeed, ~r2t starts from a value of 1.62% at time t = 0 to be around 0.32% at the end of the analysis period. Figure 3 summarises the results.

3.50% 3.00% 2.50% 2.00% 1.50% 1.00% 0.50% 0.00% 0

100

200

300

Fig. 3. Term structure of economic discount rate ~r1t and ecological discount rate ~r2t for Italy.

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5 Conclusive Remarks For the economic evaluation of sustainable development investments, it is necessary to give due “weight” to the totality of the costs and benefits generated by the initiatives, including also the effects progressively more distant in time [26–30]. Therefore, the choice of the Social Discount Rate (SDR), the value of which significantly influences the CBA result, is crucial. Some scholars propose to discount the economic effects of intergenerational projects by using time-declining discount rates (DDR) in order to avoid an excessive contraction of cash flows further away [6–14]. Others consider that they should also distinguish between an economic rate to discount the strictly financial terms and an ecological discount rate for the environmental externalities [1, 15–17]. This can be done considering that the utility function depends not only on consumption but also on environmental quality and that these variables are closely related. It is within such a framework that this research is placed. Its objective is to characterize a model for the estimation of economic DDR and ecological DDR based on probabilistic algorithms. The attempt is to define an instrument that is easy to use, although anchored to principles of indisputable theoretical validity. The application of the model to the Italian economy returns: an economic discount rate that starts from a value of 3.3% at time t = 0 to settle around 0.65% after 300 years; an ecological rate at time t = 0 equal to 1.62% that declines to 0.32% at the end of the analysis period. Thus, the greater uncertainty related to environmental quality rather than economic evolution leads to a lower ecological discount rate than the economic one. This shows that in the Cost-Benefit Analyses more weight must be given to the environmental components that are progressively more distant from the time of evaluation compared to the strictly financial ones. This has significant policy implications for the process of allocating public resources to assign to environmental projects.

References 1. Gollier, C.: Ecological discounting. J. Econ. Theory 145, 812–829 (2010). https://doi.org/10. 1016/j.jet.2009.10.001 2. Battisti, F., Campo, O: A methodology for determining the profitability index of real estate initiatives involving public-private partnerships, A case study: the integrated intervention programs in Rome. Sustainability 11(5), 1371 (2019). https://doi.org/10.3390/su11051371 3. D’Alpaos, C., Marella, G.: Urban planning and option values. Appl. Math. Sci. 8(157–160), 7845–7864 (2014). https://doi.org/10.12988/ams.2014.49744 4. Morano, P., Tajani, F.: Estimative analysis of a segment of the bare ownership market of residential property. In: Murgante, B., et al. (eds.) ICCSA 2013: 13th International Conference, vol. 7974, pp. 433–443. Springer, Heidelberg (2013). https://dx.doi.org/10. 1007/978-3-642-39649-6_31 5. Nesticò, A., He, S., De Mare, G., Benintendi, R., Maselli, G.: The ALARP principle in the cost-benefit analysis for the acceptability of investment risk. Sustainability 10(12), 4668 (2018). https://doi.org/10.3390/su10124668

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6. Nesticò, A., Maselli, G.: Intergenerational discounting in the economic evaluation of projects. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives. ISHT 2018. Smart Innovation, Systems and Technologies, vol. 101, pp. 260– 268, Springer, Cham (2019). https://dx.doi.org/10.1007/978-3-319-92102-0_28 7. Newell, R.G., Pizer, W.A.: Discounting the distant future: how much do uncertain rates increase valuations? J. Environ. Econ. Manag. 46(1), 52–71 (2003). https://doi.org/10.1016/ S0095-0696(02)00031-1 8. Arrow, K.J., Maureen, L., Cropper, C.G., Groom B., Heal, G.M., Newell, R.G., Nordhaus, W.D.: How should benefits and costs be discounted in an intergenerational context? the views of an expert panel. In: Resources for the Future Discussion Paper, pp. 12–53 (2013). http://dx.doi.org/10.2139/ssrn.2199511 9. Weitzman, M.: On the environmental discount rate. J. Environ. Econ. Manag. 26(2), 200– 209 (1994). https://doi.org/10.1006/jeem.1994.1012 10. Weitzman, M.: Why the far-distant future should be discounted at its lowest possible rate. J. Environ. Econ. Manag. 36(3), 201–208 (1998). https://doi.org/10.1006/jeem.1998.1052 11. Weitzman, M.: Gamma discounting. Am. Econ. Rev. 91(1), 261–271 (2001). https://doi.org/ 10.1257/aer.91.1.260 12. Henderson, N., Langford, I.: Cross-disciplinary evidence for hyperbolic social discount rates. Manag. Sci. 44(11), 1493–1500 (1998). https://doi.org/10.1287/mnsc.44.11.1493 13. Nesticò, A., Maselli, G.: Estimating the declining discount rate in the economic evaluation of projects in the energy and water sectors. In: Frontiers in Water-Energy-Nexus – Solutions, Advanced Technologies and Best Practices for Environmental Sustainability, Springer Nature, Heidelberg (2018). https://dx.doi.org/10.1007/978-3-030-13068-8_4 14. Cropper, M.L., Laibson D.: The implications of hyperbolic discounting for project evaluation. World Bank Policy Research Working Paper Series 1943, Washington, DC (1998) 15. Gollier, C.: Pricing the Planet’s Future: The Economics of Discounting in an Uncertain World. Princeton University Press, New Jersey (2011) 16. Weikard, H.P., Zhu, X.: Discounting and environmental quality: when should dual rates be used? Econ. Model. 22, 868–878 (2005). https://doi.org/10.1016/j.econmod.2005.06.004 17. Müller, F.G.: The discounting confusion: an ecological economics perspective. Economía 36 (71), 57–74 (2013). ISSN 0254-4415 18. Nesticò, A., Maselli, G.: Declining discount rate estimate in the long-term economic evaluation of environmental projects. J. Environ. Account. Manag. 8(1), 93–110 (2020). https://doi.org/10.5890/JEAM.2020.03.007 19. Dasgupta, A., Pearce, D.: Cost-Benefit Analysis. Palgrave Macmillan, London (1972) 20. Pearce, D., Ulph, D.: A social discount rate for United Kingdom. In: Pearce, D. (ed.) Environmental Economics: Essays in Ecological Economics and Sustainable Development, pp. 268–285. Edward Elgar, Cheltenham (1999) 21. Evans, D.J., Kula, E.: Social discount rates and welfare weights for public investment decisions under budgetary restrictions: the case of cyprus. In: VIII Milan European Economic Workshop, University of Milan, Working Paper 19 (2009) 22. Stern, N.: Welfare weights and the elasticity of marginal utility of income. In: Artis, M., Norbay, R. (eds.) Proceedings of the Annual Conference of the Association of University Teachers of Economics, Blackwell, Oxford (1977) 23. Cowell, F.A. Karen A.G.: Welfare Weights. STICERD Research Paper No. 20. London School of Economics, London (1999) 24. Hoel, M., Sterner, T.: Discounting and relative prices. Clim. Change 84(265–280), 2007 (2007). https://doi.org/10.1007/s10584-007-9255-2

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25. Sterner, T., Persson, M.: An even sterner report: introducing relative prices into the discounting debate. Rev. Environ. Econ. Policy 2(1), 71–76 (2008). https://doi.org/10.1093/ reep/rem024 26. Nesticò, A., Maselli, G.: Sustainability indicators for the economic evaluation of tourism investments on islands. J. Clean. Prod. 248, 119217 (2020). https://doi.org/10.1016/j.jclepro. 2019.119217 27. Nesticò, A., Moffa, R.: Economic analysis and operational research tools for estimating productivity levels in off-site construction [Analisi economiche e strumenti di Ricerca Operativa per la stima dei livelli di produttività nell’edilizia off-site]. Valori e Valutazioni 20, 107–126 (2018). ISSN: 2036-2404 28. Calabrò, F., Tramontana, C., Cassalia, G., Rizzuto, M.C.: Economic sustainability in the management of archaeological sites: the case of bova marina (Reggio Calabria, Italy). In: Calabrò, F., Della Spina, L., Bevilacqua, C., (eds.) New Metropolitan Perspectives, ISHT 2018. Smart Innovation, Systems and Technologies 101, 288–297. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-92102-0_31 29. Troisi, R., Alfano, G.: Towns as safety organizational fields: an institutional framework in times of emergency. Sustainability 11(24), 7025 (2019). https://doi.org/10.3390/su11247025 30. Della Spina, L.: A multi-level integrated approach to designing complex urban scenarios in support of strategic planning and urban regeneration. In: Smart Innovation, Systems and Technologies, vol. 100, pp. 226–237. Springer, Cham (2019). https://doi.org/10.1007/978-3319-92099-3_27

An Evaluation Model for the Definition of Priority Lists in PPP Redevelopment Initiatives Pierluigi Morano1(&), Francesco Tajani2, Maria Rosaria Guarini2, and Felicia Di Liddo2 1

2

Polytechnic University of Bari, 70125 Bari, Italy [email protected] “Sapienza” University of Rome, 00196 Rome, Italy

Abstract. With reference to the urban redevelopment interventions carried out through the Public Private Partnership procedure, the present research aims at testing a model able to quickly evaluate the convenience of the parties involved (private investors and Public Administrations). The model has been applied to three urban transformation initiatives to be developed in the city of Bari (Southern Italy), in order to verify the financial feasibility of each investment. The experimentation on the three projects considered could allow i) the Public Administration to define a priority list of the three urban initiatives to be launched in the city of Bari, ii) the private investors to weigh the risk of the different alternatives, in order to identify the most appropriate investment. Keywords: Public-private partnerships
Discounted Cash Flow Analysis Enhancement concession
Private operators
Public property assets




1 Introduction In the current economic situation, the processes of existing real estate assets enhancement and of degraded urban areas redevelopment constitute an important opportunity to i) recover abandoned and/or damaged properties, ii) activate larger-scale regeneration initiatives, iii) trigger off local production systems, iv) promote the national economic growth [1, 2]. The use of alternative forms of financing and management of the interventions on the territory, based on the cooperation between the Public Administrations and private subjects through Public Private Partnership (PPP) procedures, is currently essential in the definition and the concrete implementation of the urban transformation [3, 4], as a means of filling the gap between the need for public services and the willingness of governments to pay for them [5, 6]. Currently, a PPP represents an investment model with a high development potential [7–10], whose benefits concern not only the combination of public capabilities with private financing effectiveness, but also a better quality of public assets management through the division of tasks and risks between the partners.

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Each private and public subject involved in the recovery and the enhancement initiatives plays an important role both in the identification of the actions (co-decision phase) and in the allocation of resources (co-financing phase) [11]. In fact, two interests typologies are compared in the negotiation phase [12]. The first one (typically private) is represented by the maximization of the profits generated by the urban project implementation in terms of personal gain. The second one (typically public) is more complex as it is multidimensional and not associated exclusively to quantitative and monetary aspects. The participation of a private investor in a public property recovery and transformation process requires the satisfaction of the financial convenience criterion, i.e. the intervention ability to remunerate the capital initially invested and to generate an adequate profit for the entrepreneur [13, 14]. On the other hand, the public entity, by consolidating risk and responsibility in one private partner, is able to save time and money [15]. With reference of the different PPP procedures, all fundamentally focused on the sharing of the three core “R” components - resources, responsibilities, risk -, the enhancement concession, introduced by Art. 3-bis Legislative Decree n. 351/2001, is an effective tool able to bridge the financial deficit that characterizes the Italian state coffers. In the context of the urban transformation initiatives carried out through the enhancement concession, the cooperation between Public Administrations and private subjects takes place by entrusting the use of the property to private economic investors for a time period preliminarily established for the maximum duration of fifty years (concession period). In the fixed time period, the private subject, usually as a company and/or a consortium, has the task to manage the property, recognizing to the public entity a share of the income deriving from the exercise of the activities carried out in the enhanced property. In particular, the enhancement concession provides that the property ownership remains public for the entire duration of the concession and the public subject resumes the full availability of the property at the end of the concession period with each improvement, addition and modification made on it by the private subject. The transformation initiatives of disused properties and/or abandoned urban areas carried out through the enhancement concession aim at the functional conversion of property assets no longer used for the original purposes or at the redevelopment of public spaces currently in degradation or abandonment state. Therefore, the enhancement concession allows the private investor not to place the costs related to the property purchase on the initiative’s business plan, and the Public Administration to improve an under-utilized or abandoned property through interventions paid by the private investor, by removing any costs related to the management phases of the asset.

2 Aim The present research concerns the financial and economic assessment techniques Benefit Cost Analysis (BCA) - to support decision-making processes in the context of the planning and management of urban interventions. The aim is to provide an innovative evaluation tool of rapid application in the selection phases among several

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alternatives. The model could be applied with reference to the same intervention, in order to choose the best solution among the different alternatives presented or, with reference to different initiatives on different urban areas for the identification of the “best” one where to concentrate available resources. In this sense, the proposed model could allow Public Administrations to define a priority list of urban initiatives to be launched and implemented in order to satisfy the needs of the local communities. Furthermore, the model could allow private investors to weigh the different alternative interventions risk. In general terms, the operating methods used for the financial analysis are based on the assessment of the cash flows for all the analysis period, considering an appropriate discount rate (r). In particular, this coefficient is equal to the expected return on investment of the private investor (rmin), that reflects the opportunity cost of the private resources, i.e. the return to which the subject gives up by “participating” in the specific initiative. The implementation of the Discounted Cash Flow Analysis (DCFA) in the context of the PPP initiatives allows, therefore, to verify the financial convenience for the subjects involved through i) the assessment of the initiative transformation costs, management costs and of the revenues; ii) the interpretation of the main performance indicators (Net Present Value - NPV -, Internal Rate of return - IRR -, Discounted Payback Period - PbP). In particular, as the discount rate r increases, NPV decreases and PbP increases, in accordance with the increase in risk associated with the specific investment. With reference to the PPP initiatives, the present research borrows a model proposed by Tajani et al. [16] for assessing the financial conveniences of the parties involved (private investor and Public Administration). Starting from the definition of the NPV and the PbP, assuming that the investment costs are concentrated at year “0” in which the analysis is carried out and the investment cash flows that occur after the PbP are periodically constant, the Eq. (1) is valid. Ft


ð1 þ rÞðTPbPÞ  1 ¼ NPV r
ð1 þ rÞT

ð1Þ

where Ft represents the cash flow of the investment in the period t, r is the discounted rate, T is the analysis period, PbP is the Discounted Payback Period and NPV is the Net Present Value of the investment. In particular, established the time period by which the private entrepreneur intends to recover the invested capital (PbP), the model allows to return the different combinations of rmin and NPV of the different cases analyzed (different project proposals presented relating to the same urban intervention or different urban projects). Furthermore, the NPV represents the maximum amount that the Public Administration may require to the private investor in monetary terms and/or in terms of public works of equivalent value to be realized for the local community. A higher value of the NPV represents a higher convenience for the private subject in financial terms and for the Public Administration in terms of the maximum admissible request that can be formulated to the investor.

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The paper is structured as follows. In Sect. 3 the case study has been described and the economic parameters necessary for the construction of a DCFA have been summarized. In Sect. 4 the application of the proposed model to the case study has been developed and the results obtained have been outlined. Finally, in Sect. 5 the conclusion of the work have been discussed.

3 Case Study The case study considered in the present research concerns three urban transformation interventions to be carried out in the city of Bari (Southern Italy), included in the plans for public works to be implemented but not yet started. In particular, the first initiative concerns the redevelopment of the Vittoria Stadium area (intervention A), the second initiative concerns the construction of an aquarium within the already activated urban regeneration process of the San Girolamo waterfront (intervention B) and the third initiative regards the realization of the San Cataldo tourist port (intervention C). The three projects, that are different in typology and consistency, are located in three different municipal areas, as shown in Fig. 1.

Fig. 1. Location of the three redevelopment interventions in the city of Bari

The hypothesis of the analysis concerns the three projects implementation through the procedure of the enhancement concession, by implying the involvement of private subjects for the recovery and the functional conversion of each project area. For each initiative, the main features that characterize the urban area in which it is located have been described and, subsequently, the objectives that are intended to be achieved have been illustrated and the planned works summary description has been shown. In addition, the main results obtained from the implementation of the financial analysis carried out using the DCFA in terms of assessed investment and management costs and expected revenues have been explained. The analysis period considered for all three cases is thirty years that coincides with the duration of the established concession. It is also assumed that the PbP is the same for all three cases and equal to twelve years.

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455

The “Vittoria Stadium” Area Redevelopment Project

The project aims at transforming the “Vittoria Stadium” area, located in the San Girolamo district of Bari. Currently, in the area there are not residential and retail properties and the space is intended for parking for the Fiera del Levante property complex. The intervention provides for the construction of a sports-student center, in accordance with the current characteristics of the area and the existing buildings (University Sport Centre Bari and one of the largest municipal swimming pools in Central and Southern Italy). In particular, the initiative intends to realize a building complex that includes a more levels multipurpose guesthouse with recreational and sports facilities, a building for sports and commercial equipment storage and a car parking. The project will be completed with the redevelopment of the disused farmers’ market existing pavilions and their recovery into art studios. The total investment cost assessed is €71,419,950. Taking into account the high costs, the project implementation provides a public contribution, due to the significant effects that the redevelopment initiative could generate on the entire Vittoria Stadium urban area. The potential revenue sources deriving from the complex activities have been evaluated (revenues from housing sales, rental revenues from commercial areas and areas intended for sports activities, revenues from the car parking). In the same way, the macro items of the management costs related to the guesthouse (operating costs, general and administrative expenses, advertising and marketing, maintenance), the car parking (staff costs, maintenance) and the art studios (maintenance). Table 1 shows the total investment cost, the annual management costs, the total revenues and the cash flows assessed in the operating phase of the property complex. In Fig. 2, the area “Vittoria Stadium” current state and the guesthouse realization project are shown. Table 1. The “Vittoria Stadium” area redevelopment project economic items Total investment cost [€] 71.419.950

3.2

Annual management cost [€] 7.450.000

Annual revenues [€] 9.950.000

Cash flow (constant from PbP) [€]

Concession period

2.500.000

30

The Aquarium Project in the Context of the San Girolamo Waterfront

The Aquarium project is part of the wider waterfront redevelopment project in San Girolamo-Fesca district in Bari. It aims at overcoming the current marginal conditions of the urban area lacking of interest spaces for the city due to the almost total absence of services, commercial activities, or leisure equipment. With reference to the neighborhood and the area overlooking the coast, there is a significant demand for services not satisfied, above all for the lack of public spaces such as “socializing places”. The commercial intended uses located on the ground floors of the buildings along the

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Fig. 2. The “Vittoria Stadium” area current state and the guesthouse realization project

coastline are often in disuse, as the promenade is exclusively considered as a fast crossing on the urban area edge rather than as a service axis of the neighborhood. The aquarium with a mainly “edutainment” (i.e. educational entertainment) function provides for the introduction of commercial activities and restaurant and a minimum surface area necessary to carry out the research activities. The identification of the intended use (aquarium) has been carried out by analyzing the current and forecasting demand and supply of the reference market. In particular, it has been noted that the main demand segments are represented by school groups, tourists and the surrounding areas population. With reference to the current supply on the national territory, the largest aquarium is in the city of Genoa, to which other smaller aquarium structures have been added (in Southern Italy the aquarium of Naples, Cattolica and Nuoro), confirming a total absence of a size similar to project aquariums in Apulia region, and consequently in the city of Bari. The project provides for the construction of an aquarium (sea museum) with commercial spaces (gift shop, bookshop), a restaurant, a bookshop, a meeting room and a car parking. The investment costs have been quantified (€21,646,200) and the annual management costs and the potential sources of revenue have been assessed (revenues from ticket sales, rental revenues from commercial areas, car parking revenues). Table 2 shows schematically the items of costs and revenues and the cash flows necessary for the implementation of the proposed model. In Fig. 3 the Waterfront San Girolamo current state is shown and the Aquarium realization project in the wider regeneration of the waterfront is presented. Table 2. Aquarium project in the context of the San Girolamo Waterfront economic items Total investment cost [€] 21.646.200

Annual management cost [€] 750.800

Annual revenues [€] 1.750.800

Cash flow (constant from PbP) [€]

Concession period

1.000.000

30

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Fig. 3. San Girolamo Waterfront current state and Aquarium realization project

3.3

The San Cataldo Tourist Port Project

The San Cataldo port (650 m in length) was built in the 1920s. The port is characterized by the presence of a dock of about 7.20 m in width. It represents the northwest border of the port of Bari, located near the homonymous urban peninsula occupied by a small residential neighborhood of historical single-family building of the early twentieth century and more modern multi-level buildings. The port location is decentralized with respect to the large port areas where most of the traffic takes place. Furthermore, the dock limited width does not allow any goods traffic. The redevelopment of the San Cataldo port aims at recovering the potential of the Bari port from a yachting point of view in order to assign a new function to the sea area as a tourist port and landing place for small and medium size cruise ships. The project solution concerns the construction of a new tourist port with approximately 400 berths for stationary boats and 40 berths for boats in transit, a dock for mooring small and medium size cruise ships (maximum length 175 m and maximum draft 6 m), three buildings for nautical club, customs offices, administrative offices and a multifunctional exhibition and commercial space. The project will be completed by external exhibition spaces and equipped green areas, car parking for boaters and terminal and a boat refueling facility. The intervention main objective is to activate economic and social revitalization processes for the entire urban area through the creation of new public spaces for the community, areas for walking, parking and restaurant. The intended use (tourist port) is associated to the vocational perspectives of the area, considering that the berths supply is lower than the threshold for the current permanent demand in the catchment area. In order to verify the financial sustainability of the intervention - from the private investor point of view -, an assessment of the investment costs has been carried out (€28,096,177) and the revenues and management costs items have been identified. Finally, the project cash flows have been determined (Table 3). The revenues will derive from the berths rental, the mooring services management, the rental of commercial areas, the sub-concession of a stationary distributor on the quay for the bunkering and the car parking activity. Management costs will concern the goods purchase, the labor and the fixed management costs (maintenance costs, general expenses, costs for advertising, marketing activities, insurance and state concession fees). Figure 4 shows the San Cataldo port current state and the enhancement project.

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Total investment cost [€] 28.096.177

Annual management cost [€] 2.350.000

Annual revenues [€] 3.650.000

Cash flow (constant from PbP) [€]

Concession period

1.300.000

30

Fig. 4. The San Cataldo port current state and enhancement project

4 Application of the Model With reference to each of the three interventions selected for the city of Bari, the PbP is set equal to twelve years, which is reasonably the time necessary for the private investor who operates in ordinary conditions to recover the capital initially invested. The implementation of Eq. (1) returns the combinations [rmin-NPV] reported in Table 4. The graph in Fig. 5 shows the inverse functional relationship between the two variables for each case study. It is interesting to note that, although intervention A is the best in terms of NPV obtained at each r in the range identified (from 5% to 12.5%), it is necessary to consider the different risk associated with each intervention in order to select the most performing one for the investor. In this sense, the project riskiness is linked to the location, to the intervention costs (investment and management costs), to the number, typology and surfaces of various intended uses. In particular, the intervention A (The “Vittoria Stadium” area redevelopment project) is characterized by a high assessed investment cost (considerably higher than the other two interventions considered) and by the different intended uses mixture (multipurpose guesthouse, recreational, sporting and commercial structures and a multi-level car parking), which is also particularly risky in the context of the city of Bari. In fact, the realization of a sports-student center, although it is consistent with the current sporting vocation of the area and with the existing structures (the CUS Bari and the municipal swimming pools), constitutes a radical transformation of the stadium area, particularly relevant from the point of view of initial costs and therefore risky. The minimum return expected by the investor of intervention A has been assessed equal to 11.5%. The intervention B (the Aquarium project in the context of the San Girolamo Waterfront) intends to introduce an architectural and functional emergency on urban

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Table 4 NPV related to the interventions A, B and C for different value of rmin

Fig. 5. [rmin − NPV] combinations for the PbP = 12 years

and territorial scale able to promote links between the neighborhood and the city and to receive a catchment area very large (school groups, tourists, cruise passengers, etc.). The aquarium concerns the wider waterfront redevelopment as an attraction center, museum, study/research and free time space, in order to encourage the renewal process of the San Girolamo district currently devoid of urban identity and strong state of decay. The project is less risky than the intervention A, due to the lower investment costs and the almost unique intended use able to generate important effects in economic and social terms. The minimum return expected by the investor of intervention B is assessed at 7.5%.

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The intervention C (The San Cataldo tourist port project) aims at raising the current supply in terms of infrastructural facilities for tourist ports and the quality of port services in the Apulian region, which is extremely lacking compared to other competitive Italian and Adriatic regions. Compared to the intervention B, the investment cost is almost similar, and the two initiatives present the same level of risk, linked to the variable demand of tourist ports in Apulia and, in particular, in the Bari area, and to the cruise sector growth trend, which cannot be controlled. The minimum return expected by the investor of intervention C has been assessed equal to 7.5%. Although the graph in Fig. 5 shows that the intervention A is more profitable for the private subject - the NPV graph for intervention A is over the NPV graphs for the intervention B and C - the higher risk associated with this intervention A must be considered. Therefore, with reference to the different rates of return (rminA = 11.5%, rminB = 7.50%, rminC = 7.50%), among the three urban transformation initiatives, the project C - the San Cataldo tourist port project - is the “best” one, followed by the intervention A for the “Vittoria Stadium” area redevelopment project and, finally, by the intervention B for the Aquarium project in the context of the San Girolamo Waterfront.

5 Conclusions With reference to the urban redevelopment interventions carried out through PPP procedures, in the present research a “quick” methodology for the evaluation of the financial conveniences of the parties involved (public and private subjects) has been applied, in order to select the most performing alternative for both the subjects among the different project solutions. In particular, the model aims at providing an original interpretation of the classic performance indicators currently used to verify the financial project sustainability. The model could be used in the first phases of assessment public investments, in order to provide a first indication of the interventions feasibility, that should be completed through the implementation of a more accurate DCFA. The case study considered, concerning three urban transformation initiatives to be carried out in the city of Bari (Italy), has highlighted the potentialities of a simple-to-use model and easy to be repeated, in order to guide subsequent analyzes in the decision-making processes. The model, therefore, constitutes a useful support for the Public Administrations to define a priority list of the interventions to be implemented on the urban territory.

References 1. Pontrandolfi, P., Scorza, F.: Making urban regeneration feasible: tools and procedures to integrate urban agenda and UE cohesion regional programs. In: Murgante, B., et al. (eds.) ICCSA 2017, LNCS, vol. 10409, pp. 564–572. Springer, Heidelberg (2017) 2. Del Giudice, V., De Paola, P., Torrieri, F.: An integrated choice model for the evaluation of urban sustainable renewal scenarios. In: Advanced Materials Research, vol. 1030, pp. 2399– 2406. Trans Tech Publications (2014)

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3. Calabrò, F., Della Spina, L.: The public-private partnerships in buildings regeneration: a model appraisal of the benefits and for land value capture. In: KKU-IENC 2014, Advanced Materials Research, vol. 931–932, pp. 555–559. Trans Tech Publications, China (2014) 4. Massimo, D.E., Del Giudice, V., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Geographically weighted regression for the post carbon city and real estate market analysis: a case study. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Series: Smart Innovation, Systems and Technologies, vol. 100, pp. 142–149. Springer, Berlin (2019) 5. Calabrò, F., Cassalia, G., Tramontana, C.: Evaluation approach to the integrated valorization of territorial resources: the case study of the tyrrhenian area of the metropolitan city of Reggio Calabria. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Series: Smart Innovation, Systems and Technologies, vol. 101, pp. 3–12. Springer, Berlin (2019) 6. Macdonald, S., Cheong, C.: The Role of Public-Private Partnerships and the Third Sector in Conserving Heritage Buildings, Sites, and Historic Urban Areas. Getty Conservation Institute, Los Angeles (2014) 7. Calabrò, F., Della Spina, L.: The public-private partnership for the enhancement of unused public buildings: an experimental model of economic feasibility project. Sustainability 11(20), 5662 (2019) 8. Eaton, D., Akbiyikli, R., Dickinson, M.: An evaluation of the stimulants and impediments to innovation within PFI/PPP projects. Constr. Innov. 6(2), 63–67 (2006) 9. Zou, P.X.W., Wang, S., Fang, D.: A life-cycle risk management framework for PPP infrastructure projects. J. Finan. Manag. Property Constr. 13(2), 123–142 (2008) 10. Hampton, G., Baldwin, A.N., Holt, G.: Project delays and cost: stakeholder perceptions of traditional v. PPP procurement. J. Finan. Manag. Property Constr. 17(1), 73–91 (2012) 11. Mattia, S.: Governo del territorio e ruolo della valutazione. In: Miccoli, S. (a cura di). Rinnovo urbano e valutazioni integrate, pp. 91–127. DEI-Tipografia del Genio Civile, Roma (2009) 12. Curti, F.: Lo scambio leale. Negoziazione urbanistica e offerta privata di spazi e di servizi pubblici. Officina, Roma (2007) 13. Shen, L., Tam, V., Gan, L., Ye, K., Zhao, Z.: Improving sustainability performance for public-private-partnership (PPP) projects. Sustainability 8(3), 289 (2016) 14. French, N., Gabrielli, L.: Discounted cash flow: accounting for uncertainty. J. Property Invest. Finan. 23(1), 75–89 (2005) 15. Grimsey, D., Lewis, M.: Public Private Partnerships: The Worldwide Revolution in Infrastructure Provision and Project Finance. Edward Elgar Publishing, Cheltenham (2007) 16. Tajani, F., Morano, P., Di Liddo, F., Locurcio, M.: An innovative interpretation of the DCFA evaluation criteria in the public-private partnership for the enhancement of the public property assets. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Series: Smart Innovation, Systems and Technologies, vol. 100, pp. 305–313. Springer, Berlin (2019)

The Financial Feasibility Analysis of Urban Transformation Projects: An Application of a Quick Assessment Model Debora Anelli(&)

and Francesco Sica

Department of Architecture and Design, “La Sapienza” University of Rome, 00196 Rome, Italy [email protected] Abstract. In the field of urban planning processes, the territorial redevelopment initiatives are important for the sustainable development of the cities. With reference to a real case study in the city of Pontedera (Italy), the aim of the present work is to highlight the usefulness of the Cost-Volume Profit Analysis (CVPA) as a tool to support the decisions of the public and private operators involved in three urban redevelopment initiatives. Specifically, for each identified transformation plots, two scenarios have been analyzed, by considering for each one all the building rights allowed by the General Regulatory Plan (GRP) of the city, and the requests of public and private subjects involved. The results achieved prove the inadequacy and rigidity of the forecasts of the GRP which, therefore, need to be checked in advance to avoid the expenditure of public money. In this way, the proposed model allows the public subject to correctly calibrate the extent and type of requests to be made to the private entrepreneur, who will be able to verify its own financial balance sheet and its expected amount of revenues and costs. The implemented methodology can be a useful support for the municipal administration in order to favor a quick financial assessment and to activate a negotiation on the building parameters of the different analyzed interventions. Keywords: Cost-volume profit analysis
Break-even analysis feasibility
Urban renewal
Decision support tools


Financial

1 Introduction and Work Aim In the field of planning processes of the cities, the urban transformations and their implementing way rule the development of territory. Many of the initiatives applied at urban scale appear, however, constrained by the imposed forecasts of the General Regulatory Plan (GRP) [1, 2]. Furthermore, the contingent presence of multiple land use allocation, different needs of the citizens, heterogeneity of the subjects (i.e. Public Administration, private entrepreneurs, landowners) involved with specific interests (stakeholders) and also the lack of available financial resources and decision support tools required for the initiative feasibility can compromise the stability of planning processes itself [3, 4]. Due to this complex framework characterized by multiple variable to be considered in contingent manner, there is the need to adopt useful tools © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 462–474, 2021. https://doi.org/10.1007/978-3-030-48279-4_44

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to support the decision-making processes with which ensure the financial feasibility of urban transformation projects. When urban transformation interventions collide with the GRP forecasts, arises the need to adopt suitable support tools. The role of the assessment decision-making tools should be to counterbalance the critical issues by current urban planning instruments, to face the dynamism of the cities phenomena and to ensure the stability of the conveniences between multiple subjects [5–9]. On the basis of references in literature [10–13], evaluation tools that provide a useful support to assess the urban initiatives guaranteeing the balance of the economic and financial advantages of the subjects involved are used. Between these, the CostVolume Profit Analysis (CVPA) is a technical tool adopted for business performance and profit planning that utilizes restructuring the fundamental relationships between costs and revenues of the project depending on the quantity of the product. In the field of project evaluation, it is adopted as a decision support tool capable of providing a plausible approximation of the amount of costs and revenues produced by the initiative, taking into account the requests expressed by each operator [14–17]. In this work, it is provided a logical-operational methodology testing the CVPA as a quick assessment model to financial convenience of urban initiatives. In particular, it is implemented for the analysis of the financial feasibility of three urban initiatives in the city of Pontedera (Italy). For each area two scenarios of analysis are defined. The first one, called “Plan”, aims at developing all the building in the respect of prescriptions of city’s General Regulatory Plan. The second one, called “Project”, revises the GRP’s prescriptions focusing on the recovery of existing spaces and buildings, considering the requests expressed by the public and private subjects involved in the initiative. The defining of two different scenarios for each initiative is performed with the aim of simulating the financial balance sheet of the project, and to evaluate its financial convenience, both publicly and privately. With the CVPA implementing, on one hand, the public subject will be able to correctly calibrate the extent and type of requests to be made to the private entrepreneur. On the other, the private entrepreneur will be able to verify its own financial balance sheet and the quantity of the products cost items will also include the amounts of the realization of the public parts for which it is required to assume the burden. On the basis of this preliminary considerations, the paper is structured as follows: in Sect. 2, the CVPA methodology is described with its mathematical system and baseline assumptions; in Sect. 3, the CVPA is implemented to real case studies and corresponding results are discussed; in Sect. 4 the conclusions are drawn and future research perspectives are defined.

2 Methodology In order to assess the financial feasibility of the three urban transformation initiatives considered in this study, the implementation of the CVPA is carried out by adopting two simplifying hypotheses on: i) the time interval within which the cash flows of each initiative are defined; ii) the involvement of Credit Institutions for the implementation of the intervention. Specifically, the (i) concerns the “discount” effect connected to

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project’s cash flows, which assumes few significance due to the short time span (two years) in which the projects are evaluated; the (ii), on the other hand, concerns the financing of initiative part by the Credit Institution to the advantage, therefore, of the profit of the private entrepreneur involved. These assumptions are then reflected in practice at the financial evaluation stage. In fact, the development of the CVPA takes into account two phases: 1) definition of the break-even point between the revenues and costs of the investment; 2) assessment of the financial stability of the individual initiative. This makes possible to structure a system of simple implementation based on expressions of immediate mathematical writing where: a) costs and revenues are not heterogeneously distributed over the time period and they are referred to the same time period; b) the trend of revenues and costs is linearly dependent on the Gross Floor Surface (GFS) of project residentialcommercial units. The parameters that characterize the mathematical system at the base of the CVPA are: the total revenues (Rt ) obtained from the product of GFS for the corresponding unit price (pu ); the total costs (Ct ) by the sum of fixed costs (Cf ) and variable ones (Cv ); the Cv defined by the product between variable unit cost (cvu ) and built GFS; the total profit (Pt ) generated by the difference between revenues and total costs. The following algebraic expressions apply to each parameter are described above. Rt ¼ pu
GFS

ð1Þ

Ct ¼ Cf þ Cv

ð2Þ

Cv ¼ cvu
GFS

ð3Þ

Pt ¼ Rt  Ct

ð4Þ

By means of appropriate algebraic substitutions the following equation is obtained: Pt ¼ Rt  Ct ¼ pu
GFS  Cf  Cv ¼ pu
GFS  Cf  cvu
GFS

ð5Þ

Highlighting the term GFS in (5) results in (6) the total profit equation of the intervention as follows: Pt ¼ GFS
ðpu  cvu Þ  Cf

ð6Þ

According to the basic assumptions to the CVPA, i.e. total revenues and total costs vary linearly according to the GFS, the GFS* is defined. It represents the amount of gross floor area that the private entrepreneur will have to realize in order to achieve the break-even point of the initiative. This parameter (GFS*) is determined by equalizing the equation of total revenues and costs (Rt ¼ Ct ) such as to arrive at (7) which allows to estimate the optimal value of GFS.

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Cf ðpu  cvu Þ

ð7Þ

GFS ¼

In order to verify the stability of the financial initiative in relation to the GFS the Total Contribution Margin (TCM), which represents the capacity of the investment to generate revenues net of variable costs, and the Operating Leverage Coefficient (OLC), which determines the weighting of the transaction costs on the stability of the financial structure, are defined. The factors TCM and OLC are calculated respectively by means of (8) and (9) as follows. TCM ¼ Rt  Cv OLC ¼

TCM Pt

ð8Þ ð9Þ

In Sect. 3, the above methodology is implemented with regard to the three urban interventions in the city of Pontedera (Italy), and the corresponding results are discussed.

3 Case Study 3.1

Territorial Context and Study Areas

The city of Pontedera represents an important reference in the Italian industrial sector due to the presence of the “Piaggio” plant, a well-known Italian motorcycle and commercial vehicle company established in the city since 1924. Since the 90s, in conjunction with the decline and subsequently the crisis of the company itself, the population growth of the city has slowed down and the social composition has changed. These dynamics had an impact on the forecasts laid down in the programmatic document of the GRP of the city. Due to this socio-economic context the PA is interested in regulating adequately the development of the population density of the area, which currently is much higher than that of the current requirements. For the aims of this study, three areas falling within the city of Pontedera are considered. As illustrated in Table 1, a qualitative description of them is provided and for each one the two analysis scenarios (“Plan” and “Project”) are defined.

Table 1. Description of each study area. Area 1: ex-IPSIA The professional institute Pacinotti, located on the outskirts of the old town, is made off several buildings for laboratories, classrooms and administrative services. Currently, all the district is in a decay state due to the transfer of school activities to another structure. According to the prescriptions of the GRP (“Plan” scenario) it is foreseen the demolition of the structures and construction of buildings to be used as residences. Instead, the “Project” scenario aims to enhance the building through its restoration, create semi-public spaces and include multiple functions to revitalize the historic centre of the city

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Area 2: La Borra The intervention area, located in the hamlet called “La Borra”, covers about 39,000 m2 on the border with the city of Ponsacco (Italy), and it is characterized by the presence of Era river and former abandoned district. With regard to the “Plan” scenario, the existence of natural elements, as well as the need to reserve the olive grove near the watercourse, considerably limits the design potential of the area. In compliance with the above mentioned constraints, the “Project” scenario provides two different solutions for the recovery and redevelopment of the former district into a tourist accommodation facility for the community. Otherwise, the scenario “Plan” intends to significantly reduce the public green surface by allocating a greater extent to the residences and private green areas Area 3: Laghi Braccini Located on the eastern edge of the city, the area is located between the outskirts of the city, naturalistic areas of the countryside and the nearby Braccini Lakes. The GRP aims to reconnect the area with the existing building, exploiting the services and the complex of secondary schools located in the area (scenario “Plan”). The project proposal (“Project” scenario) foresees the construction of courtyard buildings with shared common spaces (co-housing)

3.2

Data Collection

For the analysis of the financial feasibility of both scenarios referred to each area, the costs of intervention are taken from the “Building Types Prices”, developed by the College of Architects and Engineers of Milan, edited in 2014 by DEI - Tipografia del Genio Civile, making corrections, where necessary, using the Price List of the Tuscany Region or the Chamber of Commerce of Pisa. The primary and secondary urbanization fees and the contribution to the construction cost are deducted from the tables provided by the Municipality of Pontedera. The market value of the apartments and the commercial-directional buildings is estimated using the values for the first half of 2014 provided by the Real estate Market Observatory (RMO) of the Inland Revenue. The value of the land is determined by analysing the characteristics of the local reference market. The monetary values of intervention costs, urbanization fees, contribution to construction cost and market value of commercial-directional properties are parametrically defined and reported in Table 2, 3 and 4. With reference to residential areas, the construction cost is equivalent to 245.86 €/m2. The percentage applied for the determination of the GFS construction cost contribution is 6% since bio-architecture interventions are planned.

Table 2. Cost items of the intervention for each study area. Cost items Land acquisition (area called “La Borra”) Acquisition of land and buildings (former neighbouring area “La Borra”) Soil acquisition (area called “Laghi Braccini”) Construction of a one-storey building above ground without basement

Unit price [€/m2] 55 415 75 1,208 (continued)

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Table 2. (continued) Cost items Construction of two or three storey above-ground building without basement Reinforced concrete building renovation and seismic improvement Masonry building restoration and seismic improvement Demolition of a masonry or reinforced concrete building Realization of equipped green areas Construction of parking spaces Construction of multi-storey underground parking space Realization of urban square Implementation of distribution networks

Unit price [€/m2] 1,063 1,335 1,450 25 44 48 779 277 75

Table 3. RMO quotations by intended use (source: Revenue Agency - first half of 2014). Unit price [€/m2] Ex-Ipsia La Borra Residential 2,200 2,200 Not-residential 2,375 2,750 Box or parking space 1,150 970 Intended use

Cartiera – 2,000 970

Laghi Braccini 2,400 2,375 1,150

Table 4. Primary and secondary urbanization fees. Total fees [€/m2] Residential Other use 4.74 2.66

Item Restoration work and building renovation Urban redevelopment or new construction work in accordance with the GFS/Sf ratio

3.3

GFS/Sf < 1.5 m3/m2 GFS/Sf = 0.5 m3/m2

18.97 15.80

10.64 8.87

The Results of the Implementation of Methodology

Area 1: ex-IPSIA The examination of the parameters valid for the forecasts of the GRP and adopted for the application of the CVPA (Table 5), allows to highlight some substantial differences between the two scenarios. The “Project” ones, in fact, consist of a smaller surface intended for the “standard” public works, the public green space, the private parking space and nothing for the public parking space. Therefore, with the “Project” scenario, the recovery and enhancement of existing buildings, reducing the consumption of new land surface for the planned works, are the priority aims.

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D. Anelli and F. Sica Table 5. Prescriptions for the transformation of the “ex-IPSIA” area. Parameters Total land surface Gross floor surface GFS of residences GFS of other intended use Surface of “standard” public works Surface of public parking space Surface of public green space Land surface Surface of private parking space Covered surface

m2 m2 m2 m2 m2 m2 m2 m2 m2 m2

Scenarios “Plan” “Project” 6,057 6,057 7,560 7,126 4,139 3,902 3,420 3,224 7,560 900 3,780 0 3,780 900 2,277 5,157 7,544 1,810 3,177 2,903

The application of the CVPA highlights the financial feasibility of the transformation initiative in both scenarios. In fact, the amount of GFS expected in both is greater than that determined by analyzing the break-even point (GFS*) (Fig. 1). The quantity of GFS to be realized for the urbanistic standards generated by the area’s volumes in the “Project” scenario is much less. The preservation of the existing volumes does not allow to identify adequate free areas to be allocated to the realization of the standards. For this reason, the uncovered standards will be monetized or implemented in areas next to that of the intervention.

Fig. 1. Analysis of the break-even point and comparison between both the “ex-IPSIA” area scenarios.

As regards the financial structure, the “Project” scenario is more stable because the total costs are lower (Table 6). The planned interventions also generate an extra-profit, exceeding the monetary amount of the normal profit of the private entrepreneur set at 20% of the expected revenues, for both scenarios considered. This amount may be negotiated between the owners of the ex-IPSIA complex (Municipality of Pisa) and the operator (public or private) interested in the transformation of the area.

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Definitely, the “Plan” scenario is preferable as it is characterized by a lower quantity of GFS* which exposes the private entrepreneur to a more contained risk depending on the absorption capacity of the local real estate market of the transformation intervention, especially in a period of instability due to the economic crisis. In order to allow an immediate comparison between the quantitative indicators (financial and non-financial) specific to each scenario, all the information obtainable from the application of the CVPA has been summarized in Table 6, shown below. Table 6. Summary and comparison of the indicators deriving from the application of the CVPA in the two scenarios of the “ex-IPSIA” area. Area ExIPSIA

Scenarios GFS [m2] “Plan” 7,560 “Project” 7,126

TCM [€]

OLC [n] 6,929,043 7 2,522,915 6

Rt [€]

Ct [€]

Pn [%] 21,558,681 20,611,612 20 18,322,900 17,909,342 20

Pextra Pt [€] [€] 947,069 5,258,805 413,558 4,078,138

Area 2: “La Borra” The implementation of the CVPA for the “La Borra” area is made with regard to two different intervention solutions: (a) considering only the “La Borra” area; (b) taking into account both the area and the ex-paper mill. The intention of the “Project” scenario is to further preserve the existing natural landscape allocating most of the surface to green areas (both public and private) and to “standard” for public works (Table 7).

Table 7. Prescriptions for the transformation of the “La Borra” area. Parameters Total land surface Gross floor surface GFS of residences GFS of other intended use Surface to be transferred to the PA for the park Surface of public green space Surface of public parking space Surface for “standard” public works of other nature Surface of “standard” public works Surface of public roads Surface of private parking space Covered land Surface of private green space Land surface

m2 m2 m2 m2 m2 m2 m2 m2 m2 m2 m2 m2 m2 m2

Scenarios “Plan” “Project” 39,213 39,213 6,117 4,027 5,200 3,423 918 604 16,729 16,729 1,693 12,140 1,678 1,700 301 855 3,672 14,695 5,520 2,375 3,059 2,000 3,323 3,382 6,910 1,387 13,292 5,414

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The results of the CVPA application show the existence of modest profits and a high financial instability for both scenarios. This is aggravated if we consider the hypothesis of intervention on the ex-paper mill (b). To rebalance the financial structure, the acquisition of the areas to be transferred to the PA for the construction of the park can be reviewed, providing for additional volumes to be recognized to the private entrepreneur in compensation. In the “Plan” scenario of the only area (solution (a)) the break-even point is reached at a GFS * significantly higher than that generated in the “Project” scenario (Fig. 2), due to a decrease in the normal profit from 20% to 15%. This decrease is determined by the high fixed costs generated by the acquisition of a big total land surface (most of which will be transferred free of charge to the PA for the construction of the park) against a rather low GFS to be built. For these reasons, the initiative shows a high financial instability, especially in the “Project” scenario (Fig. 3).

Fig. 2. Analysis of the break-even point and comparison between the “La Borra” scenarios for the solution (a).

Fig. 3. Analysis of the break-even point and comparison between the “La Borra” scenarios for the solution (b).

As for the solution (b), the financial structure of the “Project” scenario is stable because the fixed costs are low (the free sale of the building was assumed) but, on the other hand, there is a low TCM such that the high additional fixed costs are not covered by revenues. In the “Plan” scenario there is an extremely unstable financial structure

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due to the very high fixed costs of acquisition and demolition, against a very limited (normal and extra) profit. Normal profit was raised from 20% to 10% in both scenarios to allow to achieve the break-even point. The quantitative indicators (financial and nonfinancial) specific to each scenario derived from the application of the CVPA has been summarized in Table 8, shown below.

Table 8. Summary and comparison of the indicators deriving from the application of the CVPA in the different scenarios of the “la Borra” solutions. Sol Scenarios GFS [m2] (a) (b)

“Plan” “Project” “Plan” “Project”

6,117 4,027 2,981 2,484

TCM [€]

OLC [n]

Rt [€]

Ct [€]

Pn [%] Pextra [€] Pt [€]

4,432,446 3,478,282 1,663,528 196,168

6 20 177 2

16,929,428 11,131,628 6,502,559 5,509,031

16,197,028 10,962,872 6,493,197 5,378,794

20 15 10 10

732,400 168,755 9,362 130,237

4,118,286 1,838,500 659,618 681,140

Area 3: Laghi Braccini The prescriptions of the two scenarios envisaged for the “Laghi Braccini” area present very similar dimensional and urban planning parameters (Table 9). Table 9. Prescriptions for the transformation of the “Laghi Braccini” area. Parameters Total land surface Gross floor surface GFS of residences GFS of other intended use Surface of public green space Surface of public parking space Surface of “standard” public works Surface of private parking space Covered surface Surface of private green space Land surface

m2 m2 m2 m2 m2 m2 m2 m2 m2 m2 m2

Scenarios “Plan” “Project” 19,233 19,233 3,923 3,918 3,139 3,135 785 784 4,796 5,194 2,920 2,908 7,716 8,102 1,962 1,120 2,303 2,300 7,251 7,711 11,516 11,131

The results of the CVPA application show that the “Project” scenario is characterized by a lower incidence of the private parking space and therefore of the relative revenues compared to the “Plan” scenario, which is why the break-even point is reached with a lower GFS in the “Plan” scenario (Fig. 4). Although the GFS quantity of the two scenarios is very similar, the revenues differ due to the different unit variable profits. For these reasons, despite the decrease in normal profit from 20% to 15%, the “Project” scenario has a less stable financial structure and significantly lower profits. Definitely, in the “Project” scenario, the

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Fig. 4. Analysis of the break-even point and comparison between the “Laghi Braccini” area scenarios.

generic private entrepreneur will have a greater predisposition to turn to a credit institution for the financial subsidy of the transformation initiative. This condition could be a risk factor for the entire initiative in the area. The quantitative indicators (financial and non-financial) specific to each scenario derived from the application of the CVPA has been summarized in Table 10, shown below. Table 10. Summary and comparison of the indicators deriving from the application of the CVPA in the different scenarios of the “Laghi Braccini” area. Area

Scenarios GFS [m2] TCM [€]

Laghi Braccini

“Plan” “Project”

3,923 3,918

OLC [n]

3,370,333 5 3,127,566 6

Rt [€]

Ct [€]

Pn [%] Pextra [€]

11,652,623 10,914,395 20 10,672,568 10,149,945 15

738,229 522,623

Pt [€] 3,068,753 2,123,508

4 Conclusions The unruled processes of urban transformation and the renewed interests of people involved require the use of decision-making tools in order to facilitate the integration between urban and natural environment in the city. In this perspective, the principal aim of the work is to provide a logical-operational methodology as a useful framework to support and sustain complex urban planning processes, with particular reference to the redevelopment of abandoned area or disused buildings. In a context characterized by a plurality of subjects involved, a limitation of the financial resources of the local administration and the presence of prescriptions of the GRP of the cities not always adequate to satisfy the needs of the community, the CVPA proves to be a quick assessment model capable of integrating and systematizing these factors to identify the best performing scenario. The validity of the quick assessment model proposed is verified by examining three redevelopment initiatives in the city of Pontedera (Italy), specifically the areas called “La Borra”, “ex-IPSA”, “Laghi Braccini”. For each of them two scenarios (“Plan” and “Project” ones) are defined, both considered in the assessment phase, in order to verify

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the quantities of the parameters deriving from the prescriptions of the GRP and to compare these with the actual quantities of the parameters deriving from the project solutions of each area of intervention. The implementation of the model shows that generally the scenario that applies the forecasts of the GRP (“Plan” scenario) is characterized by higher profit values (both normal and extra) than the “Project” one. This is also due to the higher GFS resulting from the implementation of the “Plan” scenario compared to what has been achieved by the settlement transformation project considered. Furthermore, the decrease in profit was one of the factors that, if adequately reconsidered, respects the constraints of financial convenience of the private entrepreneur and favors the creation of adequate functions to meet the needs of the community. These evidences demonstrate the inadequacy and rigidity of the forecasts of the GRP which, therefore, need to be checked in advance to avoid the expenditure of public money. In this way, the proposed model allows the public subject to correctly calibrate the extent and type of requests to be made to the private entrepreneur, who, on the other, will be able to verify its own financial balance sheet and its expected amount of revenues and costs. Future developments of this research may include the adoption of the methodology proposed into a bottom-up approach in line with the importance attributed to the preferences expressed directly by beneficiary citizens of the final services provided by the urban transformation initiatives in such a way to define an integrated assessment model.

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The Valorisation of Public Real Estate Assets in Italy: A Critical Reconstruction of the Legislative Framework Sebastiano Carbonara(&)

and Davide Stefano

Gabriele d’Annunzio University of Chieti and Pescara Department of Architecture, Viale Pindaro 42, 65127 Pescara, Italy {s.carbonara,davide.stefano}@unich.it

Abstract. The valorisation of public real estate assets in Italy is of notable interest for its impact on the national economy. This explains why the theme has interested the political class for more than three decades. Despite a great deal of effort by different governments to provide suitable legislation, expected results have yet to be reached. Through a chronological reconstruction of the country’s complex legislative framework, this paper analyses the various policies introduced over the years. The results of this analysis reveal five phases characterised by a set of laws that focused attention, case-by-case, on different aspects and priorities: a first phase focused solely on the sale of public real estate assets; a second that introduced the broader concept of valorisation; a third phase centred on understanding the characteristics of these properties; fourth which introduced the theme of devolution from national to local government; a fifth phase that turned attention toward the simplification of procedural aspects. While these themes are inherently of general interest, reality demonstrates that the complicated legislative framework currently in place has only increased bureaucratic hurdles and drastically slowed the implementation of procedures. The results of this study suggest the need for a more structured decision-making process that, also using protocols, allows for more opportune strategies of valorisation. Keywords: Public real estate assets Italy


Valorisation
Legislative framework


1 Introduction For Italy’s Public Administration there is no univocal definition of the concept of an asset: different interpretations can coexist in relation to specific legislative references. For example, the word “patrimonio” (asset) is present in articles 9 and 119 of the Italian Constitution: the former defines the principles of protection guaranteed by the Republic to the nation’s historic and artistic assets, while the latter indicates their attribution to local governing bodies according to general principles determined by the laws of the state. Hence, there is no general definition of “public assets”. At best, one can be found in different definitions of the concept of “property” that, with respect to public property, are limited to expressing a different regime than that applied to private property. In this © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 475–485, 2021. https://doi.org/10.1007/978-3-030-48279-4_45

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respect, art. 42 of the Constitution states: property is public or private. Economic assets may belong to the State, to public bodies or to private persons: “more than describing ownership of public assets, this article attests to the constitutional legitimacy of a special regime for these assets” [1]. Therefore, under the provisions of the Constitution, public assets are differentiated solely for their purpose of satisfying the needs of society, which subjects to different legislation than that applied to private assets. According to the canonical definition disciplined by the Italian Civil Code, assets belonging to the State are either State property or fixed assets: the former are inherently inalienable and free of any rights held by third parties, except according to the methods and within the limits established by the laws by which they are governed, while the latter are freely alienable when they belong to available assets and, on the contrary, in other words when considered unavailable heritage, may not be subtracted from their intended use, other than as established by the laws to which they are subject. This distinction in two large categories suggests a sort of hierarchy of State property: State property considered of great importance, in reason of its utilisation by society and its instrumental role in offering essential public services, and assets considered less essential than those of the first category, though in any case important enough to be subject to a derogation scheme with respect to civil law governing assets. In the late 1980s/early 1990s, political debate was animated by an attention toward un- or under-utilised public real estate assets belonging to the second category. This opened up a number of very different scenarios – alienations, valorisations and concessions – focused on creating value. Prior to this moment, public real estate assets in Republican Italy were largely considered liabilities for the Public Administration owing to the costs of their management and maintenance. The Court of Audit also expressed an opinion in which it emphasised the impossibility of referring to public assets with “ownership at no cost”, citing instead “ownership at cost” to be considered as a budget item [2]. All applicable legislation from the past attributed a publicist and social, rather than economic and productive connotation to the management of state assets, as this form of management pursued the primary objective of satisfying public interests [3]. The global economic crisis that affected Italy from 2007, and the successive and consequent reductions in funding provided by the State to local government initiated with L. 42/2009, generated the need to consider the financial aspects of real estate assets and activate valorisation and/or alienation procedures. In other words, the management of Public Administrations took on a more business-like approach, with a greater attention toward the rational use of its real estate assets, which represented a liability in budgetary terms when not effectively utilised to pursue institutional objectives. From the outset, this cultural shift – still substantially incomplete – required an organic legislative system and the consolidation of technical know-how and political skills with the ability to guide choices. Regarding the first point, what has already been written remains valid: any scholar wishing today to reconstruct applicable legislation in the matter of public real estate assets must possess a talent for weaving through a maze of laws, both abrogated and still in force, and partially incompatible with one another. Anyone attempting this

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would find it very difficult to arrive at a univocal result. Any effort to bring order to a puzzle comprised of dozens of legislative measures would lead one to the conclusion that “everything is possible … together with its opposite!” [4]. The thick legislative sediment accumulated over the past thirty years is certainly no aid to an analysis of the problem or the search for solutions. This because we are not dealing with a structured corpus, but instead with a collection of contingent approaches, proposed case-by-case to deal with pressing budgetary questions or remediate previous failed policies to valorise assets. Instead, with regard to technical know-how and political skills, this theme can be analysed from two different perspectives. On the one hand, it raises a question of technical training and political culture, both necessary to comprehend and concretely benefit from opportunities that may derive from the valorisation of public real estate assets. Recent history is filled with debates and treatises on the subject and electoral programmes are rife with suggestions, yet little or nothing in terms of operative experiences that can be considered either efficacious or replicable. On the other hand, it is impossible not to mention the objective difficulties encountered by small Italian municipalities who pay the price of insufficient administrative structures and suffer from the consequent deficit in managerial and organisational skills. Over the past decades, the technical allocations and human resources available to Public Administrations have been progressively reduced across Italy: continuous spending cuts and turnover freezes have kept governing bodies from being able to update or hire new and better trained staff. Similarly, it has been impossible for them to acquire innovative tools that would allow for better management (for example, Property and Facility management systems or more complex BIM systems [5]). While it is possible to reasonably associate the number of inhabitants with the presence of a suitable bureaucratic apparatus and technical know-how, it is impossible to ignore that of Italy’s 7,914 municipalities, little more than 15% exceed 10,000 inhabitants and more than 43% have less than 2,000. While in provincial capitals, or even the largest municipalities, conditions are potentially more favourable for the development of decision-making processes of this type, this is not the case in smaller settlements. Instead, it would be useful to have a general model that permits a technical formalisation of this process without alleviating political responsibilities in matters of decision-making. Previous experiences present specific approaches and there are no experiences of a general character; instead, we encounter experiments with cases linked to individual properties or specific building typologies, such as military barracks [6–8], properties of historic and cultural value [9–11] or rail lands [12, 13]. The reconstruction of the legislative framework relative to the valorisation of public real estate assets may prove useful in improving the intelligibility of an objectively complex, and to certain degrees disarticulated subject, developed through the juxtaposition of measures impossible to frame within an organic corpus. This analysis intends not only to reconstruct the steps that led to the current legislative framework, according to a rigid chronological scheme, but also seeks to analyse and decipher the results it has generated, not always encouraging considering the legislative “efforts” of the past thirty years.

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The resulting representation is anything but coherent. Many legislative dictates were introduced for reasons of public finance (the search for grandiose results in a short period of time). However, when results failed to materialise, the (recently arrived) Legislator rapidly developed new regulations in the hopes of producing these hoped-for results. This modus operandi produced a “spider’s web of laws, norms and regulations that enmeshes Italy and hinders the proper functioning of the Italian economy” [14]. Furthermore, as legislation evolved, previous laws were almost never abrogated: “new laws, lists and modifications were added to others already in force without substituting them entirely” [15]. This contributed to the creation of a normative chaos that generated an opposite effect to that being pursued: adding additional weight to an already ponderous bureaucratic machine and further slowing the implementation of procedures. The results of our analysis make it possible to distinguish between five phases characterised by a collection of normative measures that focused attention on different aspects and priorities: the first phase focused solely on the sale of public real estate assets; the second introduced the broader concept of valorisation; the third was interested more in understanding the characteristics of these assets; the fourth developed the theme of federalismo demaniale, a form of devolution from national to local government; the fifth concentrated on simplification and procedures.

2 From Regulations Governing Alienation to the First Organic Reform for the Valorisation of Public Real Estate Assets Since its formation, the Italian State has never issued laws governing activities for the valorisation of public real estate assets. More simply, it issued rules for their alienation. The earliest normative references include Law n. 793 from 21 August 1862; the Convention between the Ministry of Finance and the promoters of an anonymous company for the sale of state-owned assets (1864) and Law n. 783 for 24 December 1908, and its implementing regulation Royal Decree n. 454 dated 17 June 1909. Successively, with the affirmation of the political-legislative direction of the late 1900s, inspired by productive management, the convenience of selling assets became the sole consideration, also to stimulate the growth of new activities. A new political orientation was delineated only toward the end of the 1990s, with Law n. 448 from 23 December 1998. This law introduced a double strategy no longer founded solely on decommissioning, but now also on valorisation. This latter, while clearly expressed in the law, was only concretely implemented many years later. Following a sequence of “spot” regulations, it was only during the course of the 14th Legislature that the first attempts at an organic reform of this material took on a concrete form, with Legislative Decree 351/2001 (the so-called Tremonti Decree). Structured by the principle of decommissioning real estate assets in a single block by transferring them to specially constituted limited liability companies or real estate funds, this regulation confronted the problematic issue encountered time and time

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again: the scarcity of information and a comprehensive understanding of real estate assets. The first step thus involved confronting the need for a survey of State assets. This responsibility was assigned to the State Property Office, followed by a successive subdivision into different typologies: State properties, unavailable assets and available assets. The clearly innovative elements introduced here were the impulse toward promotion and the constitution of the limited liability companies necessary to implement securitization operations deriving from the decommissioning of State real estate assets. This marked the beginnings of the phase of securitization, in some cases also ironically referred to as “creative financing” [16, 17]. Real estate securitizations initiated at this time involved the decommissioning of large numbers of properties owned by Social Security Institutions. This was achieved through the constitution of special companies to compress public spending and lower the deficit. Years later, however, the entire manoeuvre had produced anything but encouraging results: despite guaranteeing an immediate positive effect for State coffers in the short-term, in reality it proved not to be a strategic choice in financial terms, owing to the lower deferred price generated by the operations themselves [18]. The difference expected from the sale of assets by the Special Purpose Vehicle (the company deputised with implementing the securitization operations), which was to have generated resources for each participating Institution, never materialised. In addition, it proved to be a loss-making strategic choice also, and above all, in social terms: a few years later, in 2006, the Audit Court noted these shortcomings and emphasised how the central node of the entire securitization operation was represented solely by financial leverage, focusing almost exclusively on the reduction of debt and producing no benefits for society in general.

3 The Valorisation of Public Real Estate Assets as Drivers of Territorial Development During the late 2000s, the 2007 Budget Law marked the beginnings of what now appears to be one of the wisest strategies implemented in Italy for public real estate assets: the “Valorisation and utilisation for economic purposes of real estate assets through concession or rental”. Under this new regulation, State assets were no longer considered assets to be monetised, but instead drivers capable of activating new local economies centred on territorial development. The positive results obtained in recent years by the State Property Office with the “Valore Paese” project for assets owned by the Central State are proof of its utility: the three categories of “Dwellings”, “Lighthouses” and “Paths and Routes”, while centred on very different typologies of properties, highlight how initiatives to recover real estate assets linked to cultural activities, tourism and enogastronomy have permitted the creation of new businesses with a driving effect that enables the revitalization of territorial areas and regeneration of declining local economies. A further innovative element introduced by this law is the “single valorisation process” or PUV. It was used, under the direction of the State Property Office, to define the first ever cooperation between a plurality of Institutions. The intent is to share objectives, in many cases different, linked to a single territorial development project

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capable of stimulating local growth through the promotion of activities with evident social characteristics. This new approach appeared, at least initially, to redimension the sole objective of alienation, and converge increasingly more toward policies in favour of local development consented by the requalification of abandoned assets.

4 The Need for Knowledge One important measure is undoubtedly represented by Decree-Law 112/2008, which introduced an innovation with respect to the past: a survey of all real estate assets possessed by local Institutions for the preparation of alienation and valorisation programmes. In the wake of the survey of real estate assets belonging to non-territorial public Institutions, initiated by the State Property Office in 2001, the new law substantially extended this obligation to local government [19]. This was followed by the request to draw up a list of all assets considered “non-instrumental to institutional functions, and available for valorisation or decommissioning”. This in turn led to what is generally referred to as the Alienations and Valorisations Plan. The central element of this regulation, obviously aside from the survey, was the subdivision of assets according to their instrumentality: the Alienations and Valorisations Plan can, in fact, contain only those assets considered “non-instrumental”, in other words, not necessary to meet institutional objectives. This connotation of assets is attributed based on the specific needs of each Institution (and thus linked to political choices) that recognises a different utility in relation to the institutional objective pursued based on current or future use. A second aspect is linked to the “automatic” declaration of ownership for all assets inserted in the Alienations and Valorisations Plan. For some public assets it may be impossible to access documents attesting to ownership (purchase deeds, donations or changes in ownership); this situation could generate problems with successive transcriptions, and a possible prejudice to the interest of future purchasers. Therefore, the declarative effect of ownership introduced by this law made it possible to affirm that any asset listed in the Plan is without a doubt the property of the Institution which drew up the Plan, and thus available for alienation or valorisation. What remains unresolved is the problem of urban planning variations linked to the new uses attributed to assets considered in the Alienations and Valorisations Plan: while this normative automatism was initially recognised, it was cancelled by a successive ruling issued by the Constitutional Court.

5 Federalismo Demaniale: A New Opportunity for Territories Some years later, in the wake of fiscal federalism, an important process of assignment of State assets to local government was initiated. Legislative Decree 85/2010, the socalled “Federalismo demaniale” Decree, attributed, at no cost, assets owned by the Central Sate to Municipalities, Provinces, Metropolitan Cities and Regions, under the condition they guarantee the maximum valorisation of their operability. An innovative

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aspect proposed by this law was the participation of civil society in defining the valorisation process. Pending the Reform of the Constitution and the introduction of the principle of horizontal subsidiarity, local communities were stimulated to participate in valorisation processes, in analogy to what was taking place (or at least supposed to be) though participation in decision-making processes related to environmental questions as established by the Aarhus Convention. Transferred assets thus became part of the available assets of local Institutions. Therefore, according to Legislative Decree 112/2008, they can be alienated; all the same, this operation, subject to authorisation from the State Property Office, can be carried out only after the process of valorisation and pending the adoption of the necessary urban planning variations. In parallel, an impulse was also given to so-called “cultural Federalismo Demaniale” for the transfer to local Institutions, again at no cost, of State assets with a cultural value. While apparently similar, there are evident differences between the two procedures: “a project for a cultural asset must […] guarantee it a sufficient level of protection but also promote its integration within plans and programmes for its valorisation and the development of the local economic, social and cultural system” [20]. Therefore, the activity of transferring an asset with cultural value is characterised by two diverse factors: the first is that the asset is subject to “specific agreements for valorisation” considering its elevated cultural importance. The second is represented by the impossibility to list it directly among an Institution’s available assets (as it remains subject to a regime of heritage protection under Legislative Decree 42/2004, the Cultural and Landscape Heritage Code). All the same, the “possible alternative scenarios for reutilisation, valorisation and conservation of cultural heritage is generally a complex decision-making process, given the multidimensional nature of the decisions and the broad range of values they represent” [21]; hence, to protect these assets, in February 2009 a protocol of understanding was signed by the Ministry of Cultural Heritage and Activities aspnd the State Property Office to define operative procedures for transferring the State’s cultural heritage assets to territorial Institutions. A circular issued the following May (n. 18 of 2011) by the same Ministry defined procedural steps and guidelines for developing a valorisation programme that must accompany any asset transfer request presented by a territorial Institution. These transfers have made it possible to achieve a twofold objective: consolidating the local tourism economy and powerfully accentuating the identity of different territories [22].

6 The Financial Crisis and the Need to Generate Revenue: The Era of “Simplifications” The growing need to reduce public debt, further aggravated by the 2011 economic crisis, suggested the adoption of manoeuvres oriented toward maximising revenues through an acceleration of procedures for decommissioning public real estate assets. The Development Decree, intervened by seeking to “maximise the implementation of Federalismo Demaniale” (the transfer to local Institutions of the management of

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State-owned assets), though more rapid procedures for attributing properties owned by the Central State to local Institutions. This laid the foundations for the creation of the Società di gestione del risparmio (SGR) asset management companies operating under the Ministry of Economics and Finance. The SGR were created to “institute one or more closed real estate investment funds, promoted or participated by regional, provincial or municipal governments, also in the form of consortia or associations […] to valorise or decommission their available real estate assets”. The real estate assets belonging to the governing bodies involved were placed in funds only when they were already the object of valorisation projects approved by the Institution itself. Furthermore, once again with a view to speeding up the process, the new “function” attributed to these assets, and the procedures related to building permits and urban planning, were defined through programming agreements. Successively, the Save Italy Decree once again reiterated the intention to alienate public real estate assets. In fact, this law eliminated the word valorisation in favour of the more direct and eloquent decommissioning: “Valorisation is marginal with respect to the priority objective of decommissioning” [23]. While intended as an “energic” plan for the alienation of public real estate assets, in reality this law re-proposed the same defects revealed in the past. All the same, the introduction of the Unified Territorial Valorisation Programmes or PUVaT was a truly innovative aspect. Through these instruments, the Legislator felt it useful to initiate a single process of decision-making involving all property-owning institutions, as well as Institutions called upon in any case to express their opinion about valorisation projects. While the law foresaw certain and rapid timing for the conclusion of these procedures, in reality these expectations were widely disregarded. To date there are very few PUVaT either underway or being implemented; the cause is without a doubt to be sought in a largely unfavourable economic conjuncture, but also in the complexity of this intervention: the large number of Institutions involved; an often heterogeneous selection of assets; sluggish bureaucracy and overlapping responsibilities of different Institutions (this is the case of the competition/competencies between different State bodies [24]). All of this generated delays as well as concrete difficulties in establishing a convergence between the many and different objectives of the various public shareholders involved. In February 2014, the new government continued the initiatives proposed by its predecessor, accentuating activities of simplification. Public Institutions were exonerated of the obligation to produce a declaration of conformity with cadastral maps as per Law 52/1985 and the energy performance certificates (A.P.E.) that must accompany real estate transfer acts. These elements once again underline how the State recognises gaps in the correct management of its real estate assets and, unable to initiate a true and proper national plan of real estate due diligence capable of making up for is shortcomings, places itself, legibus solutus, above the very same laws imposed on citizens and businesses operating in this sector. Once again, the attempt to simplify the entire process and reactivate processes of real estate valorisation failed to produce results superior to those of the past. All the same, a generalised drop in real estate investments, an impossible to ignore causal factor of the failure of decommissioning policies, nonetheless paved the way

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toward different actions of recovery. Legislative Decree 133/2014 introduced “measures to facilitate the participation of local communities in matters relative to the safeguarding and valorisation of the territory” as a means of implementing the principles of “horizontal subsidiarity” defined by the 2001 Constitutional Reform. This opened the door toward new forms of participation by local communities and associations, which became a new driver of valorisation activities. In a problematic economic situation, it was undoubtedly an interesting choice to activate forms of civic engagement and to promote activities of bottom-up development [25, 26]. This gave rise to what can be defined a true and proper transformation of “dead capital” to produce new value [27].

7 Conclusions The complex legislative framework that has sedimented over the course of the past thirty years in the field of public real estate valorisation suggests the need for a reorganisation of this material, given the largely discouraging results achieved to date. The concept of valorisation was, and remains, widely interpreted as the alienation of under- or un-utilised real estate assets primarily to lower the public deficit, also at the level of local Institutions. In other words, even when the concept of valorisation is extended to the more efficient public use of these properties, the notion of “selling at all costs” appears to take the upper hand. This choice is not, evidently, always preferable; alienation for immediate monetisation pursued with the securitization operations of the early 2000s, for example, did not prove financially effective and produced disappointing results. Instead, when public real estate is refurbished and repurposed to meet the needs of society, considering the social utility of these transformations, results have been more appreciable, also in financial terms: rationalising use and recovering productivity undoubtedly brings savings for the public administration. We can look, for example, at the experiences linked to the implementation of concession policies by the State Property Office for assets owned by the Central State. Or activities of “bottom-up” valorisation [28] applying the principles of “horizontal subsidiarity” and producing discrete results that demonstrate they are an alternative, often more useful, to policies of alienation. In this field, actions cannot represent individual responses to contingent situations outside of a general framework; they must be triggered by a programme of interventions that considers all available assets. In any case, what appears necessary is a more structured approach to the processes that lead to choices of valorisation. There is also a need to develop conceptual approaches that can be framed within operative protocols and models of evaluation that permit the selection of the most interesting options for the community to which Public Administrations and political decision-makers respond [29]. This is true in general terms for all State Administrations, but even more so for those municipalities that are neither provincial nor regional capitals nor metropolitan areas, and which lack the proper technical-administrative apparatus for governing the complex procedures underlying these processes. Processes whose structuring nucleus should develop around three fundamental moments: the first two are material elements

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of comprehension for jointly understanding the physical, technical and legal characteristics of real estate assets; immaterial for understanding the requirements and expectations of communities in relation to their needs. This latter represents the moment of re-connection between technique-politics, that should lead to a synthesis between the needs of society and the performance, current and potential, of real estate assets.

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15. Pennacchi, L.: L’eguaglianza e le tasse - Fisco, mercato, governo e libertà. Donzelli Editore, Roma (2004) 16. Toscano, F.: Capolinea, viaggio ironico e amaro nell’Italia della seconda Repubblica. Pellegrini Editore, Cosenza (2012) 17. De Caria, R.: L’eterno vizio della finanza creativa. https://www.centroeinaudi.it/agendaliberale/articoli/3724-l’eterno-vizio-della-finanza-creativa.html 18. Buchanan, B.G.: Securitization and the Global Economy: History and Prospects for the Future. Palgrave Macmillan, New York (2016). https://doi.org/10.1057/978-1-137-34287-4 19. Carbonara, S., Stefano, D.: Repertorio beni immobili di proprietà pubblica nella città di Pescara (Comune, Provincia, Demanio, Regione). In: VersoPescara2027.Dossier di ricerca, Vv.Aa., Ed. Gangemi: Roma, vol. CD allegato al volume 2 (2016) 20. Sdino, L., Rosasco, P., Novi, F., Porcile, G.L.: La valutazione delle azioni di valorizzazione dei beni culturali: il caso studio della copertura del Colosseo. Valori e Valutazioni. Teorie ed esperienze 20 (2018) 21. Della Spina, L.: Historical cultural heritage: decision making process and reuse scenarios for the enhancement of historic buildings. In: New Metropolitan Perspectives. ISHT 2018. Smart Innovation, Systems and Technologies, vol. 101, pp. 442–453 (2019). https://doi.org/ 10.1007/978-3-319-92099-3_14 22. Della Spina, L., Calabrò, F.: Decision support model for conservation, reuse and valorization of the historic cultural heritage. In: Computational Science and Its Applications – ICCSA 2018. ICCSA 2018. Lecture Notes in Computer Science, vol. 10962, pp. 3–17 (2018). https://doi.org/10.1007/978-3-319-95168-3_1 23. Terranova, F.: Dossier su valorizzazione e alienazione del patrimonio immobiliare pubblico. TECHNE J. Technol. Arch. Environ. (2012) 24. Puglisi, R.: In Convegno: “Rapporto tra Stato ed Enti: chi paga?” Pescara (2018) 25. Della Spina, L.: Scenarios for a sustainable valorisation of cultural landscape as driver of local development. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives. ISHT 2018. Smart Innovation, Systems and Technologies, vol. 100, pp. 113– 122. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-92099-3_14 26. Della Spina, L., Giorno, C., Galati Casmiro, R.: Bottom-up processes for culture-led urban regeneration scenarios. In: Misra, S., Gervasi, O., Murgante, B., Stankova, E., Korkhov, V., Torre, C.M., Rocha, A.M.A.C., Taniar, D., Apduhan, B.O., Tarantino, E. (eds.) Computational Science and Its Applications – ICCSA 2019. ICCSA 2019. Lecture Notes in Computer Science, vol. 11622, pp. 93–107. Springer, Cham (2019). https://doi.org/10.1007/ 978-3-030-24305-0_8 27. De Soto, H.: The Mystery of Capital: Why Capitalism Triumphs in the West and Fails Everywhere Else. Bantam Press, London (2000) 28. Mangialardo, A., Micelli, E.: The enhancement of public real-estate assets through participation and social innovation: empirical data from Italy. Data Brief 21, 2379–2383 (2018). https://doi.org/10.1016/j.dib.2018.09.112 29. Carbonara, S., Stefano, D.: An operational protocol for the valorisation of public real estate assets in Italy. Sustainability 12(2) (2020). https://doi.org/10.3390/su12020732

Public-Private Partnership: Risk Allocation in Different International Markets Giacomo Garzino(&) Mentor of Center for Building Infrastructure and Pubic Space of Columbia University, New York, NY 10027, USA [email protected]

Abstract. The principal intent of this paper is to address the issue of risk allocation in the public-private partnerships with reference to previous studies. The author performs a methodological analysis about the state of the art and in the end proposes a summary table whose goal is to critically order the scientific production in this regard. It is clearly a research activity driven by the desire to circumstantiate and collect, almost fixing its contents, the scientific assets related to risk allocation in the public-private partnerships. Moreover, the result presented is a possible starting point for subsequent investigations, with reference to case studies, where the specificity of each project will be the reason for discussion and study (of Galilean-inspired) and possibly subsequent revisions and investigations of the assumptions proposed in this paper. Keywords: Public private partnerships


Risk factors
Qualitative analysis

1 Introduction Countries that are experiencing rapid growth require significant investment in infrastructure [1]. In many nations, there is a huge gap between the available public funds and the required investment. In order to address these challenges and enable countries to meet growth needs, new tools such as public-private partnership agreements have been introduced. This new financial strategy is quickly becoming one of the most used methods to address this issue. Many authors underline how the public-private partnership (PPP) creates a longterm investment relationship between the two parties where private sector engagement is higher than conventional delivery [2]. Public-private partnerships show great advantages over traditional financial methods. First of all, they give access to private capital, allow risk-sharing with the private sector and the ability to improve transparency [3]. However, PPPs are not free of risks, the main causes can be mostly attributed to the nature of the related activities, the environment, the initial cost, the complexity of the system involved and the duration of the investment [4]. At this point, a stakeholder has four alternatives in front of him: avoiding, transferring, sharing and managing. It is easy to understand that the option to avoid involves a mutual departure of the parties because of an overall risk profile considered ungovernable, which is not entirely atypical in itself. On the other hand, if there are conditions for the parties to proceed, the contract must include a risk allocation strategy. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 486–499, 2021. https://doi.org/10.1007/978-3-030-48279-4_46

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Therefore, the contract becomes the central system of governance because it sets the rights and responsibilities of each party, allocates risks and benefits and also foreshadows the framework within which to resolve possible problems. The transparency of the procurement process and the consequence, the allocation of risk is an acritical and successful factor in the public-private partnership. Inadequate allocation of risks leads to inefficiency in project management, high transaction costs [5], high frequency of disputes [6] and may even reduce private sector participation in PPPs [7] from the tender stage, delays in negotiations and high participation costs [8].

2 The Procurement Processes The procurement process is slightly different in each country but can be generally presented as in Fig. 1. After a public notice, the interested parties apply to be invited and if they are eligible, the public party sends them the official solicitation notice (Invitation to Negotiate- ITN). Fully aware of the procedures, construction specifications, contractual conditions, criteria for assessing bids, it is generally asked to formulate the final offer (Best and Final Offer – BAFO).

Fig. 1. PPP contract procurement process (Source: HM Treasury 1995)

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At the beginning of the procurement process, the public party provides the applicants, with the tender documents, a draft for the project risk allocation. The latter can generally be drawn up according to three common methods: • a simple list of risk factors • a risk matrix • a risk allocation framework. At the end of the negotiation, the public and the private parties approve and attach to the contract (according to the terms and contents of the regulatory framework) an agreed risk allocation framework where the risks are allocated to the part that can handle them better.

3 Risk Identification There are numerous studies that associate PPP contracts with the main risk factors [9–15]. Yescombe’s study presents a rather comprehensive list and characterization, capable of collecting advanced contributions in the course of studies by the various authors. Bing [6] then distinguished between exogenous risks (i.e. due to external causes of the project) and endogenous risks (to be attributed to causes within the project). Table 1 summarizes the work of Yescombe and Bing as it places their corresponding origin alongside the main risks. Li [8] proposes a classification on three levels of risk: • Macro-level risks from exogenous sources. These risks are national, industrial and/or natural. Risks at this level are often associated with political and/or legal conditions, economic factors, extreme natural events. • Meso-level risks refer to endogenous risk events with consequences within the project system. These are aspects related to the use, location, design, construction, and technology of the artifact. • Micro-level risks, related to endogenous sources but more connected to the use and social fallout of the PPP rather than to its design-realization, previously explained in paragraph 2. Table 2 lists the risk factors identified for PPP in the UK context but is believed to be a general reference element for further speculative analysis. It proposes a subdivision of factors into subcategories, which are collected within the framework that refers to the three levels of risk (macro, meso, and micro) proposed by Li Bing. Methodological investigations into the contribution of several authors were then conducted during the research. Quiggin, for example, has developed the opportunity to distinguish between systematic and non-systematic risks within PPPs. Brealey [16], continuing his research, has recently found some correlations between various risks, although their nature is apparently different. And it found that endogenous risks, related to the project, seem to be non-systematic while exogenous risks, caused by external factors, are more systematic. It is possible to conclude that the risks in the macro category are exogenous and systematic in nature, while those belonging to either meso and micro categories are

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non-systematic and endogenous in nature. Therefore, it is possible to read Table 2 as the bearer of this cognitive heritage. It is not a simple list, even if reasoned, of risk elements divided into categories, but a framework on which is possible to carry out a path of cognitive analysis.

Table 1. Risk Identification (Source: MJ Garvin 2018) Riska Sociopolitical opposition to project Change in law Interest rates Inflation Site acquisition Ground conditions Permits Environmental permits and risks Archaeology and fossils Access, rights of way, and easements Connections to the site Protesters Disposal of surplus land Construction subcontract Construction subcontractor Price adjustments Changes by the public authority Construction subcontractor’s risks Revenue during construction Delay by construction subcontractor Other causes of delay Design Performance Usage/demand risk Network Revenue payment Availability and service Operation expenses Maintenance Latent defects Project company default Termination by the public authority Force majeure Residual value a Yescombe (2011). b Bing et al. (2005).

Sourceb Exogenous Exogenous Exogenous Exogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Exogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Endogenous Exogenous Endogenous

490

G. Garzino Table 2. Project risk factors (Source: Li Bing et al. 2005)

Risk meta-level

Risk factor category group Macro level risks Political and government policy

Macroeconomic

Legal

Social

Natural

Meso level risks

Project selection Project finance

Residual risk Design

Construction

Operation

Risk factor • Unstable government • Expropriation or nationalisation of assets • Poor puhlic decision-making process •Strong political opposition/hostility • Poor financial market • Inflation rate volatility • Interest rate volatility •Influential economic events • Legislation change • Change in tax regulation •Industrial regulatory change • Lack of tradition of private provision of public services • Level of public oppoation to project • Force majcurc • Geotochnical conditions • Weather •Environment • Land acquisition (site availability) • Level of demand for project • Availability of finance • Financial attraction of project to invedors •High finance costs • Residual risks • Delay in project approvals and permits • Design deficiency • Unproven engineering techniques • Construction cast overrun • Construction time delay • Material/labour availability • Late design changes • Poor quality workmanship • Excessive contract variation •Insolvency/default of sub-contractors or suppliers • Operation cost overrun • Operational revenues below expectation • Low operating productivity •Maintenance costs higher than expected •Maintenance more frequent than expected (continued)

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Table 2. (continued) Risk meta-level Micro level risks

Risk factor category group Relationship

Thiid party

Risk factor • Organisation and co-ordination risk • Inadequate experience in PPP/PK1 • Inadequate distribution of responsibilitics and risks • Inadequate distribution of authority in partnership • Differences in working method and know-how between partners • Lack of commitment from either partner • Third party tort liability •Staff crises

4 The Risk Allocation Mechanism The aim of risk allocation is to allocate the risks identified in the heads of the partnership agreement, i.e. between the public and private sectors, always excluding endusers. This type of approach is widely shared, however, some researchers and professionals in the sector [17] are inclined to spread the risks among three parties, considering also the end-users to the extent of half of the part given to the public subject. Figure 2 (from the study of Li Bing et al. “The allocation of risk in PPP/PFI construction projects in the UK” to which this research is so indebted) illustrates a negotiation process for risk allocation. The method described combines a systematic

Fig. 2. Risk allocation process in PPT/PFI contract Procurement (Source: Li Bing et al. 2005)

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risk management approach by Al-Bahar and Crandall for construction projects [18] with the risk-sharing principle proposed by Grant [19, 20]. The procedure generally requires that the public promoter identifies the risk associated with the PPP and create a register of the risks themselves, establishing its impact for each stage and an attribution of responsibility/competence. This is followed by an estimate of the financial consequences. The procedure implemented helps the public party to identify the portion of the risk to be transferred to the private party. Similarly, the private bidder has also the opportunity to assess/propose a preliminary framework for the allocation of risks and formulate a bid price that includes not only the cost of implementation, maintenance, etc. but also the cost resulting from the management of the risks involved. First, it could be assumed, by applying a three-tier meta classification, that the risks could be considered in terms of their relationship with projects. The risks that fall into the macro category, being exogenous and systematic in nature and therefore unrelated to the nature of the project, are attributable to the proposed public part. Similarly, all the risks related to the meso level and characterized by an endogenous and non-systematic origin are attributable to the private contractor. On the other hand, the risk factors belonging to the micro-level are associated with both the parties involved in the project and therefore susceptible to a more complicated attribution. This approach seems to consider the reflections proposed by Arndt and Irwin. The assumptions of a methodological nature are illustrated in Table 3.

Table 3. PPP project risk factors Risk metalevel Macrolevel risks

Risk factor category group Political and government policy

Macroeconomic

Legal

Social

Natural

Risk factor Unstable government Expropriation or nationalization of assets Poor public decision-making process Strong political opposition/hostility Poor financial market Inflation rate volatility Interest rate volatility Influential economic events Legislation change Change in tax regulation Industrial regulatory change Lack of tradition of private provision of public services Level of public opposition to project Force majeure Geotechnical conditions Weather Environment

Y Y Y Y XY XY XY XY Z XY XY X Y Z X X X (continued)

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Table 3. (continued) Risk metalevel Meso level risks

Risk factor category group Project selection Project finance

Residual risk Design

Construction

Operation

Micro-level risks

Relationship

Third-party

Risk factor Land acquisition Level of demand for project Availability of finance The financial attraction of the project to investors High finance costs Residual risks Delay in project approvals and permits Design deficiency Unproven engineering techniques Construction cost overrun Construction time delay Material/labor availability Late design changes Poor quality workmanship Excessive contract variation Insolvency/default of sub-contractors or suppliers Operation cost overrun Operational revenues below expectation Low operating productivity Maintenance costs higher than expected Maintenance more frequent than expected Organization and coordination risk Inadequate experience in PPP/PFI Inadequate distribution of responsibilities and risks Inadequate distribution of authority in partnership Differences in working method and knowhow between partners Lack of commitment from either partner Third-Party Tort Liability Sta Crises

Note: Private bears = X; Public bears = Y; Shared = Z

Y X X X

Z X X X X X X X Z X X X X X X XY X XY XY XY Y X X

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G. Garzino Table 4. PPP/PFI project risk factors

Risk meta-level Macro-level risks

Risk factor category group Political and government policy

Macroeconomic

Legal

Social

Natural

Meso level risks

Project selection Project finance

Residual risk Design

Construction

Operation

Risk factor Unstable government Y Expropriation or nationalization of assets Y Poor public decision-making process Y Strong political opposition/hostility Y Poor financial market X Inflation rate volatility X Interest rate volatility X Influential economic events X Legislation change Z Change in tax regulation X industrial regulatory change X Lack of tradition of private provision of X public services Level of public opposition to project Y Force majeure Z Geotechnical conditions X Weather X Environment X Land acquisition Y Level of demand for project X Availability of finance X The financial attraction of the project to X investors High finance costs X Residual risks X Delay in project approvals and permits Z Design deficiency X Unproven engineering techniques X Construction cost overrun X Construction time delay X Material/labor availability X Late design changes X Poor quality workmanship X Excessive contract variation Z Insolvency/default of sub-contractors or X suppliers Operation cost overrun X Operational revenues below expectation X Low operating productivity X Maintenance costs higher than expected X Maintenance more frequent than X expected (continued)

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Table 4. (continued) Risk meta-level Micro-level risks

Risk factor category group Relationship

Risk factor

Organization and co-ordination risk Inadequate experience in PPP/PFI Inadequate distribution of responsibilities and risks Inadequate distribution of authority in partnership Differences in working method and know-how between partners Lack of commitment from either partner Third-party Third-Party Tort Liability Sta Crises Note: Private bears = X; Public bears = Y; Shared = Z

X X X X X Y X X

The most common risks on the public side are the changes asked by the public side itself, inadequate decision-making, political opposition, demand for use and availability of venues. On the other hand, exogenous aspects remain uncertain for which the public contracting party has no control and also has no possibility of retroactive action, such as changes in tax legislation, inflation, economic changes, etc. As shown by the attribution of the risks outlined in Table 3, there are still items for which it has not been possible to make a fully convincing attribution. The associated XY characters underline an ambivalence that needs to be clarified and cannot simply be understood with the examination of a case study. The reason for this lies in the idea that the government can influence macroeconomic conditions through state expenditure and therefore the public side should share some responsibilities about inflation, access to credit, etc. which has no say in it. There is no doubt, however, that the risks associated with major force events should be shared among the contractors. It is important to underline that most of the papers in this area have been concentrated where the most important complex projects have been developed (UK, Australia, China, and India). This paper dug into the issues raised about the larger projects and the national context in which they were addressed. This study analyses in the first instance, for obvious reasons of proximity to the Italian framework, the state of art in the United Kingdom and then compares it with the realities of other countries. In the UK, in order to identify a shared platform for the allocation of the risk to the contractors an empirical investigation was carried out involving the insiders (representatives of the public and private part). A survey was conducted to investigate their views on these issues. The data were collected and processed in statistical terms, taking care to weigh the answers formulated in the questionnaires with a scientific approach.

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The picture presented in Table 4 summarizes the results that emerged from the investigation. The data presented are derived from the literature but the same has been processed by the author in order to present the results in completely homogeneous terms and on those examined so far. It is possible to understand that the public partner should take responsibility for the risks associated with the availability of the site and political decisions. The risks of relationship, force majeure and related to regulatory changes should be shared by both parties. The risks closely related to the project, especially those at the meso stage, should remain in the heads of the private contractor. Table 5, on the other hand, presents a framework for comparing risk allocation criteria in countries where PPP financial strategy was broadly adopted (Australia, the United Kingdom, China, and India), in terms of number and relevance. The types of risks are recurrent compared to those so far exposed, however, they are exposed in a different order of listing. This should not be misleading about the homogeneity and the possibility of being able to compare the data presented with those of the previous tables. For each country, three allocation categories are identified: public, private and shared. The letter X identifies the attribution of each risk within these categories, while the sign – means non-attribution in preordained terms. The table shows how risk allocation differs in relevant terms from state to state. The United Kingdom has a strong predominance of risks taken into account by the private party, a few X-letters for each category (meaning an uncertain attribution) and only two signs - which indicate the failure to define the problem and its referral to the examination of specific cases.

Table 5. Synthesis of previous risk allocation research in large P3 markets (Source: Garvin M.J. 2018) Australia

Unstable government Poor public decision-making Political opposition Change in legislation Change in tax regulation Change in construction law Land acquisition Expropriation Financial attraction to investors

Pu –

S X

Pr –

United Kingdom Pu S X –

X

–

–

X

X

–

–

X

X

–

China

India

Pr –

Pu X

S –

–

–

X

X

X

X

–

X

X

–

–

–

–

–

–

X – –

– – –

– –

Pr

Pu X

S –

Pr X

–

–

–

–

X

–

X

–

X

–

X

–

–

–

–

X

X

X

X

–

–

–

–

–

X

–

–

–

–

–

X X –

– – –

– – –

X X –

X – –

X – –

– – –

– – –

(continued)

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Table 5. (continued) Australia Pu – – –

Financing costs Design risk Unproven technology Delays of X approvals Construction cost – overrun – Delays in construction Contract variation – Material/labor availability Poor quality of – workmanship Late design X changes Demand – Network X – Operation cost overrun Maintenance cost – Project – organization Third-party – liability Staff crises – Poor financial – market Bad economic – events Force majeure – Environment X Inflation . Interest rate risk – Geotechnical X conditions Weather – Residual – Note: Pr = private bears; Pu

S – – –

Pr X X X

United Kingdom Pu S – – – – – –

China

–

–

X

X

X

X

–

X

–

–

X

X

–

–

–

– –

– X

X –

–

X

–

India

Pr X X X

Pu – – –

S – – –

Pr

Pu – – –

S – – –

Pr X – –

–

–

–

–

–

–

–

–

X

X

–

–

–

–

X

X –

X X

– –

X –

– –

– –

– –

–

–

X

–

–

–

–

–

–

–

–

–

–

X

–

–

–

X X –

X – X

X – –

– – –

X – X

X – –

X – –

X – –

– – –

X – X

– –

X X

– –

– –

X X

– –

– X

– –

– –

– –

–

–

–

–

X

–

X

–

–

–

– –

X –

– –

– –

X X

– –

– X

– –

– –

– –

–

–

–

–

X

–

–

–

–

–

– – – – –

X – – X –

– – – – –

X – – – –

X X X X X

– – . – .

X – – – –

– – – – –

– – – – –

– – – – –

– – – – X – – – – X = public bears; S = shared;

– –

– –

– –

– –

– –

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Australia has many pending allocations, although the allocation of risks to the public side appears a little more relevant than that of the U.K. Examination of Chinese data shows that the risk factors attributed to the public side are so much comparable to those of the United Kingdom, despite having a greater number of shared allocations and a more significant lack of definitions (five signs -). On the other, the framework for India has a completely indefinite qualitative allocation grid, with few certain aspects.

5 Conclusions The research conducted shows two important aspects. Firstly, the study shows that the specificity of the project plays an important role in the definition of the risk matrix, so important that individual specificities cannot be defined only with a generalist approach. This fact is also clearly readable for countries such as the United Kingdom (where there is a regulatory framework pragmatically defined and a central state capable of ensuring that administrative procedures are not influenced, if not marginally, by the alternations of government policy) and China (where the strong state unequivocally directs the market related to a development that cannot be compared to any other nation). Despite the national characteristics highlighted, aspects that are not entirely definable remain, as well highlighted in Table 5. The issue then arises in much more relevant and difficult terms for the large federal states (Australia and India) where the overlap of regulations at the central level with those of the states do not allow the preordained definition of a general framework, even at a qualitative level. This fact is further confirmed by the fact that for the United States the authors of Table 5 have stated that they are unable to set up a summary framework at the federal level [21]. Secondly, there is a full awareness that the research conducted has dealt only with one aspect of the problem, the definition of the risk matrix that the public contractor must take into account as the starting point for the choice of the private partner. It remains to be investigated and deepened, both from a methodological point of view and about concrete case studies, all the data related to the quantitative aspects of risk allocation, a crucial point at the contractual level that will be the subject of subsequent studies and research.

References 1. Irwin, T., Klein, M., Perry, G.E., Thobani, M.: Dealing with public risk in private infrastructure. In: Timothy Irwin, World Bank Latin American and Caribbean Studies, pp. 1– 19, Washington (1997) 2. Garvin, M.J., Bosso, D.: Assessing the effectiveness of infrastructure public-private partnership programs and projects. Public Works Manage. 13, 162–178 (2008) 3. Flinders, M.: Governance in whitehall. Public Adm. 80, 51–75 (2002) 4. Grimsey, D., Lewis, M.K.: Evaluating the risks of public-private partnerships for infrastructure projects. J. Proj. Manage. 20, 107–118 (2002) 5. Dudkin, G., Välilä, T.: Transaction costs in public-private partnerships: a first look at the evidence. Compet. Regul. Network Ind. 7, 307–330 (2006)

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6. Bing, L., Akintoye, A., Edwards, P.J., Hardcastle, C.: The allocation of risk in PPP/PFI construction projects in the UK. Int. J. Project Manage. 23, 25–35 (2005) 7. Chou, J., Pramudawardhani, D.: Cross-country comparisons of key drivers, critical success factors and risk allocation for public-private partnership projects. J. Project Manage. 33, 1136–1150 (2015) 8. Bing, L.: Risk management of public/private partnership projects. Unpublished Ph.D. thesis, School of the Built and Natural Environment, Glasgow Caledonian University. Glasgow, Scotland (2003) 9. Akintoye, A., Taylor, C., Fitzgerald, E.: Risk analysis and management of private finance initiative projects. Eng. Constr. Archit. Manage. 5, 9–21 (1998) 10. Chan, A.P.C., Lam, P.T.I., Chan, D.W.M., Cheung, E., Ke, Y.: Critical success factors for PPPs in infrastructure developments: Chinese perspective. Constr. Eng. Manage. 136, 484– 494 (2010) 11. Grimsey, D., Lewis, M.K.: Evaluating the risks of public-private partnerships for infrastructure projects. J. Project Manage. 20, 107–118 (2002) 12. Hood, J., McGarvey, N.: Managing the risks of public-private partnerships in Scottish local government. Policy Stud. 23, 21–35 (2002) 13. Yescombe, E.R.: Public-Private Partnerships: Principles of Policy and Finance. ButterworthHeinemann, Burlington (2011) 14. Iyer, K.C., Sagheer, M.: Hierarchical structuring of PPP risks using interpretative structural modeling. J. Constr. Eng. Manage. 136, 151–159 (2009) 15. Zou, P.X.W., Wang, S., Fang, D.: A life-cycle risk management framework for PPP infrastructure projects. J. Financ. Manage. 13, 123–142 (2008) 16. Brealey, R., Myers, S.C., Allen, F.: Principles of Corporate Finance. McGraw-Hill, New York (2016) 17. Arndt, R.H.: Risk allocation in the Melbourne city link project. J. Project Financ. 4, 11–24 (1998) 18. Al-Bahar, J., Crandall, K.C.: The systematic risk management approach for construction projects. ASCE J. Construct. Eng. Manage. 116, 533–547 (1990) 19. Grant, T.: Keys to successful public-private partnerships. Can Bus. Rev. Ottawa 23(3), 27– 28 (1996) 20. Treasury, H.M.: Private Opportunity, Public Benefit: Progressing the Private Finance Initiative. The Stationery Office, London (1995) 21. Garvin M.J., Nguyen D. A., Gonzales E. E.: Risk allocation in U.S. public-private partnership highway project controls. J. Constr. Eng. Manage. (2018)

Renewable Energy Communities: The Challenge for New Policy and Regulatory Frameworks Design Chiara D’Alpaos(&) and Francesca Andreolli Department of Civil, Environmental and Architecture Engineering, University of Padova, 35131 Padua, Italy [email protected]

Abstract. The diffusion of distributed renewable energy production plants causes balancing issues of energy demand and supply to the national electric grid. To guarantee an efficient management of power networks, new flexibility measures (e.g., storage systems, Demand-Side Management) are necessary. In this context, consumers switch from passive to active agents, and become aware of their role in the electricity market due to their production and storage capabilities. The possibility to empower prosumers in a market environment generates new opportunities and challenges the operation of power systems. Recently, a proposal for a new design of energy systems has emerged, namely peer-to-peer (P2P) energy communities, in which prosumers can share locally and directly both electricity production and investments. Based on a consumercentric and bottom-up approach, pure consumers, prosumers, local Authorities and energy utilities can collaborate in order to obtain economic, environmental and social benefits. Starting from a preliminary literature review, this paper provides an overview of the most common P2P community structures and investigates their potential techno-economic benefits, and related policy and regulatory implications. By properly addressing these latter issues and involving stakeholders and private actors’ participation, Governments and local Authorities can favor large diffusion of energy communities. Keywords: Prosumers frameworks


Peer-to-Peer
Energy community
Regulatory

1 Introduction In recent years, the EU established important climate policy objectives to be reached by Member states in the period 2021–2030 with the aim of decarbonizing its economy and fostering a clean energy transition. In this respect, the 2030 Climate & Energy Framework set the key targets to be achieved by 2030: at least 40% cuts in greenhouse gas (GHG) emissions compared to 1990 levels, at least 27% share for renewable energy and at least 27% improvements in energy efficiency [1]. In 2018, both the original binding renewable energy target and the headline target for energy efficiency were revised upwards to 32% and 32.5%, respectively [2]. Cost-effective solutions are therefore needed in all the sectors involved, in order to reduce fuel poverty, increase © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 500–509, 2021. https://doi.org/10.1007/978-3-030-48279-4_47

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security of energy supplies, reduce dependence on energy imports, favor economic growth and jobs creation and generate environmental and health benefits [1]. It is generally agreed that the power sector has the greater potential in CO2 emissions reduction and improvement in energy efficiency and security. Indeed, energy production by Renewable Energy Sources (RES), such as solar and wind power, becomes fundamental in the route from a fossil-based to a zero-carbon energy sector. As the development of RES is changing both the framework and management of traditional electricity grids, significant investments are necessary to upgrade and modernize existing networks. The diffusion of RES power plants is in fact causing a shift from a centralized system to a decentralized and polycentric system, constituted by distributed RES production plants and micro-grids [3, 4]. In detail, as current distribution networks are unable to meet the ever-faster supply-demand changes, it emerges the urgency for the implementation of a more flexible electric system. In this context, micro-grids guarantee bidirectional power flows, where end-users (i.e., prosumers) can interact among them and with the local grid [5]. Nonetheless, the intermittency and variability of RES can generate supply-demand mismatches, which affect grid stability and operational management [6–8]. To manage and solve these operational issues (e.g., congestions, imbalances, power outages, etc.), the introduction of flexibility measures such as Battery Energy Storage Systems (BESS), Demand-Side Management (DSM) or Demand Response (DR) systems might be helpful [9–12]. These technologies permit to threat changes in energy demand and supply as well as to integrate the actions of all users (i.e., generators, consumers and prosumers) in a more “smarter” way [13]. Both supply and demand sides of power networks can greatly benefit from Smart Grids (SGs) implementation [3, 14]. Based on a bottom-up approach, SGs change the role of end-users (i.e., prosumers and pure consumers) from passive to active, giving them both a greater control over their electricity consumption/production patterns and the opportunity of gaining profits by active participation in electricity markets and provision of ancillary services [4, 15, 16]. The possibility to connect decentralized (private) energy suppliers and consumers can favor the development of local or virtual communities, which in turn can contribute to better match electricity supply and demand by guaranteeing exchanges of energy between members without a third-party involvement [17]. Investigations on new Smart Communities or Virtual Power Plants (VPPs), in which consumers play a central role, are still at an early stage in literature. Recent studies have mostly analyzed business models or market designs useful to improve benefits for community actors, especially in relation to investments risks and uncertainties. Research on private actor preferences and their engagement in the decision-making process, as well as on new forms of governance and future policy implications is still scarce. As SGs and VPPs are changing the way energy systems are governed by encouraging a direct participation of consumers (e.g., through different energy supply modes and more effective consumption patterns), there is a need for innovative energy infrastructure planning and policies. This paper describes and analyzes the potential structures of local energy markets, investigates new governance models, which can accelerate the creation of VPPs, and focuses on city-to-citizen cooperation, stakeholders’ involvement and social awareness. The remainder of the paper is organized as follows. Section 2 provides a literature review; in Sect. 3 structures for peer-to-peer markets are analyzed and discussed; in Sect. 4 policy and regulatory implications are presented and discussed; Sect. 5 concludes.

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2 Related Literature To address the new challenges arising from changes in the management of the electricity systems and the growing number of prosumers (e.g., increases in on-site flexibility, new alternatives to increase the profitability of prosumers’ generation capacity when feed-in-tariffs are canceled out), researchers started to analyze new electricity market frameworks, based on a bottom-up approach, in which prosumers have a proactive role [18]. These market frameworks are considered as consumer-centric electricity markets, as they guarantee prosumers the opportunity to both handle their generation and consumption patterns and trade their energy within the market, according to a collaborative principle [18]. Prosumers actively offer services, which other users bid for [19], and this can dynamically affect the market depending on their preference structures [4]. In this respect, Peer-to-Peer (P2P) energy trading can play a key role. According to P2P trading, agents can directly trade energy with one another (consumer or prosumer) and increase their investment profitability by gaining revenues for excess energy [20]. Therefore, prosumers compete with traditional providers of energy services [21]. P2P trade guarantees the possibility to switch energy suppliers on a minute-by-minute basis and change the buying-selling operation mode according to own preferences [20]. As previously mentioned, the implementation of P2P favors the development of local energy markets or VVPs, which can eventually be connected to existing electricity markets (e.g., day-ahead, intraday markets). Literature on which market framework is more effective in P2P deployment is still poor, but some contributions have investigated its economic performance as well as community’s benefits. Furthermore, some pilot projects (e.g., Brooklyn Microgrid, Enerchain, Vandrebron) have been partially implemented. [22] provided a state-of-theart review on this and related issues. [20] proposed an optimization model to compare two different market designs for P2P trading in a small community, whereas [23] studied a two-stage control method to implement P2P energy sharing in a community micro-grid. [22] investigated bidding systems to implement P2P trading based on game theory, the so-called Elecbay. In addition, [24] investigated the feasibility of rooftop photovoltaic (PV) power plants and battery systems in a P2P environment, by simulating a local community of 500 households under real-world constraints. [25] proposed an optimization model to coordinate P2P energy trading among smart homes with a DSM system, and they analyzed the unfair cost distribution problem by enforcing Pareto optimality. Other articles investigated the role of aggregators in local electricity markets in organizing groups of prosumers and providing flexibility services [26–29]. According to literature, market design is a key factor in successful implementation and economic profitability of VVPs and P2P trading, as price schemes may affect local consumption and distribution of energy. As highlighted by [30, p. 800], with respect to electricity tariffs structure, there is not “one rate that fits for all”. Prices should, de facto, reflect the willingness to pay of each prosumer for an extra unit of electricity in the absence of trading, net of network fees and system costs [4, 20]. Compared to other solutions (e.g., storage systems), P2P trading results a cost-effective

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solution to reduce energy costs, distribution losses and network congestions and increase community’s economic benefits. Beyond understanding effective market design, the analysis of new governance models designed to foster the creation of local energy markets represents another important step towards the establishment of energy communities. According to the EU Directive 2018/2001/EU on the promotion of the use of energy from renewable sources, the primary aim of renewable energy communities is “to provide environmental, economic and social community benefits … rather than financial benefits” [2, p. 103]. This EU Directive is in line with the priority actions suggested by [31] for the achievement of the 7th Sustainable Development Goals (SDG 7) on affordable and clean energy. As highlighted by [31], the deployment of RES and the development mini-grids and SGs can significantly contribute to the achievement of the universal energy access target by 2030. In order to reach this challenging objective, governance and regulatory frameworks should favor a decentralized and proactive citizen-oriented organization of the energy sector. In this context, new governance models based on city-to-citizen partnerships might contribute to local economic development as well as to social justice and cohesion. In this field, literature is very limited. [32] identified the sociopolitical variables introduced by SGs in the electricity distribution industry and studied how public-private partnerships can provide new opportunities. [33] investigated the effectiveness of citizen participation as a policy instrument to promote SGs and proposed a smart city governance model for smart communities in Japan. [34] analyzed the role of local Governments in developing community renewable energy projects and proved that collaboration initiatives (e.g., public-private partnerships) are useful. [35] defined possible market frameworks for VPPs with particular emphasis on regulatory options and the relationships between communities, energy service companies and Governments. [36] carried out a literature review on prosumer communities from the perspective of prosumers’ relationships and their influence on effective implementation of SG technologies. [17] investigated customers’ preferences and their willingness to participate in P2P energy communities under different conditions in order to provide potential guidelines for policy makers. In short, the implementation of VPPs and P2P trading is a complex and multidimensional process, which involves multiple actors and stakeholders. VPPs and P2P trading are acknowledged in literature as effective solutions for the management of electricity systems, nonetheless important research gaps and open issues still exist. One of the most relevant issues is related, in fact, to the use of Information and Communication Technologies to enable P2P trading and obtain real-time information on electricity production or energy prices.

3 Structures for Peer-to-Peer Markets This section describes and discusses innovative structures for P2P markets, analyzed in literature so far (see previous section), and namely: (i) full P2P market structure; (ii) community-based market or organized prosumer group; and (iii) hybrid P2P market structure. Authors use different terms to indicate the same market design (e.g., [21] define community-based models as Federated Power Plants). As highlighted by [18],

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the degree of decentralization and the typology of interactions are the main features, which differentiate a market structure from the others. Full P2P market structures permit direct negotiations between peers, which can bid and sell/buy electricity or other services. Agents can sign ad hoc contract agreements for a specific service without a central regulator. In this context, agents are totally free and autonomous, and energy use is correctly aligned with consumers’ preferences in terms of costs, consumption and production quotas. P2P is the less structured market and may generate potential computational issues in scenarios characterized by many participants. In fact, there can be a scalability problem regarding the negotiation process if it is used for the entire electricity system, due to ever-increasing computation and communication complexity [18]. Example of this type of markets are the Vanderbron platform in the Netherlands and the Piclo pilot program in the UK [19]. Community-based markets have a more structured design, and prosumers are connected one another in a community, which can be either connected to the main grid or isolated. These communities are organized as a group, in which resources are pooled together in order to form a VPP. A community manager regulates trading activities within the group and acts as a mediator between the community and the main grid. Usually this type of market design is applied to neighboring prosumers due to their closeness, but can be implemented also to cases, in which agents are not close but share common interests and goals. A central node is in charge of agents’ management, based on their preferences and needs. The most important effect of community-based models is the enhancing involvement and the cooperation of members, who contribute to achieve the same objective of enlarging community benefits. Lastly, hybrid P2P market structures are a combination of the previous ones as they consist of different layers for energy trading. At the upper level, individual peers negotiate directly among them or with existing markets, and at the bottom level, energy collectives1 form a community with a regulator, which manages and oversees trading within the group [18]. This design takes the advantages of the previously mentioned models (i.e., ensuring autonomy to agents and increasing the cooperation between them), and at the same time it guarantees greater scalability as computational efforts and infrastructure are more adaptable to different systems.

4 Policy and Regulatory Implications Literature suggests that P2P energy communities represent a promising solution to accelerate energy transition towards post-carbon cities and more efficient power systems. Nonetheless, it emerges that relevant policy and regulatory barriers still exist. In this direction, research in psychology and behavioral economics can contribute to better understanding private actors’ trading preferences to support policy makers in setting efficient instruments to increase private actors’ participation in P2P energy communities. On the one hand, as suggested by [17], the introduction of dynamic pricing

1

[37, p. 3995] define an energy collective “as a community of prosumers that operates in a collaborative manner, optimizing usage of resources”.

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schemes can produce incentives to price-focused prosumers due to the increase in financial benefits deriving from price signals. On the other hand, incentive policies designed to emphasize the added value of community autarky, rather than individual autarky, can increase autarky-focused prosumers’2 participation in P2P communities (e.g., by promoting shared energy storage systems). Studies on actors’ preferences and investment decisions are meant to increase actors’ involvement since early project stages. Policies designed to favor a deeper community engagement can increase awareness and knowledge and, in turn, promote citizens acceptance [33], which is essential for obtaining successful results. Local and regional Authorities can play a major role in this sense. Besides engaging citizens in local planning (e.g., by sharing knowledge, discussing ideas and opportunities connected to the policy, regulatory and funding environment), as policy-makers they can: a) promote long-term energy strategies (including community ownership targets); b) require developers to open projects to citizen participation; c) secure urbanrural partnership to create positive cooperation alliances with other stakeholders from neighboring municipalities, by sharing competences and resources; d) address new neighborhood developments towards community energy. Specifically, in remote areas, Governments should unlock private and community-driven financing and promote planning and decision-making strategies deriving from cross-sectoral consultation and stakeholders (e.g., private sector, civil society organizations, local planners, etc.) involvement [31]. Some city-to-citizen cooperation models were already tested across Europe. The city of Ghent in Belgium started a cooperation with local partners (e.g., the energy cooperative Ecopower as aggregator, the EnerGent cooperative as investor, a social protection association as mediator) to launch the “Buurzame Stroom” project, to develop SGs, based on fairness and collective approaches. Scotland in 2011 established a target policy for community energy scale-up by setting the target of 500 MW of locally and community owned renewable energy sources, to be reached by 2020. This inspired the Welsh and French Governments to adopt similar policies. In Austria, the Standtwerke WienEnergie (i.e., the Vienna local energy utility) started to sell PV plants to citizens in 2012 by paying them a yearly remuneration and buying the panels back at the end of their lifetime. In this way, citizens living in apartment buildings or in lack of suitable rooftops can invest in PV plants and benefits from them. In the Netherlands, the Government signed the 2030 climate agreement, which required solar and wind energy developers to devote 50% of the project capital to local communities and implement an extensive public engagement process. Besides the need for new policy instruments, the development of P2P energy communities cannot take place whether specific regulatory issues are not addressed. The recognition of “active consumers” and “renewable self-consumers” as new agents in future EU electricity markets by the EU in the “Clean Energy Package for All Europeans” [38] represent a starting point towards the definition of adequate legal and regulatory frameworks. Analyses of issues related to licensing, grid tariffs and other regulatory and technical questions are urgent and challenging. As legal entities, which

2

Autarky refers to individuals’ aspirations to reach energy auto-sufficiency, reducing their dependence from other actors, such as utility companies, municipalities and neighbors [17].

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can generate, distribute, aggregate and store energy, P2P energy communities are cooperatives with a specific ownership structure and provide environmental, economic and social benefits for its members. By acting as specific market operators, they can boost individual or collective renewable self-consumption. Regulation of P2P energy communities should guarantee fairness, transparency, clarity and security to all its members. Citizens who participate voluntarily to P2P communities have both consumer and supplier rights. They have the right to sign contracts with different energy service providers, the right to change supplier and the right to exit, but they are required to buy at least one share in order to be part of the community (e.g., by paying costs over a long period through regular energy bills, thanks to “social funds” created by community members). Nonetheless, the contractual form, which regulates energy exchange is still unclear. When this exchange takes place in a third-party platform, agents can face issues related to data protection, transparency, transaction security and responsibility, as highlighted by the EU report on P2P markets [39]. Although, blockchain can represent a promising solution to avoid any intermediation or third-party platform by promoting “smart contracts”, which can be self-executed, the regulatory environment is still uncertain and undefined in this context. These new forms of energy consumption and exchange represent new opportunities for consumers, but at the same time generate new risks that must be considered and hedged, in order to increase consumers’ participation and guarantee citizens acceptance.

5 Conclusions In this work, we provided some insights to stakeholders, policy makers and industry experts on the adoption of RES and the creation of P2P energy communities. Based on a preliminary analysis of literature focusing on consumer-centric electricity markets, we investigated some potential market structures for future renewable communities, and we identified three different alternatives with respect to the degree of decentralization and the typology of interaction: a) full P2P market structures; b) community-based markets; c) and hybrid P2P market structures. On the one hand, from a technological and economic perspective, P2P markets result to be promising solutions to develop decarbonized, decentralized and digitized power systems, thanks to the trading opportunities offered to prosumers and the services they can provide to the main grid (e.g., ancillary services such as real-time balancing or frequency control). On the other hand, from a regulatory perspective, the diffusion of distributed energy sources and P2P communities might affect different stakeholders (e.g., Governments, private actors, transportation and distribution system operators, utilities companies), by changing their role and their interactions. As an example, utilities might involve consumers in changing energy production/consumption patterns by active participation in the market. In this respect, Governments play an essential role in defining market structures, establishing their conditions and regulating interactions. In the near future, when transactions intensify and get more complex, regulated collaborations among agents will become of paramount importance.

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Our findings reveal that regulators need to involve consumers in the debate on energy policy design in order to increase their awareness on the role they play in the energy value chain, as well as they need to ensure greater control on energy system operation, especially in relation to the adoption of innovative Information Communication Technologies. There is an urgent demand for new business models based on shared ownerships and pricing schemes, which accounts for both the type and location of energy production plants. In this context, local Authorities will be key drivers in supporting new business and governance models (based on collaborative approaches), by participating as shareholders in energy communities, supporting the growth of community-owned and controlled energy production plants, and becoming direct partner of energy cooperatives. Across Europe, some successful examples have already been implemented, such as the adoption of long-term targets for community ownership of RES plants, innovative joint energy management with local communities and citizens and foundation of local companies. Nonetheless, further important reforms on energy policy, laws and regulations are required for these communities to take place. Actors’ preferences, contract arrangements for P2P energy trading, which guarantee security and protection, new policy and regulatory frameworks which set new rights on collective self-consumption and ensure a balance between economic performances and social satisfactions, represent major fields for future research in this area.

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Addressing Social Inclusion Within Urban Resilience: A System Dynamics Approach Giulia Datola(&)

, Marta Bottero

, and Elena De Angelis

Interuniversity Department of Urban and Regional Studies and Planning, Politecnico di Torino, 10125 Turin, Italy {giulia.datola,marta.bottero, elena.deangelis}@polito.it

Abstract. Cities are afflicted by different stresses and shocks that make urban systems exposed to a high level of uncertainty. Global community is interested in enhancing urban resilience to make cities able to respond and adapt to these circumstances. Urban resilience is a complex, evolutionary and multidimensional approach to design and manage cities. Furthermore, urban systems have to own some specific characteristics to reach or maintain their resilience, among which the inclusivity. One of the Sustainable Development Goals (SDGs) is focused on making cities safer, resilient and inclusive. Inclusivity embraces all urban resilience and city dimensions and its analysis and assessment are very complicated. This paper developed a System Dynamics Model to analyse how the level of inclusivity can change over time concerning to the stresses that afflict the socio-economic conditions of the population. The objective of this investigation is to highlight the connection between inclusivity and the vulnerable population, considering its importance in urban resilience enhancing. This approach has been applied to investigate the inclusivity of the city of Turin (Italy). The final challenge of this application is developing an evaluation approach able to predict the possible conditions of the urban systems in the future. The aim of this research is providing an evaluation tool with these characteristics to support the definition of strategies to enhance urban resilience within the assessment of the resilience capacities. Keywords: System Dynamics Model resilience


Indicators
Social inclusion
Urban

1 Introduction Cities face a wide range of stresses and shocks [1, 2]. Urban resilience intended in its dynamic and transformative approach [3] is what can help urban systems to adapt and to transform in face of these challenges [4] and also to prepare both for the expected and the unexpected [5]. For these reasons, promoting urban resilience to the environmental, socio-economic and political domain has increasingly attracted the attention of researchers and local authorities [6]. Building urban resilience requires to look at cities holistically [7]. It is necessary to understand the mutual relationships that are at the basis of the functioning of urban systems and to identify risks they may face. However, only understanding city as a complex and adaptive system [8] is not © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 510–519, 2021. https://doi.org/10.1007/978-3-030-48279-4_48

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sufficient. In fact, cities have to own some characteristics to enhance and maintain their resilience. These capacities are (1) reflective, (2) resourceful, (3) inclusive, (4) integrated, (5) robust, (6) redundant, (7) flexible [5, 9]. Following the interest of the Global community in building safer, inclusive and sustainable cities, this paper developed a System Dynamics Model to investigate the effect of the socio-economic stresses on the inclusivity [10]. Specifically, there are several socio-economic stresses that affect social inclusivity, such as household incomes, level of family education, housing affordability, accessibility to mobility, communication, information and healthcare [11]. However, this application focuses only on some of these stresses (Table 1) with the objective to highlight the mutual interdependence between the dynamics of population vulnerability and the inclusivity over time by calculating a inclusivity index (Fig. 4) [12, 13]. The choice to analyse this specific dependence concerns the fact that the indicator of “vulnerable people” describes the state of the population not only in terms of poverty but it includes also information about its composition, its exposure to risk and its capacity to cope, resist and recover from stresses or shocks [9].

2 System Dynamics Model System Dynamics Models (SDMs) are grounded on the System Dynamics approach (SD) that has been introduced by Forrester [14, 15] to solve the issues related to the insufficient understanding of the strategic processes related to complex systems. SDMs are both theoretical and computer-aided approach used to examine complex and dynamic systems that are characterized by mutual interdependencies and feedbacks between variables [16]. SDMs describe complex systems both qualitative through the causal loop diagram (Fig. 1) and quantitative with the construction of the stock and flow diagram (Fig. 2). Due to these peculiarities, System Dynamics Model allows to improve the understanding of the functioning of complex systems through the identification of the interdependences and feedbacks (Fig. 1) and also to reveal their temporal behaviour, through the stock and flow diagram (Fig. 2). In fact, stocks and flows diagram is based on differential equations and it permits to investigate and visualize the effects of different actions within the simulation model over time [17].

3 Application 3.1

Case Study

This application aims at analysing both the current and the future state of the socioeconomic condition of the city of Turin (Northern Italy). Specifically, a SDM has been developed to examine and visualize which may be the impacts of the socio-economic conditions on the inclusivity over time. The main objective of this investigation is predicting the probable condition of the inclusivity of the city of Turin in the future, to support the definition of development strategies based on the real weaknesses, in order to enhance urban resilience within the inclusivity capacity.

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Indicators

As mentioned in the previous section, a SDM has been developed. To construct this model and to identify the variables to be included, some urban resilience indicators have been collected through an in-depth literature review [18–20]. Considering that the objective of this application is to investigate the inclusivity of the city of Turin, indicators that are referred to this capacity have been selected to analyse the socio-economic conditions of the city [18–20]. The considered indicators are listed in Table 1. Table 1. Indicator for SDM construction (Authors processing) Indicator Population Immigration rate Outmigration rate Death Birth Population composition Eldery Vulnerable people Dependency

Unemployment rate Jobs Employment rate

3.3

Description Total of resident population in the city Immigration rate per year that involve the city Emigration rate per year that involve the city Number of death per year Number of birth per year Index that shows the distribution of the population in terms of age and sex Rate between population > 65 years old and population < 14 year old Proportion or number of vulnerable population (gender, years, poverty, …) Rate between non active population ( 65 years old) and active people (15–65 years old) Percentage of people unemployed per year Average number of jobs in the last year Percentage of people employed per year

Source – Adapted from Mercycrop, 2016 Adapted from Mercycrop, 2016 – – Sharifi, 2016; OECD, 2018 – Adapted from Cutter, 2010 –

Feldmeyer et al., 2019 Adapted from Sharifi, 2018 Feldmeyer et al., 2019

Causal Loop and Stock and Flow Diagram

Figure 1 shows the causal loop diagram that has been developed during a focus group by different sociology and economic experts. As it is possible to see (Fig. 1), the mutual relationships and interdependences between the variables have been identified during a first experts focus group. The individuation of these relationships is based both on experts knowledge and literature review [21, 22]. As an example, the variable “vulnerable people” afflict with a negative influence the inclusivity or rather the “employment rate” and “jobs” have a positive feedback on the inclusivity.

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Fig. 1. Causal Loop diagram for inclusivity analysis (Authors processing)

As defined in literature [17, 22] the causal loop diagram has been translated into the stock and flow diagram (Fig. 2). In this operation, some indicators have been converted into stock and other have been explained into flow. The variables that have identified as stocks are: (1) Population, (2) Population composition, (3) Jobs and (4) Vulnerable people. Furthermore, the stock and flow model related to population indicator (Fig. 2) is verified in several publications and it belongs to the study of Urban Dynamics [23]. This diagram (Fig. 2) points out the socio-economic stresses on the inclusivity and translate them into the differential equation to get the SDM simulation.

Fig. 2. Stock and flow diagram for inclusivity (Authors processing)

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As an example, it can be considered the following equation: Vulnerable people ðtÞ ¼ Vulnerable people ðtdtÞ þ ðEmployment rate þ dependency þ elderÞ  dt

ð1Þ

Following this equation, the evolution of vulnerable people over time derives from the number of the vulnerable people at the current state (t0), combined with the evolution of the stresses of (1) employment rate, (2) dependency and (3) elders. Furthermore, it is important to recall that the evolution of these stresses over time is strictly related to the evolution of the population, that is influenced by (1) birth, (2) death, (3) immigration and (4) outmigration. In this sense, SDM simulation is able to consider all these mutual interdependences in the simulation of the evolution of the vulnerable people. 3.4

Simulation

Starting from the stock and flow diagram (Fig. 2), the simulation of the evolution of the socio-economic conditions of the city of Turin have been obtained using the SDM STELLA ® (ISEE Systems, Inc). In this way it was possible to consider the complexity and the dynamic interactions among the variables.

Fig. 3. Simulation results of considered variables (Authors processing)

Figure 3 illustrates the simulation of the evolution of (1) vulnerable people, (2) population and (3) immigration over time. Figure 4 shows the behaviour of the inclusivity index over time. The first finding is that starting from the current condition, the population of Turin will decrease over time. This result is also aligned with the socio-economic forecasts and also related to the negative trend of birth and immigration rates (ISTAT, 2018). Due to these circumstances and the mutual interdependences between variables (Fig. 1), also the composition of the population will decrease. On the other hand, the quantity of the vulnerable people may increase. This increasing is due to the trend of population ageing and the negative trend of immigration rate. In this sense, considering the causal relation identified and their nature (Fig. 1), the inclusivity tends to decrease over time (Fig. 4), especially in relation to the increasing of the vulnerable people (Fig. 3). In conclusion, starting from the current conditions

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and considering the mutual influences the vulnerable people may increase and as a response the inclusivity will decrease over time. 3.5

Inclusivity Index

The final objective of this analysis is to evaluate the inclusivity of the city of Turin both at the current and future state. As highlighted in the first section, inclusivity is influenced by all city dimensions and variables [22, 24]. For these reasons, in literature there are several methods both qualitative and quantitative to measure it [25–30]. In this specific application, an inclusivity index has been calculated (Fig. 4).

Fig. 4. Inclusivity Index behaviour over time (Authors processing)

To perform this assessment, MCDA has been applied to identify the weights of the criteria and to normalize and aggregate the data [31–34]. Specifically, the same panel of experts has been involved for investigate the different relevance of the specific socioeconomic indicators considered (Table 1). These evaluations have been conduced using the playing cards methods [35]. Figure 5 illustrates the weights assigned through the support of SFR to the criteria that influence the inclusivity capacity (Figs. 1 and 2)

Fig. 5. Weight of criteria obtained through SRF (Authors processing)

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Once recognized the different weights of the indicators, it was possible to calculate the inclusivity index, both related to the current and the future state through the application of this generic formula: I ¼ ðc1  w1 þ c2  w2 þ c3  w3 Þ

ð2Þ

where cn is the criteria considered and wn is the weight assigned through the MCDA. For the calculation of the index referred to the current state, the available data with these weights (Fig. 5) have been used. While for the future conditions, the results of the simulation (Fig. 3) have been combined with the weight to obtain the final index. Figure 6 compares the two indexes. The index referred to the future state is lower than the actual index, as a consequence of the worsening of the socio-economic condition over time (Fig. 3).

Fig. 6. Comparison between Inclusivity Index time t0 and time t15 (Authors processing)

4 Discussion and Conclusion This paper illustrates the application of the SDM to analyse the level of inclusivity in relation to the stresses that afflict the socio-economic conditions of the population of Turin, over time. This investigation has been performed in relation to the interest of the global community in enhancing urban resilience and making cities resilient, safer and inclusive [10]. As mentioned in the first part, cities have to own some specific characteristics to reach and maintain their resilience [5, 9]. Due to this fact, some publications recognise urban resilience indicators within the resilience capacity to which they are related to [18–20]. However, only few publications (Rockefeller, 2012) aim at assessing the state of the resilience capacity basing on the city performance of the indicators considered in the evaluation. Furthermore, most of these methods are qualitative and above all do not consider the mutual influences between dimensions and variables for the capacity evaluations [7]. For these reasons, the main challenge of this work is try to provide an evaluation approach able at the same time to assess the resilience capacity of the city basing on the performance of related indicators and to consider the mutual

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interdependences between the variables considered. Furthermore, this application allows also to put in evidence the mutual dependence between the inclusivity and the vulnerable people. In fact, also in the model (Eq. 1) the vulnerable people is dependent to the population evolution in terms of income, dependency rate and age and it can describe the population in these terms. This application demonstrates also the suitability of this model both to analyse cities as complex and adaptive systems [8] and to understand how different stresses such as unemployment rate and vulnerable people can influence and afflict resilience capacity over time [36]. In this sense, SDM can be used to support the definition of development strategies with the objective of enhancing urban resilience starting from the prediction of the future state of urban systems, including urban resilience performance capacity [36–38].

References 1. WEF: The Global Risk Report 2018, 13th edn. (2018). http://www3.wefo-rum.org/docs/ WEF_GRR18_Report.pdf 2. Godschalk, D.R.: Urban hazard mitigation: creating resilient cities. Natural Hazard Rev. 4 (43), 136–143 (2003) 3. Yamagata, Y., Maruyama, H.: Urban Resilience a Transformative Approach. Springer, Switzerland (2016) 4. Meerow, S., Newell, J.P., Stults, M.: Defining urban resilience: a review. Landscape Urban Plann. 147, 38–49 (2016). https://doi.org/10.1016/j.landurbplan.2015.11.011 5. Rockefeller Foundation., Measuring city resilience (2016) 6. UNISR.: Sendai Framework for Disaster Risk Reduction 2015 – 2030 (2015) 7. Ilmola, L.: Approaches to measurement of urban resilience. In: Yamagata, Y., Maruyama, H. (eds.) Urban Resilience a Transformative Approach. Springer, Switzerland (2016) 8. Batty, M.: Cities as complex systems: scaling, interaction, networks, dynamics and urban morphologies. In the Encyclopaedia of Complexity & System Science. Springer, Berlin (2012) 9. Figueiredo, L., Honiden, T., Schumann, A.: Indicators for Resilient Cities, OECD Regional Development Working Papers, No. 2018/02. OECD Publishing, Paris (2018). https://doi.org/ 10.1787/6f1f6065-en 10. UNISDR.: Transforming our world: The 2030 Agenda for sustainable development (2015). https://sustainabledevelopment.un.org/content/documents/21252030%20Agenda%20for% 20Sustainable%20Development%20web.pdf 11. Joakim, E., P., Mortsch, L., Oulahen, G., Harfdord, D., Klen, Y., Damude, K., Tang, K.: Using system dynamics to model social vulnerability and resilience to coastal hazards. Int. J. Emerg. Manag. 12(4), 366–391 (2016) 12. Ranci, C., Brandsen, T., Sabatinelli, S.: Social vulnerability in European Cities. The role of local welfare in times of crisis. Palgrave Macmillan, India (2014) 13. Arthurson, K., Baum, S.: Making space for social inclusion in conceptualising climate change vulnerability. Local Env. 20(1), 1–17 (2015). The international journal of justice and sustainability 20 (2015) 14. Forrester, J.W.: Industrial Dynamics. The MIT Press, Cambridge (1961) 15. Forrester, J.W.: Principles of Systems. Productivity, Portland (1968)

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16. Vennix, J.A.M.: Group model-building: tackling messy problems. Syst. Dyn. Rev. 15(4), 379–401 (1996). https://doi.org/10.1016/j.ijproman.2013.01.009 17. Guan, D., Gao, W., Su, W., Li, H., Hokao, K.: Modeling and dynamic assessment of urban economy-resource-environment system with a coupled system dynamic – geographic information system model. Ecol. Indic. 11, 1333–1344 (2011). https://doi.org/10.1016/j. ecolind.2011.02.007 18. Sharifi, Y., Yamagata, Y.: Resilience-Oriented Urban Planning, Lecture Notes in Energy, vol. 65 (2018) 19. Cutter, S.L.., Barnes, L., Berry, M., Burton, C., Evans, E., Tate, E., Webb, J.: A place-based model for understanding community resilience to natural disasters. Global Env. Change 18 (4), 598–606 (2008) 20. Rockefeller Foundation: Urban measurement (2014) 21. Alfeld L.E., Graham, A.G.: Introduction to Urban Dynamics. Wright-Allen Press, Inc., California (1976) 22. Tan, Y., Jiao, L., Shuai, C., Shen, L.: A system dynamics model for simulating urban sustainability performance: a China case study. J. Clean. Prod. 199, 1107–1115 (2018). https://doi.org/10.1016/j.jclepro.2018.07.154 23. Forrester, J.W.: Urban Dynamics. Cambridge Mass, Cambridge (1969) 24. Peyroux, E.: Discourse of urban resilience and “Inclusive Development” in the johannesburg growth and development strategy 2020. Eur. J. Dev. Res. 27, 570–573 (2015). https://doi. org/10.1057/ejdr.2015.52 25. Coombs, T., Nicholas, A., Pirkis, J.: A review of social inclusion measures. Aust. New Zeland J. Psychiatr. (2013). https://doi.org/10.1177/0004867413491161 26. Arup: Cities Resilience Framework (2015). https://assets.rockefellerfoundation.org/app/ uploads/20160105134829/100RC-City-Resilience-Framework.pdf 27. Atkinson, A.B., Marlier, E.: Analysing and Measuring Social Inclusion in a Global Context. United Nations Publications, New York (2010) 28. Giambona, F., Vassallo, E.: A composite indicator of social inclusion for European countries. Soc. Indic. Res. 116, 269–293 (2014) 29. Marlier, E., Cantillon, B., Nolan, B., Van den Bosch, K., Van Rie, T.: Developing and learning from EU measures of social inclusion. In: Douglas, J.B., Kenneth, A. (eds.) Couch Counting the Poor: New Thinking About European Poverty Measures and Lessons for the United States. Oxford University Press, New York (2012) 30. D’Errico, M., Grazioli, F., Pietrelli, R.: Cross-country evidence of the relationship between resilience and the subjective perception of well-being and social inclusion: evidence from the regions of Matam (Senegal) and the triangle of hope (Mauritania). J. Int. Dev. 30, 1339– 1368 (2018) 31. Bottero, M., Dell’Anna, F., Nappo, M.: Evaluating tangible and intangible aspects of cultural heritage: an application of the PROMETHEE method for the reuse project of the ceva-ormel railway. In: Mondini, D., Fattinanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. SIEV 2016. Green Energy and Technology. Springer, Cham (2018) 32. Bottero, M., Caprioli, C., Berta, M.: Urban problems and patterns of change: the analysis of a downgraded industrial area in Turin. In: Mondini, G., Oppio, A., Stanghellini, S., Bottero, M., Abastante, F. (eds.) Values and Functions for Future Cities. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-23786-8_22 33. Bottero, M., D’Alpaos, C., Oppio, A.: Decision-making for urban planning and regional development. advances in operations research (2019) https://doi.org/10.1155/2019/5178051 34. Ribero, P.J.G., Goncalves, L.A.P.J.: Urban resilience: a conceptual framwework. Sustainable Cities and Society, vol. 50 (2019)

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35. Simos, J.: L’evaluation environnementale: Un processus cognitif negocie. These de doctorat. DGF-EPFL, Lausanne (1990) 36. Datola, G., Bottero, M., De Angelis, E.: How urban resilience can change cities: a system dynamics model approach. In: Misra, S., et al. (eds.) Computational Science and Its Applications – ICCSA 2019. ICCSA 2019. LNCS, vol 11622. Springer, Cham (2019) 37. Bottero, M., D’Alpaos, C., Oppio, A.: Ranking of adaptive reuse strategies for abandoned industrial heritage in vulnerable contexts: a multiple criteria decision aiding approach. Sustainability 11(3), 785 (2019) https://doi.org/10.3390/su11030785 38. Assumma, V., Bottero, M., Monaco, R., Soares, A.J.: An integrated evaluation methodology to measure ecological and economic landscape states for territorial transformation scenarios: an application in Piedmont (Italy). Ecol. Ind. 105, 156–165 (2019)

The European Local ENergy Assistance (ELENA) Fund: The Relevance of Expected and Unexpected Partnerships Marina Bertolini(&) Dipartimento di Scienze Economiche e Aziendali “M. Fanno” and CRIEP – Interuniversity Research Center on Public Economics, Università degli Studi di Padova, via del Santo 33, Padua, Italy [email protected]

Abstract. Energy efficiency investments are one of the relevant aspects of Energy Transition. The role of municipalities in the investment process is really relevant, since they directly own a lot of buildings and they can have a huge impact on the territory. The lack of competences in a technical aspects and lack of funding prevent the possibility to put in place huge investments. The ELENA Fund is one of the tool put in place by the EU to help in activating green investments in urban areas. During the funding process a lot of partnerships at different levels are put in place: without a proper regulation, the effect of these partnerships on projects’ results is unpredictable. Keywords: ELENA fund Partnerships


Energy efficiency
Public investments


1 Introduction Investment in energy efficiency programs are particularly relevant for municipalities and local authorities: these investments are important not only to tackle the Energy Transition, but also to improve the quality level of citizens in terms of comfort and available resources. In a context where financial constraints are an obstacle to administrators’ initiatives, European-funding opportunities could be the way to structure and implement wide investment’s programs on the territory. The European Local ENergy Assistance (ELENA) Fund helps local authorities supporting the large majority of the technical expenditures connected to the development of energy efficiency investments. Recent literature partly explore the use of EU funds for the energy efficiency sector. Melica et al. (2018) [1] studied the experience of the Covenant of Majors, which is one of the initiative that push municipalities towards investments in energy efficiency. Di Leo and Salvia (2017) [2] get data from a specific project (RE-SEEties) to compare the results that different cities gained in the development of the program. Lombardi et al. (2016) [3] analyzed the ELENA environment, particularly describing the role of the Energy Service Companies (ESCos) and considering the specific case of Foggia. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 520–525, 2021. https://doi.org/10.1007/978-3-030-48279-4_49

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These works, however, are not looking at the mechanism of the funding system itself. The purpose of this work is to look at the functioning of the ELENA funding process: the study is carried out through a very simple documentary analysis [4] of the final projects’ factsheets and of BEI website. Factsheets report project’s results registered by Beneficiaries at the end of the projects. Analyzing the reports it is possible to identify some common features of the projects that suggest the role played by the different actors involved in the process and the structure of the partnerships. The work provides a preliminary analysis of concluded ELENA projects. From the documental analysis, it is possible to recognize similar patterns in the development of the projects, especially when multiple beneficiaries are present. Multiple partnerships are needed to elaborate project proposals (stakeholders, consultants interested also in the future developments of the project) and these preliminary results suggest that they shall be deeply analyzed in future research: this approach could provide useful policy indications in funding design for national and international institutions. The ELENA Fund The European Local Energy Assistance (ELENA) fund was establish in 2009 as a joint initiative of the European Investment Bank and the European Commission [5]. The purpose of the initiative is to finance technical expenditures connected to the preparation of investments related to energy efficiency, green mobility and renewable energy production. Among the expenditures financed by ELENA, we can find energy audits, project management, consultants for tender preparation, etc. ELENA funds are assigned on the basis of the “first come, first served” approach, i.e. projects responding to ELENA parameters are financed following the application order. Beneficiaries of the ELENA fund are mainly public entity (even if the fund is open also to private entities) with the intention to invest in an energy efficiency program. Applicants present their proposal to the European Investment Bank (EIB), the institution in charge of managing the fund. Following the application form, the applicant describes the investment she/he will put in place: project typology (public lighting renovation, green transports, buildings renovation, green energy production, etc.), expected greenhouse gases reduction, expected investment amount, total amount of technical expenditure and contribution request. The fund covers up to 90% of the technical expenditures required to implement the project: the leverage (investment over technical expenditures) must be at least 20%. The EIB assigns the fund after an arranged revision process, which helps to align the content of the proposal to the fund scope. After the technical phase expires, EIB publishes a summary of the project containing the indication of the use of ELENA funding, essential elements of the investment program and lesson learnt [6].

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2 Project Funded Under ELENA 2.1

Data

As mentioned in the previous paragraph, after the conclusion of the project phase granted by ELENA, beneficiaries are asked to provide a synthetic factsheet describing the activities they carried out thanks to the ELENA support. Factsheet’s scheme is given, so all the beneficiaries fill the same template indicating: project’s location, beneficiary, Covenant of Mayor signatory, sector, total technical expenditures (in euro), ELENA contribution (in euro), project development services financed by ELENA, description of ELENA operation, timeframe, basis for investment identification, investment program description, investment in implementation phase, results expected to be achieved, leverage factor achieved, lessons learnt, further information sources, contact person at beneficiary. Closed project factsheets uploaded on the dedicated website are 34 (last access: January 2020). Official data from the institutional website tell that the total amount of technical expenditures financed by ELENA in these project is about 130 million euro, that allowed for the development of 5 billion euro. The leverage factor varies a lot among projects: differences in the leverage factor are connected both to project characteristics and to the change in ELENA conditions during the years. Considering the concluded project, there are two categories of beneficiaries for ELENA funds: on one side, big cities aiming at developing an investment program for themselves (e.g. the REDIBA project in Barcelona); on the other hand, a number of medium/small municipalities proposing a joint investment program (e.g. “Chieti Towards 2020” in the province of Chieti, and many other Italian experiences). The proportion of financed project is equally distributed between the two typologies. ELENA covers technical expenditures connected to the realization of energy efficiency programs. The most cited “technical expenditures” regard the creation of a coordination group (often named “Project Implementation Unit” – PIU) made up by both internal and external members with competences on legal, technical and financial subjects. Project factsheets strongly underline the necessity to include legal support and supports to manage tender processes; financial advisors are often included in the package, especially when contracts are implemented with innovative contracts that include remuneration rules connected to energy performances. Technical assistance and studies are widely present, even if they are quite variable: ELENA is not often used to carry out precise energy audits, probably because their costs are high if compared with the investment amount. The investment program developed thanks to ELENA involves mainly renewable energy production, energy efficiency in buildings and public lighting, green transports. Only few projects are related to district heating and just one project explicitly mentions the creation of a smart grid [DAFNI – the very first ELENA project developed in a group of Greek islands]. The fund asked for 3 years project length, but from projects’ factsheets emerges that often projects are delayed. In some cases, parts of the initial project were abandoned due to time constraints connected to the 3 years realization requested by ELENA.

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Problems in keeping the technical phase within 3 years come mainly from two sources: the first one is related to tenders’ procedure rules, the second one is connected to the strength of partnerships’ commitment: from the project proposal and fund award (and tenders) there is a time span that could prevent the maintenance of the initial investment program. Reasons for the delay, thus, are connected to stakeholder coordination and participation and to baselines definitions: both of these aspects are relevant to the success of tendering procedures. Factsheets suggest that big investments based in one single city (i.e. one beneficiary) have more probability to be can be carried out with success, since one of the source of risks (coordination) is eliminated. It is the case of district heating investments, where the project is already approved and ready to be implemented. Big projects associated to a single beneficiary are those with less criticalities. Many factsheets mentioned the coordination problem among all participants; this aspect is often linked – as expected - to uncertainty on consumption baseline level. Problems in coordination and commitment of participants sometimes derive from political cycle that affect long term projects. As the minimum investment size that justify the presence of technical expenditures is considerably high for a single municipality (especially in some areas, included the Italian regions, where local authorities are small), however, coordination is necessary. The need to reach a considerable investment size force coordinators to realize considerable efforts to include as much participants as possible: this aspect is positive because we act in a coordinated way, but impact on time of realization and expose to exit risk. Investment size impact also on tendering procedures that become also the occasion for small local entities to improve their technical knowledge. Given the high impact of coordination issues in this typology of project, a deep study of partnerships’ schemes and actors is needed.

3 Discussion and Conclusions The ELENA fund is one interesting way through which the European Commission acts to foster investments related to the Energy Transition. The co-financing asked to the beneficiary is relatively low, and since the ELENA financing is given with no repayments duties (differently from e.g. revolving funds) it is particularly well perceived by potential beneficiaries. Differently from other funds, ELENA intervenes in the early stage of the investment program, funding the technical expenditures that enable the investment itself. Looking at the evolution of the projects as described by the factsheets, however, it is possible to identify a pre-technical phase connected to the proposal itself that seems to be particularly relevant for both the success of the proposal and the investment realization. To write a successful proposal, indeed, there is a growing need for a reliable energy consumption baseline that is hardly quantifiable by the direct beneficiary without external support. BEI’s attention to the baseline is not a mere parameter of evaluation, but it is strictly linked to the successful development of the investment program: on energy

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consumption are built all the contracts with the ESCOs that will implement the works, and from these contracts is calculated the investment’s amount of the ELENA project. The simple observation of the ELENA process, from the proposal elaboration to the result presented in the factsheets, points out that – for a successful project – more partnerships are needed, and in different phases of the project. We can distinguish these partnerships into two categories: – “Expected” partnerships. Partnerships that are expected (and explicitly asked by the ELENA process) regard: • Ex ante pacts and commitments between the direct beneficiary and other public authorities involved of the project, often demonstrated by the adhesion to the “Covenant of Mayors” and by the elaboration of sustainability action plans; • Ex post partnerships with the actors involved in the investment program development, i.e. ESCOs and effective beneficiaries of the program. – “Un-expected” partnerships: • Ex ante, with technical subjects that are able to provide support to the beneficiary during the submission process (e.g. to calculate consumption baselines, write the proposal, coordinate and collect all the information); • Ex post partnerships with new actors that become new beneficiaries of the investment program, due to flexible restructuring of the investment program. One of the effect of the great amount of partnerships needed is clearly visible from the factsheets: project where there is one big Beneficiary (VS many coordinated beneficiaries) or where the investment project is related to one single big investment (VS many small energy renovations) bare typically less re-adaptation of the investment program after the award. While some partnerships shall be sufficiently strong to guarantee the success of the investment program and its effectiveness in terms of environmental impact (think about practices connected to some specific renovations, such as heating management and internal lighting), other partnerships could arise some problems along the process. Considering competences and tools used during the proposal writing and the baseline calculation, it is reasonable to assume that the subjects working with the potential beneficiary in the very initial phase will have a strong interest in participate to the tenders for external consultant funded by ELENA. On one side, this is an advantage for the potential beneficiary because there is coherence between the interests of the two parts; on the other side, however, this interest could lead to problems both in terms of competitiveness and market access (the “incumbent” consultant has more information than competitors in the ELENA tendering phase) and in terms of project quality. After the approval of the ELENA proposal, the early consultant has no longer responsibilities for baselines and calculations presented in the application: during the application process, the target is to gain the money, and discussions in terms of effective likelihood of what the potential beneficiary is promising have a very weak appeal. In this sense, we could find proposals where critical parameters such as investment amount, leverage effect and potential energy savings are strongly overestimate; for the same principle, it could be overestimated the strength of direct beneficiaries’ commitment in the project.

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Given the increasing attention to the baseline definition and considering the relevance of the partnership signed in this phase (and possible problems connected to it), the early phase of the investment process shall be considered with more attention in the funding scheme. Since it is not possible to fully finance all the process going backword (falling in a sort of “Achilles and the tortoise” paradox), it shall be studied a way to bind the expert work in the two phases, clarifying and managing competing interest, and better sharing the risk (the binding theory can be broadly found in the PPP literature. An example can be found in [7]). Further research on the topic shall move from the empirical observation on the past projects, deepening the analysis of the actors involved in the project structure and process. Then, lesson learnt from the ELENA fund could apply to other EU funding schemes where processes and partnerships are particularly relevant: results could help in better use EU fund, reducing project’s risks, breaking results’ variance down and opening the market to new relevant actors.

References 1. Melica, G., Bertoldi, P., Kona, A., Iancu, A., Rivas, S., Zancanella, P.: Multilevel governance of sustainable energy policies: The role of regions and provinces to support the participation of small local authorities in the Covenant of Mayors. Sustain. Cities Soc. 39, 729–739 (2018) 2. Di Leo, S., Salvia, M.: Local strategies and action plans towards resource efficiency in South East Europe. Renew. Sustain. Energy Rev. 68, 286–305 (2017) 3. Lombardi, M., Pazienza, P., Rana, R.: The EU environmental-energy policy for urban areas: the Covenant of Mayors, the ELENA program and the role of ESCos. Energy Policy 93, 33– 40 (2016) 4. Bowen, G.: Document analysis as a qualitative research method. Qual. Res. J. 9(2), 27–40 (2009). https://doi.org/10.3316/QRJ0902027 5. https://www.eib.org/en/products/advising/elena/index.htm 6. https://www.eib.org/en/products/advising/elena/completed-projects/index.htm 7. Liu, T., Ma, C.A., Mak, H.Y.: Incentives for motivated experts in a partnership. J. Econ. Behav. Organ. 152, 296–313 (2018)

Benefits of Blending Mandate in Sustainable Economies Cinzia Bonaldo(&) Department of Economics and Management and Department of Civil Environmental and Architectural Engineering, University of Padova, Padua, Italy [email protected] Abstract. In Europe biofuels are subject to two major regulations that fix targets for a blending share within 2020 and 2030. Blending mandates are a crucial tool for decreasing greenhouse gas emissions and for stimulating investments in ethanol plants. The investment value in ethanol plant can be viewed as a real option, more precisely as a straddle option. Real options are investment analysis tools that capture the value of managerial flexibility of strategic decisions in dynamic environments. A real option model for evaluating an investment in ethanol plant is discussed here. According to the model, higher ethanol blending shares correspond to higher investment values of the production plant. This confirms the assumption that policy measures like blending mandates help cities to be more sustainable from a pollution reduction perspective, and they stimulate investments in biofuels due to higher profits. Keywords: Ethanol


Biofuel
Blending mandates
Sustainability

1 Introduction Particularly concentrated in the largest cities, air pollution is currently one of the major problems in the entire world. Air pollution is dangerous for the environment and human health. Although emissions of air pollutants have decreased substantially in recent decades, pollutant concentrations are still too high and air quality problems persist. A significant fraction of European population lives in areas, particularly cities, where air quality is below average standards [1]. In urban areas, pollution is mainly caused by greenhouse gas emissions (GHG) like carbon dioxide, nitrous oxide and methane, which may cause human diseases, including cancer and breathing disorders [2]. Although coal mining and burning has been markedly decreased in the last decades, many European countries still have too high levels of GHG [1, 3, 4]. Reducing air pollution therefore is an important issue and it is a challenge that all developed countries are trying to solve. According to the European Environment Agency (EEA), about 90% of city inhabitants are exposed to concentrations of pollutants exceeding air quality levels considered harmful to health [2]. Again according to EEA, almost 72% of GHG are due to road transport1 and 44% of these emissions are caused by cars, 9% by light

1

Including international aviation and international shipping.

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commercial vehicles and 19% by heavy good vehicles [5]. In the United States, according to EEA and considering all transport sectors, 90% of GHG emitted is due to gasoline and diesel fuels [6]. It is expected that 70% of the global population will be living in urban areas by 2050 [1]. Therefore, it is important to take the issue of urban sustainability seriously from an environmental and economic point of view, by exploiting effective solutions to reduce pollution in a significant manner, so that not only urban citizens but also the whole economy can benefit. Regarding transport climate policy, researchers identify three different levers for reducing GHG emissions within the road transport sector: improve vehicle technologies, reduce GHGs associated with fuels, and reduce vehicle travel [7, 8]. With respect to GHG emissions reduction associated with fuels, “bio-based” fuels, more commonly known as biofuels, are the most favorable options available as potential “green energy” alternatives [9]. In this paper, the use of ethanol as a sustainable biofuel is analyzed. Indeed, several studies confirm that ethanol is a much less polluting fuel than fossil fuels, but at the same time efficient in terms of engine performance. The US and UE legislations are discussed with regard to their support for the development of the biofuel market. Finally, it is investigated the role of the regulations, and in particular of blending mandates, in encouraging investments in ethanol production plants. It is then presented and discussed a model proposed in literature to estimate the value of investing in an ethanol plant for a representative ethanol producer in a dynamic setting, by implementing a real option approach.2 Via the modelling, it emerges a clear positive relationship between blending mandate shares and the investment value. This result is noteworthy, as it shows how such policies are on the one hand beneficial for urban citizens, and on the other hand, they are a useful stimulus for investments and value creation in the economy. The remainder of the paper is organized as follows. Section 2 discusses the US and UE legislations to reduce GHG emissions. Section 3.1 presents a dynamic valuation model for investing in ethanol plants, this model shows how blending mandates can increase the value of investments in ethanol production. Key economic variables of ethanol European market are then discussed in Sect. 3.2, and a possible extension of the model with respect of RED II is proposed. Finally, Sect. 4 summarizes the main concepts of the paper and proposes ideas for future research.

2 Ethanol and Political Actions A potential solution to reduce pollution in the transport sector is to develop alternative fuels for internal combustion (IC) engines, which can reduce emission levels while maintaining the same engine performances. A very successful alternative to fossil fuels

2

In recent years, there has been an increased interest in the study and application of real options theory regarding investment decisions in the energy sector. Projects concerning investments in the construction of renewable plants have distinctive features, and therefore require the use of tools that provide their value in a more precise way. Traditional techniques, like Net Present Value, have many limitations, and for this reason, it is preferable to use more accurate tools, such as real options. Although the use of such tools is still limited, recently some studies implementing the real options theory appeared in the literature [10–12].

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in recent years is the use of alcoholic fuels in IC engines. There are two main reasons for this: first, alcohol is a renewable fuel and, second, alcohol can be easily mixed with conventional fuels to power IC engines. In particular, ethyl alcohol, or ethanol, is obtained from the fermentation of sugar contained in cereals and sugar cane (“first generation bioethanol”, also called conventional biofuel), but also from cellulose (“second generation bioethanol”, also called advanced biofuel). Bioethanol as a fuel can be used either mixed with gasoline in percentages up to 25%, or in a pure or “hydrated” form in special engines, such as in flex fuel vehicles (FFV)3 [13]. Blends of gasoline and bioethanol up to 10% (E10, where the number indicates the percentage), can be used by normal gasoline engines, whose performance could slightly improve, keeping the warranty of main manufacturers valid. It is worth noting that ethanol is not a new fuel, since more than a century ago alcohol, especially ethanol, was found to be an important fuel for use in IC engines. Indeed, in 1908 the T model, the first popular car by Ford Motor Company, ran on corn-based ethanol and Henry Ford predicted at the time that “ethyl alcohol is the fuel of the future” [14]. The use of ethanol has many advantages: the most important one is that it is cleaner than gasoline because it produces less GHG emissions during combustion. There are many studies in literature, which confirm this evidence, showing that emission reduction for bioethanol range from 20% to 50%. These studies demonstrate that the use of biofuels leads to a reduction in net emissions of carbon dioxide, sulphur oxide and carbon monoxide, while nitrogen oxide emissions increase [13–15]. State and international policies play a pivotal role in helping to reduce GHG emissions and drive towards cleaner forms of fuel. Support policies have played a key role in the development of the biofuel sector. In particular, energy and environmental policy, fiscal policy, trade policy and agricultural policy are crucial for determining the cost effectiveness of biofuel production. The policy instruments adopted so far can be classified into three main categories: 1. supply-side measures: reduction or abolition of duties, investment incentives, subsidies for raw material production; 2. measures affecting demand: blending mandate, purchase obligation by energy managers; 3. measures affecting technology and market development: public investment in research, contractual agreements. There is a wide range of support and regulatory policies that can act on specific segments of the supply chain and may have a national, regional or local dimension. Without this relevant level of external protection and public support, biofuel production would probably not have spread in developed countries. In particular, with regard to measures that influence demand, the main incentive instruments are blending mandates.

3

Biofuels with 85% of ethanol (E85) are commonly used in United States for FFVs, while a 100% share (E100) has been introduced in Brazil for neat gasoline vehicles and most recently for E100 FFVs. This underlines that ethanol can be an important alternative to gasoline as a fuel.

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Over the long term, this mandate will likely be a more significant policy measure than tax incentives in promoting the use of biofuels [16]. Standards for blending mandates of biofuels with fossil fuels can be defined in absolute values (as in United States) or as a percentage of total fuel consumption (as in Europe). In the United States, the Renewable Fuel Standard (RFS), established by the Energy Policy Act in 2005 and expanded in 2007 by the Energy Independence and Security Act, mandates that transportation fuels have to contain a minimum volume of biofuel. The mandated minimum volume increases annually and must be met using both conventional biofuel (e.g., cornstarch ethanol) and advanced biofuel (e.g., cellulosic ethanol). The RFS began with 4 billion gallons of renewable fuel in 2006 and aims at increasing to 36 billion gallons in 2022 [17, 18]. In Europe, the Directive 2009/28/EC on the promotion of the use of energy from renewable sources represents a central element of the European Union’s energy policy and a key factor in achieving its 2020 targets. Directive 2009/28/EC of the European Parliament and of the Council on the promotion of the use of energy from renewable sources (Renewable Energy Directive I, RED I) transposes the overall EU target of 20% renewable energy in total final energy consumption into individual targets for each Member State. At the same time, the RED I sets a single target of 10% for the share of energy from renewable sources in transport [19]4. In December 2018, entered into force the EU Directive 2018/2001 on the promotion of the use of energy from renewable sources (Renewable Energy Directive II, RED II). This Directive adjusted the previous framework to future needs, and set the achievement of at least 32% of renewable energy consumption on gross final energy consumption and a 14% share of biofuels in the transport sector by 2030. As established in RED II, 3.5% out of 14% biofuels is required to consists of “advanced biofuels” (i.e., biofuels produced from biomass specified in a special list: algae grown on land in ponds or within photobioreactors; biomass fraction corresponding to unsorted municipal waste; organic waste from household waste subject to separate collection; straw; animal manure; etc.) [20].

3 Ethanol Production Plants Blending mandates are beneficial for citizens in the context of more environmentally sustainable and clean urban cities, as well as for ethanol producers. Indeed, a recent study showed that ethanol producers benefit from both high and low gasoline prices in regions where blending mandates are present [21]. The value of ethanol plants should be estimated by using models that account for the dynamics of environmental values. Cash flows, or profits, of an ethanol producer are stochastic nature, as both ethanol and gasoline prices (and consequently also their relative value) are stochastic5. The conventional Net Present Value method assumes that a project starts immediately and proceeds until it finishes, as originally predicted, whereas the real options 4

5

The mandatory 10% target is the share of final energy consumed in transport, to be obtained from renewable sources in general and not only from biofuels. Gasoline prices and ethanol prices are stochastic and evolve over time according to a meanreverting process [23].

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approach captures future investments opportunities and takes into account managerial flexibility to revise decisions as new information arrives and uncertainty is partially resolved [10, 22]. 3.1

A Dynamic Model

A stochastic dynamic optimization model for evaluating investments in ethanol plants was proposed by Ghoddusi [21]. The main intuition of Ghoddusi’s study is that the value of the project can be seen as a straddle option consisting of the sum of two different options: the option to substitute gasoline at times of expensive crude oil and the option to expand supply of blend at times of cheap gasoline [21]6. This flexibility arises because in countries where blending mandates are set, ethanol and gasoline are either complementary or substitutes7. These two commodities are to some extent complements, since it is mandatory for fuel producers to mix a minimum share of ethanol in final fuel [21]. In past years, ethanol has always been more expensive than gasoline, although there were episodes when ethanol was cheaper than gasoline [25]. When ethanol is cheaper than gasoline, fuel producers intentionally add more ethanol than the minimum mandates (blend mandates are not binding). In this case, gasoline and ethanol becomes substitutes. In the near future, increasingly competitive ethanol prices are expected8 [21]. If a blending mandate is imposed, a minimum share a (0 < a < 1) of total fuel sold is necessarily biofuel. In this case, the two commodities become complements: demand for one depends on demand for the other, to an extent determined by the mandatory blending rate a [26]. Biofuel demand is given by:  Q¼

aðA  bPG Þ if PE  PG A  bPE if PE \PG

ð1Þ

where PG is the price of gasoline, PE is the price of ethanol, a is the minimum share of ethanol required by blending mandate and A and b are two constants that represent the intercept and the slope of the demand function respectively. The first function in (1) represents the demand for blending ethanol. The second function represents the demand for pure ethanol fuel. When PG  PE demand does not depend on ethanol prices but exclusively on gasoline price, since a is imposed by the Government. Indeed when PG [ PE consumers switch to a 100% ethanol-based economy, gasoline demand decreases significantly, whereas ethanol demand is coincident with transport fuel demand. In this case, ethanol producers will produce at the

6

7 8

A straddle option is a trading strategy that consists in a combination of position in both call and put with the same strike price. This strategy is optimal when the investor is expecting large changes in a stock price but does not know in which direction they will be [24]. In the absence of blending mandates, biofuels and fossil fuels are exclusively substitutes. Mainly due to an improved conversion efficiency of an ethanol unit and a decreasing trend in ethanol production costs.

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maximum production capacity. Therefore, production function consists of an interior region, when PG \PE , and a capacity-constrained region, when PG [ PE [21]. The producer’s profit function is given by a two-part function [21]9: 

pðQ ÞIR pðQ ÞCC

 if Q \Q  if Q  Q

ð2Þ

 is the maximum production capacity of where Q is the production equilibrium level, Q  IR the ethanol plant, pðQ Þ is the profit function in the interior region, and pðQ ÞCC is the profit function in the capacity-constrained region. It is worth noting that solely pðQ ÞIR depends on a, since it is the profit function associated with binding mandates. In (2) the transition point of the profit function between the interior region and the capacity-constrained region is given by PE ¼ PG . In this case, the optimal production  level is Q ¼ Q. The plant value depends on both the current value of gasoline price and ethanol production costs. The solution to the investment decision problem is not a straightforward integration because the profit function, p, freely switches between two different functional forms in the interior and capacity-constrained regions. In order to determine the ethanol plant value, stochastic dynamic programming is implemented, and the Hamilton Jacob Bellman (HJB) equation provides the investment value in the capacity constrained region, defined as V 1 ðPG ; PE Þ, and in the interior region, V 2 ðPG ; PE Þ, respectively10. The final value of an ethanol plant, can be summarized as follows [21, 28]: pðQ ÞIR þ option value r

ð3Þ

pðQ ÞCC þ lower bound discount value r

ð4Þ

V 1 ðPG ; PE Þ ¼ V 2 ðPG ; PE Þ ¼

where r is the risk-adjust discount rate. Equation (3) and (4) are composed of two parts: the first terms represent the present value of expected profits if the profit function remains permanently in the interior region or the capacity constrained region, respectively. The second terms are the option value of hitting the boundary and entering in the other region. In detail, in (3) the second term is the option value of entering into the capacity-constrained region and producing at a full range, which increases the investment value. In (4), the second term is the lower bound discount value. This term is negative and accounts for the 9

10

The explicit form and the derivation of the profit function is omitted in this paper. See [21] for details. The HJB equation is an arbitrage condition that divides the entire evaluation problem in two parts at each time point: the immediate state (represented by immediate cash flow) and the future possible state (capital gain). The stochastic dynamic programming is solved by using Ito’s lemma and partial differential equation. The detailed explanation of all theorem and mathematical steps are omitted, as they are beyond the aim of this study. See [27] for details.

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opportunity to return into the interior region, in which the plant does not produce at a full scale and hence profits decreases. As proved in literature, the above problem does not have a closed form solution [29]. The plant value must be, therefore, estimated by numerical solutions. In Fig. 1 it is shown how the value of a US ethanol plant varies in relation to both ethanol blend shares and gasoline price volatility according to the real option model proposed by [21]11,12. When ethanol blend shares increase, the plant value increases. In this case, the option value of producing in the constrained region (as a fraction of the total value of the plant) decreases. In addition, the higher the volatility of gasoline prices, the higher the investment value in both regions.

Ethanol blend = 0 % Ethanol blend = 4 % Ethanol blend = 7 % Ethanol blend = 10 %

Plant Value (m$)

300 250 200

Gasoline Price volatility = 2% Gasoline Price volatility = 8%

150 100 50 0.00

0.02

0.06 0.04 Ethanol blend (%)

0.08

0.1

Fig. 1. Effect of blend mandates on plant value. [Source: Ghoddusi, (2017)].

The model was implemented and tested solely with respect to the US context using parameters which mimic the US market, such as discount rates, growth rate and volatility of gasoline prices, growth rate and volatility of ethanol prices, fuel demand, etc. [21]. Results by [21] clearly shows that the higher the share of blending mandates, the higher the value of an ethanol production plant. According to Fig. 1, the plant value increases by more than 100% switching from a 0% ethanol blend (purple dot) to a 10% ethanol blend (red dot). These findings confirm that policy measures, which affect biofuels demand, such as blending mandates, have positive effects on eco-sustainability and pollution abatement in urban cities. Simultaneously they can also encourage investments in new production plants and/or in increasing capacity of existing production plants. Nonetheless, as the European market has several distinctive features, which are reported in the next section, it emerges the need to adjust this model to the European context in order to estimate plants’ value in Europe.

11

12

The volatility parameter is inside the mathematical real option model. More precisely it is inside both option value and lower bound discount value of V 1 ðPG ; PE Þ and V 2 ðPG ; PE Þ respectively [21]. Solutions are generated by performing Monte Carlo simulations for a given set of US parameters.

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3.2

533

Ethanol Plant Investments in Europe

Although the US and Brazil are dominant producers of first generation bioethanol, blending mandates can be a valid instrument to stimulate investments in Europe as well. Currently, European production of ethanol is mostly based on wheat grains and sugar beet [7]. According to data published by USDA Foreign Agricultural Service, the installed production capacity in Europe in 2019 was 8,720 billion liters, with France, Germany and Poland accounting for 40% of the total installed production capacity [30]. According to US Energy Information Administration, the total installed capacity in the US in 2019 was 63,852 billion liters, equivalent to16,868 billion gallons [31]. Currently, the total number of ethanol production plants in Europe is 60, and only two of them produce second-generation (2G) biofuels. Investment cost to build a representative production plant of 300,000 L in Europe, as estimated by Vogelbusch, one the leader company in this sector, are about 40,000,000 € [32]. In the US, the maximum capacity of a representative producer is about 600,000 L and the investment costs of a 600,000-liter production plant are about 130,000,000 USD [21]. As discussed above, nowadays RED II promotes 2G biofuels obtained from organic residues and wastes as an alternative to first-generation biofuels. Between 2G biofuels, straw-based bioethanol represents one of the most promising sources [9, 33]. The abundance of lignocellulosic cereal straws, yearly availability, low price, high carbohydrate content, quick regeneration, and most importantly their origin from crop residues, are key factors in promoting these straws as dependable feedstock for sustainable production of 2G biofuels in different regions of the world [33]. In addition, as lignocellulosic cereal straws can be used to produce biobutanol, biohydrogen and biogas (biomethane) [33], the model discussed in the previous section can be implemented to estimate the value of these production plants, which have distinctive features and different sources of costs. For 2G biofuels, the underlying variable is not the ethanol price driven by stochastic corn price fluctuations, it is indeed waste materials, which are not traded in specific markets. Therefore, the above valuation model can be simplified, as the only stochastic underlying variable is gasoline price, whereas ethanol production costs can be assumed as being fixed (depending on the opportunity cost of waste). Moreover, a real option approach can also be adopted to evaluate the value of flexibility provided by 2G ethanol production through sugar fermentation, such as co-production of feed, biogas production or both [9, 34].

4 Conclusions In this paper, the potential of ethanol as a biofuel for urban sustainability was discussed, and its benefits were assessed from both the consumer and producer perspectives. The analysis mainly focused on presenting a dynamic model to evaluate investments in ethanol production plants. So far, such a model has been tested only in the US market, where current legislation differs from the EU one with respect to biofuels. Model results shows that as the share of blending mandates increases, the value of ethanol production plants increases. Those who benefit from the policies

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aimed at stimulating the demand for ethanol are therefore on the one hand the inhabitants of urban cities, as biofuels reduce GHG pollutant emissions, and on the other hand, ethanol producers, thanks to higher profits that contribute to stimulate investments. Future research in this field might be aimed at testing the model in the European context, and investigating whether and to which extent the value of a representative plant is affected by different shares of blending mandates.

References 1. Harris, S., Weinzettel, J., Bigano, A., Kallmén, A.: Low carbon cities in 2050? GHG emissions of European cities using production-based and consumption-based emission accounting methods. Journal of Cleaner Production 248, Article 119206 (2020) 2. European Environment Agency: Transport: increasing oil consumption and greenhouse gas emissions hamper EU progress towards environment and climate objectives (2020). https:// www.eea.europa.eu/publications/transport-increasing-oil-consumption-and. Accessed 29 Jan 2020 3. Khan, I.: Importance of GHG emissions assessment in the electricity grid expansion towards a low carbon future: a time-varying carbon intensity approach. J. Cleaner Prod. 196, 1587– 1599 (2018) 4. Lepitzki, J., Axsen, J.: The role of a low carbon fuel standard in achieving long-term GHG reduction targets. Energy Policy 119, 423–440 (2018) 5. European Environment Agency: Greenhouse gas emissions from transport in Europe (2019). https://www.eea.europa.eu/data-and-maps/indicators/transport-emissions-of-greenhousegases/transport-emissions-of-greenhouse-gases-12. Accessed 29 Jan 2020 6. United States Environmental Protection Agency: Global greenhouse gas emissions data (2019). https://www.epa.gov/ghgemissions/global-greenhouse-gas-emissions-data. Accessed 29 Jan 2020 7. RFA: Ethanol industry outlook. Renewable Fuels Association (2020). https://ethanolrfa.org/ publications/outlook/. Accessed 29 Jan 2020 8. Oliveira, V.M., Nascimento, V.M., Goncalves, A.R., Rocha, G.J.: Combined process system for the production of bioethanol sugarcane straw. Ind. Crops Products 58, 1–7 (2014) 9. Buchspies, B., Kaltschmitt, M.: A consequential assessment of changes in greenhouse gas emissions due to the introduction of wheat straw ethanol in the context of European legislation. Appl. Energy 211, 368–381 (2018) 10. D’Alpaos, C.: Methodological approaches to the valuation of investments in biogas production plants: incentives vs. market prices in Italy. Valori e Valutazioni 19, 53–64 (2017) 11. Barbera, E., Menegon, S., Banzato, D., D’Alpaos, C., Bertucco, A.: From biogas to biomethane: a process simulation-based techno-economic comparison of different upgrading technologies in the Italian context. Renew. Energy 135, 663–673 (2019) 12. Fernandes, B., Cunha, J., Ferreira, P.: The use of real options approach in energy sector investments. Renew. Sustain. Energy Rev. 15, 4491–4497 (2011) 13. Tsai, J.H., Ko, Y.L., Huang, C.M., Chiang, H.L.: Effects of blending ethanol with gasoline of the performance of motorcycle catalysts and airborne pollutant emissions. Aerosol. Air Q. Res. 19, 2781–2792 (2019) 14. Mourad, M., Mahmoud, K.: Investigation into SI engine performance characteristics and emissions fueled with ethanol/butanol gasoline blends. Renew. Energy 143, 792–771 (2019)

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15. Rajagopal, D., Plevin, R., Hochman, G., Zilberman, D.: Multi-objective regulations on transportation fuels: comparing fuel mandates and emission standards. Energy Econ. 49, 359–369 (2015) 16. Schnepf, R., Yacobucci, B.D.: The renewable fuel standard (RFS): overview and issues. Congressional Research Service (2013) 17. Energy Policy Act of 2005 (PL 109–58) 18. - Energy Independence and Security Act (Public Law 110–140) 19. Directive 2009/28/EC of the European Parliament and of the Council of 23 April 2009 on the promotion of the use of energy from renewable sources and amending and subsequently repealing Directives 2001/77/EC and 2003/30/EC 20. Directive (EU) 2018/2001 of the European Parliament and of the Council of 11 December 2018 on the promotion of the use of energy from renewable sources 21. Ghoddusi, H.: Blending under uncertainty: Real options analysis of ethanol plants and biofuels mandates. Energy Econ. 61, 110–120 (2017) 22. Deffains, B., Obidzinski, M.: Real option theory for law makers. Recherches Economiques de Louvain 75, 93–117 (2009) 23. Gil-Alana, L.A., Cunado, J., De Garcia, F.P.: Persistence, long memory, and unit roots in commodity prices. Can. J. Agric. Econ. 60, 451–468 (2012) 24. Hull, J.C.: Options, futures and other derivatives, 8th edn. Pearson Education, United States of America (2019) 25. Abbott, P.: Biofuels, binding constraints and agricultural commodity price volatility. Working Paper. National Bureau of Economic Research (2013) 26. Zezza, A.: Le politiche pubbliche per i biocarburanti: analisi degli effetti redistributivi. Rivista di politica agricola internazionale (PAGRI) 3, 14–36 (2007) 27. Bellman, R.: Dynamic programming and stochastic control process. Inf. Control 1, 228–239 (1958) 28. McDonald, R., Siegel, D.: The value of waiting to invest. Q. J. Econ. 101, 707–727 (1986) 29. Adkins, R., Paxson, D.: Renewing assets with uncertain revenues and operating costs. J. Financ. Quant. Anal. 46, 785–813 (2011) 30. USDA Foreign Agricultural Service: EU Biofuels Annual 2019. https://apps.fas.usda.gov/ newgainapi/api/report/downloadreportbyfilename?filname=Biofuels%20Annual_The% 20Hague_EU-28_7-15-2019.pdf. Accessed 27 Feb 2020 31. U.S. Energy Information Administration: U.S. Fuel Ethanol Plant Production Capacity. https://www.eia.gov/petroleum/ethanolcapacity/. Accessed 27 Feb 2020 32. European Commission: EU Biofuels Annual Reports (2019). https://ec.europa.eu/ knowledge4policy/node/3030_it. Accessed 27 Feb 2020 33. Ghosh, S., Chowdhury, R., Bhattacharya, P.: Sustainability of cereal straws for the fermentative production of second generation biofuels: a review of the efficiency and economics of biochemical pretreatment process. Appl. Energy 198, 284–298 (2017) 34. Cesaro, A., Belgiorno, V.: Combined biogas and bioethanol production: opportunities and challenges for industrial application. Energies 8, 8121–8144 (2015)

Multilevel Co-governance Within the 2030 Agenda: The Impact of Participatory Processes in the Veneto Region Sustainable Development Strategic Planning Maria Stella Righettini(&) Department of Political Science, Law and International Relations, University of Padova, Via del Santo 28, 35123 Padua, Italy [email protected]

Abstract. This paper analyses the co-governance theory to delineate how it can support the analysis of new participatory practices at the local level and to assess the impact of these processes on formulating sustainability policy strategies. The analysis focuses on the reframing process—specifically, it highlights that the case study uses a top-down framework to promote civil society’s participation in the strategic planning of the 2030 Agenda and is modified by bottom-up participation processes. Keywords: Co-governance
Policy formulation Sustainability
Policy framing


Participation


1 Introduction Sustainable development is key to successfully implementing the 2030 Agenda. This will require focused effort to forge a new program planning framework and to shift toward innovative partnerships to ensure that benefits are fully shared and inclusive. Climate challenges involve continuous negotiation processes over the allocation of social and material resources among stakeholders, citizens, political powers, and institutions. Successful partnerships are a crucial and strategic policy tool in creating governance capacity and social awareness. They determine the extent to which any decisions that are made respond positively to social needs. This prompts the question of how to shape inclusive policies and shared urban co-governance in practice. How can we ensure access and participation to planning programs whilst focusing on the needs of local communities, vulnerable groups and urban–rural relationships? Co-governance is broadly defined as “a dynamic interaction between public and private actors to secure the provision of common goods” (Tosun et al. 2016). It is a process of interaction in which either the state ‘‘invites’’ social and business actors to participate in its core activities or when the latter actors mobilize the state to engage in joint solutions of common good problems. Co-governance indicates that there is a dynamic pattern of interaction between private and public actors linked to a mutual orientation vis-a’-vis one other. The 2030 Agenda focuses on a number of sustainable development goals © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 536–544, 2021. https://doi.org/10.1007/978-3-030-48279-4_51

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(SDGs) and an even greater number of targets and indicators to encourage the adoption of policies that are increasingly integrated and shared by decision makers, stakeholders and ultimate beneficiaries in many traditional policy sectors (e.g., mobility, housing, education, health care, the environment, and agriculture). This paper investigates how the Veneto regional government has encouraged participation from urban and local communities from the bottom up when drafting the regional strategic program planning for the 2030 Agenda. The paper examines this ongoing process in terms of the methods used and the results obtained, all of which contribute to the transparent shaping and implementation of sustainable development. It illustrates how advocacy for the 2030 Agenda and use of the co-production technique (i.e., multilevel co-production) can facilitate a participatory process that better focuses multilevel policy goals and includes them in the regional planning process in a more transparent and effective way.

2 From Top-Down to Bottom-Up Framing: The Rise of Collaborative Sustainability Governance Sustainability has increasingly become a central issue in global governance across the world with respect to the exploitation of natural, economic and societal resources on the one side and the concept of the future of human communities on the other. This concern affects the need to balance consuming and conserving resources, triggering the need for regulation. There is no common and unquestionable definition of sustainability, but instead there are many different perspectives on what it is and how it can be achieved. Sustainability is a broad category stemming from the concept of sustainable development, which became a common term at the world’s first Earth Summit in Rio in 1992: Development that meets the needs of the present without compromising the ability of future generation to meet their own needs (Brutland Report for the World Commission on Environment and Development 1987). Many variations and extensions on this basic definition overlap. Hence, the core problem of sustainability as well as the provision and use of common goods has long been about who defines it. Consequently, a normative and institutional answer has been provided by a number of political agendas since the 1980s. In the last decade, supra-national institutions like the UN and the EU have enacted sustainability prescriptions by formulating ends and means, expected outcomes, and procedures involving a staff of experts. The Global 2030 Agenda for Sustainable Development issued by the UN in 2016 contains 17 Sustainable Development Goals (SDGs); it explicitly addresses the need for sustainability measures in the light of improved goal achievement. The agenda re-launched a global approach to sustainable development through a cross-sectoral definition that concerned a multi-faceted concept of sustainability via intertwined performance among economic, societal, environmental, and institutional targets. Economic sustainability has focused on the efficient use of materials and the need to take more responsibility for resource exploitation and renewal. Social sustainability is mainly linked to inequality reduction and the maintenance of life-support systems, both of which are a prerequisite for social well-being in terms of health, education, gender equality, job creation, etc. Environmental sustainability is historically embodied in the pressure that exponential population growth places on the world’s finite resource base (Goodland 1995). Institutional

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sustainability calls for an improvement from governmental bodies to support the abovementioned goals and to provide efficient and effective services and opportunities in the light of social and civil rights. All these goals are supposed to be achieved by a global partnership between public organizations, the private sector, and civil society. The concept refers to an inclusive idea of partnership built upon principles, strategies and tools that place people at the global, regional, national and local level. This mainstream agenda has generated “top-down” measures that emphasize the goodness of solutions over the definition of needs. For this reason, scholars have argued that its policy capacity to match problems and address communities’ needs is only partially successful. Mechanisms to improve its impact have been reputed as poorly designed and limited (Zeitlin 2016). Indeed, a lack of accountability is an emergent weakness. This is because top-down sustainability is generally supported by a technocratic élite of academics, advisors and consultants, governments, representative bodies, and supranational institutions. This unilateral definition excludes beneficiaries and communities in policy formulation and knowledge production as well as in policy implementation and impact evaluation (Jordan and Turnpenny 2015). Beyond the technicalities, a bottom-up sustainability strategy calls for a more inclusive definition via the direct participation of policy takers grounded in collaboratively defining, deciding, and evaluating policy success. The last two decades have seen the issue raised at the local (regions, municipalities) and state level (states). Lastly, a bottom-up strategy triggers the experience of users and citizens and emphasizes the elicitation of social knowledge and shared practices. The persisting problem is that achieving objectives has often been insufficient, generating a perverse systematic effect of aversion within public opinion toward a top-down approach that is considered to be disrespectful of civil society’s demands and undemocratic. In particular, the organization of these policies has been deemed excessively unbalanced: the highly technocratic profile of the tools used for planning and evaluating the interventions, its strong selectivity of the stakeholders who favor established interests and sector professionals, and its elitist Enlightenment orientation. Refusal of these tools have been a sign of advocacy for new forms of political participation and demands for social inclusion through a pressing request for new procedural tools and the search for more experimental policy making. This conflict between top-down actions and bottom-up reactions has prompted policy makers to search for new tools and governance arrangements that enable them to include the beneficiaries, achieve effectiveness and consensus, meet needs, solve problems, and legitimize the institutional forms of organization. The systematic and methodological sharing of the interventions between policy makers and policy takers triggers a double channel of social inclusion of the beneficiaries within the policy making circuits of sustainability policies, allowing policy makers to use them as a strategic resource in policy formulation, adoption, management, and evaluation. Tosun et al. (2016) emphasized that sustainability, beyond the relevance of values and principles, is above all a mode of accountable action. Consequently, the core business of successful sustainability measures depends on the strategies by which it is organized and pursued. Sustainability policy design is still an open question, and it calls for a type of governance in which needs, and goals are defined, adopted, implemented, and assessed by adopting tools trigged by policy takers’ participation. The regulatory pattern of interaction (better regulation) has gradually been replaced or integrated by new patterns

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associated with new policy instruments and new assumptions about factors influencing human behaviors. Bringing in new beneficiaries should make sustainability more achievable and accountable with respect to goals and needs. The bottom-up strategy is grounded on the assumption that better performance is achievable through mechanisms that facilitate different governance modes directly concerning policy capacity (i.e., the ability to better define achievable ends by suitable means) (Wu et al. 2015). Two emerging streams of literature support these aims: co-governance and collaborative governance. In the following, both contributions are examined under the same label of “collaborative governance,” as it allows for novel insights whilst holding both perspectives together. The idea of co-governance arose in the beginning of the 2000s and is grounded on the assumption that policy takers are central and essential to effectively responding to needs. Generally, co-governance is a broad category of actions that includes the joint creation of interventions through participatory and disciplined initiatives by which decisions are co-created (co-designs and co-decisions), interventions are co-managed (co-productions), and assessments are shared (co-evaluations) (Radnor et al. 2014; Osborne et al. 2016). More precisely, co-governance is an emergent suitable instrument for securing the provision of common goods (Tosun et al. 2016). The broader idea of co-governance implies a joint level of policy design in the formulation phase (Howlett 2019) and governance networking via locally based public organizations, stakeholders, and citizens. Taking a concept from co-production that relates to public service management, co-governance is grounded in its ability to elicit social knowledge from policy takers and to trigger their contributions in the co-creation of interventions (Somerville and Haines 2008). This means that policy takers as users, citizens, or social stakeholders are considered to be a crucial component that is both effective in goal achievement and responsive to needs. This approach seems to mark a paradigm shift from the dominant consideration of citizens as passive targets or users of public programs and services toward proactive citizens, users, and stakeholders who are program co-creators. Voluntary policy tools enable citizens to participate in the joint framing of what relevant services and service outcomes are and how they should be organized. The rise of co-creative sustainability processes can also be considered as a learning process where actors learn how to use each other’s competences to develop new ways to face public sector challenges. Here, the user experience becomes the main focus for how measures are planned and executed (Zeitlin 2016). This occurs because policy takers, both actual and potential, have strategic and tacit knowledge about goals, needs, and expected outcomes, including the perception of successful or unsuccessful measures and side effects (Elke and Bovaird 2016). Collaborative governance has emerged as a response to the failure of downstream implementation and to the high cost and politicization of regulation. It has been defined as a method of collective decision making in which public agencies and non-state stakeholders engage with one another in a consensus-oriented deliberative process to invent and implement public policies and procedures for managing public resources. It is a highly demanding process (Ansell and Gash 2008; Radnor et al. 2014). When successful, a collaborative governance approach can lead to increased government accountability, greater civic engagement, consistent downstream implementation, and most importantly, higher levels of process and program success (Fung and Wright 2001; Lasker and Weiss 2003). A foundational commitment in collaborative governance is, therefore, the involvement along the policy

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cycle of all those affected by a problem into a collaborative cycle where problems are discussed, solutions are formulated and implemented, and results are evaluated. As Chrislip and Larson (1994) argue, the first condition of successful collaboration is a broadly inclusion of all the stakeholders who are affected by or care about the issue.

3 Shaping the 2030 Agenda’s Strategic Planning Through Co-governance: The Case of the Veneto Region The argument in favor of co-creation and collaborative governance must be considered as hypothesis to be tested by evidence. Successful collaborative governance depends upon specific tools and relational patterns that create deliberative processes that foster trust, shared commitment, mutual accountability, and a willingness to share risk (Ansell and Gash 2012; Van Eijk and Steen 2016). Although the demand for inclusion may be widely accepted, it is far from obvious how and to what extent actors can include beneficiaries and stakeholders in the policy making process. In other words, tools and practices have to be identified, mechanisms scrutinized, and success measured in the light of goals. The bottom-up strategy is grounded on the assumption that better performance is achievable through mechanisms that facilitate different governance modes that directly concern the policy capacity (i.e., the ability to better define achievable ends by suitable means) (Wu et al. 2015). Collaboration with policy takers, both actual and potential, in the policy formulation phase and in program planning can develop in different modes according to the way governments involve society: • By directly involving individual citizens • By indirectly involving individuals through associations they belong to • By directly involving both individuals and associations Each mode incorporates participation that reveals different types of interaction between institutional and non-institutional actors. Each mode also implies different ideas within policy entrepreneurship, from a more direct interaction between citizens and institutions to a more mediated and structured interaction between social and economic organizations. Moreover, participation can be deployed through procedures that differ in the intensity with which citizens, individuals, or organizations are given opportunities to influence programming content. The deployed procedures can be more or less formal—that is, they can provide a juridical base for formulation or a policy frame, and they can be on or off-line. When the Veneto Region decided to begin its 2030 Agenda strategic planning within the national framework (September 2019), it had to determine whether and how to involve society and cities in the planning formulation. It opted for a multilevel coproduction process inspired by the production of public goods theory (Ostrom 1999), which it extended to policy formulation. Multilevel co-production is an informal, mixed, individual/collective approach to enhance policy entrepreneurship that favors participation both at the individual and association level using specific techniques to elicit policy proposals at the local level (Garofalo and Rampin 2014). The Veneto Region has officially invited all its stakeholders throughout the region, but at the same time it has made the Forums’ agenda public on its website, inviting everyone to

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participate freely. Through a series of provincial forums held in the provincial capital cities of the region from October to November 2019, local stakeholders were given the opportunity to express and discuss their policy preferences. These preferences are formulated by representatives of associations, public and private bodies, informal groups, and individual citizens. The forums are multi-level in a vertical and horizontal sense, as they involved actors who are placed at the various levels of the governance system (municipal, provincial and autonomous agencies) and they are transversal to traditional policy sectors. Participants are channeled by facilitators into a multi-level interactive process: first individual (each subject had the opportunity to express his or her own policy proposal on a specific theme); second interindividual (anybody examining others’ proposals on the same theme could suggest improvements or supplementary contributions to these proposals); third, collective - once a high quantity of intervention proposals and a bunch of solution to a policy problem have been produced, they are analyzed in clusters by the group to identify the underlying strategic policy logics and facilitate a broader discussion between all participants. In the end, the group votes on a proposal that it considers best among all those put forward on the topic. This local bottom-up territorial process was accompanied by a complementary digital/online process: a website was created to publicize all the macro themes that citizens and associations would be asked to participate in. Then, participation from below was solicited by creating an ad hoc platform where developments in provincial forums could be followed and where individuals could intervene online. About 380 entities, associations, and public and private enterprises and citizens took part in the provincial forums and animated the participatory process. In each of these provincial forums, a representative of the regional government illustrated the positioning of the Veneto Region with respect to the 17 SDGs (specifically, its strengths and critical points) to facilitate a learning process within the construction of the strategic planning program. The output of the participatory process was then discussed in a public meeting organized by the Veneto Region (December 2019), where all those who animated the seven provincial Forums participated together. In the next paragraphs, the paper illustrates some of the most significant results of the participative process. In particular, it demonstrates the difference between framing the top-down policy problems provided by the regional government that proposed the participatory path and the bottom-up framing response produced by civil society and participants in the process. In other words, uses content analysis of the policy proposals within the provincial forums to understand if and how participation modifies the formulation of policy problems and what the prevailing top-down and bottom-up topics are. As policy problems are not a priori givens but rather a matter of definition (Elder and Cobb 1984), the idea is that in the regional Sustainable Development agendabuilding process, the initial top-down problem definition could be changed by participative process and texts, the participants’ written proposals, are the natural source to study the content of the problem definition process and its outputs. The corpus of texts was processed by IRaMuTeQ (Ratinaud 2009) and the analysis was directed to the entire work carried out during the provincial forums. These last generated approximately 2,700 proposals for intervention on four issues the regional government initially proposed. They represent strategic nodes and critical issues for developing the regional 2030 Agenda from a top-down point of view. The four topics are as follows: land use,

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circular economy, sustainable development, and sustainable lifestyles between urban and rural contexts (Table 1). Table 1. Number of proposals generated by the provincial forums for each topic sub mitted by the Veneto Region (2019)

The top-down offer of four macro themes to participate in and discuss at the local level has generated a redefinition of the themes and a partial refocusing of the most relevant policy topics for policy sustainability at the local level. As highlighted in Table 2, the automatic processing of the proposal texts highlights seven bottom-up items that correspond to the following themes: • Innovation in tourism management • Enhancement of tourism based on the characteristics of the territory • Raising awareness of the importance of recycling, separate collection, and the circular economy • Incentives for procedures aimed at reusing products • Enhancement of meeting places • Redevelopment of green spaces and older buildings • Transport innovation through car sharing, cycle paths, etc. The following emerges from the participatory process: a greater connection between the initial themes; the introduction of new themes connected to the initial ones but more related to the environmental impact on the urban territory; the identification of individual behaviors as change driver and the identification of specific sustainability local strategies.

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Table 2. Prevailing themes from the activity of provincial forums (2019)

(Source: Author’s elaboration of Veneto Region data.)

4 Discussion and Conclusions As theory argues, sustainability policy design is still an open question, and requires new type of governance in which needs, and goals are defined by adopting tools trigged by policy takers’ participation (Tosun et al. 2016). As evidenced by the case study analyzed, co-governance and collaborative processes in the framing phase of strategic programming partially modified the region’s original top-down policy topics and its vision of the problems. This change occurred in two directions. One the one hand, the participatory process highlighted the operational dimensions at the local level that applied to the top-down macro problems the Veneto Region proposed. On the other hand, it brought out new topics from below that highlighted transversal problems linked to the sustainability of local communities and the expectations for future policies. Moreover, the participatory processes produced territorial characterizations of the policy formulation. Belluno mainly dealt with topics concerning tourism enhancement; Padua and Verona were the most concerned with redeveloping green spaces and meeting places; finally, all provinces were concerned with the transversal themes of recycling, the circular economy, and innovating public and private means of transport. The participative process has been balancing the technocratic tools used for planning (statistical indicators), its strong selectivity of the stakeholders supported by academics, governments, representative bodies, and supra-national institutions, by enhancing transparency, inclusion and bottom-up impact on policy framing in strategic planning. As voluntary policy tools (Zeitlin 2016) enable citizens to participate in the joint

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framing of what is relevant for strategic planning, the multi-level co-creative processes can be considered as a voluntary learning process where actors are encouraged to learn how to use each other’s competences, and where participation develops new perspectives and frames to face sustainability challenges.

References Ansell, C., Gash, A.: Collaborative governance in theory and practice. J. Public Adm. Res. Theory 18, 543–571 (2008) Ansell, C., Gash, A.: Stewards, mediators and catalysts: toward a model of collaborative leadership. Innov. J. 17(1), 1–21 (2012) Brundtland, G.H., Khalid, M., Agnelli, S., Al-Athel, S., Chidzero, B.J.N.Y.: Our Common Future, vol. 8. New York (1987) Chrislip, D.D., Larson, C.E.: Collaborative Leadership: How Citizens and Civic Leaders Can Make a Difference, vol. 24. Jossey-Bass Inc Pub, San Francisco (1994) Elder, C.D., Cobb, R.W.: Agenda-building and the politics of aging. Policy Stud. J. 13(1), 115– 129 (1984) Elke, L., Bovaird, T.: User and community co-production of public services: what does the evidence tell us? Int. J. Public Adm. 39(13), 1006–1019 (2016) Fung, A., Wright, E.O.: Deepening democracy: innovations in empowered participatory governance. Polit. Soc. 29(1), 5–41 (2001) Garofalo, A., Rampin, M.: Come un fisico fallito. Aurelia Editore, Roma (2014) Goodland, R.: The concept of environmental sustainability. Annu. Rev. Ecol. Syst. 26(1), 1–24 (1995) Howlett, M.: Designing Public Policies. Principle and Instruments. Routledge, London (2019) Jordan, J.A., Turnpenny, J.R.: The Tools of Policy Formulation. Edward Elgar, Cheltenham (2015) Lasker, R.D., Weiss, E.S.: Broadening participation in community problem solving: a multidisciplinary model to support collaborative practice and research. J. Urban Health 80 (1), 14–47 (2003) Osborne, S.P., Radnor, Z., Strokosch, K.: Co-production and the co-creation of value in public services: a suitable case for treatment? Public Manag. Rev. 18(5), 639–653 (2016) Ostrom, E.: Coping with tragedies of the commons. Annu. Rev. Polit. Sci. 2(1), 493–535 (1999) Radnor, Z., Osborne, S.P., Kinder, T., Mutton, J.: Operationalizing co-production in public services delivery: the contribution of service blueprinting. Public Manag. Rev. 16(3), 402– 423 (2014) Ratinaud, P.: IRaMuTecQ: Interface de R pour les Analyses Multidimensionnelles de Texts et de Questionaires Software (2009). www.iamuteq.org Somerville, P., Haines, N.: Prospects for local co-governance. Local Gov. Stud. 34(1), 61–79 (2008) Tosun, J., Koos, S., Shore, J.: Co-governing common goods: interaction patterns of private and public actors. Policy Soc. 35(1), 1–12 (2016) Van Eijk, C., Steen, T.: Why engage in co-production of public services? Mixing theory and empirical evidence. Int. Rev. Adm. Sci. 82(1), 28–46 (2016) Wu, X., Ramesh, M., Howlett, M.: Policy capacity: a conceptual framework for understanding policy competences and capabilities. Policy Soc. 34(3–4), 165–171 (2015) Zeitlin, J.: EU experimentalist governance in times of crisis. West Eur. Polit. 39(5), 1073–1094 (2016)

Nighttime City Mobility. Contributions from a Literary Urban Space Lucrezia Lopez1(&) 1

and Antonietta Ivona2

University of Santiago de Compostela, 15782 Santiago de Compostela, Spain [email protected] 2 University of Bari, 70124 Bari, Italy

Abstract. The proposal aims to identify the interplay between different mobile forces that shape and nourish a sense of urban place that must be discovered in order to become aware of one’s own subjective identity to reconcile the “self” with the urban dimension. It aims also to contribute to the ongoing critical debate on e-motions linked to an urban nighttime atmosphere in literature. Given the introspective potentialities of literature and the inspiring and revealing nature of the night, the main source of research is the novel Né qui né altrove. Una notte a Bari (Neither here nor elsewhere. One Night in Bari) (2009), written by Gianrico Carofiglio. It is set in the city of Bari (Italy). In order to present its urban literary cartography, we opt for the Interpretive Phenomenological Analysis (IPA) as a way to access the subjective world. The combination of academic reading and literary interpretation results in urban mental maps produced according to the Lynchian categories. The mobile narrative practices and techniques (shifting pace, motions within the city, sliding motion between past and present, unceasing critical movement from fictional to non-fictional content, etc.) enhance the sensory and emotional experience. The proposal advances a relational production of the sense of place, while contributing to the ongoing critical debate on meanings and feelings linked to an urban nighttime atmosphere in literary terms. Keywords: Urban space maps


Urban night
Bari (Italy)
E-motions
Narrative

1 Introduction According to A. Amin and N. Thrift [1], cities unite, mix, separate, hide, show and produce practices, which are determined by the transition between day and night [2]. In their opinion, cities are heterogeneous entities because they have different functions, experiences and images. All these social and cultural interactions determine spatial organization and spatial use that vary according to location, habits and rhythms. The alternating temporal dimension discloses worlds that become fused with the changing nature of cities at night [3], a moment that is often forgotten except in Mediterranean cities, where ‘we find cities that never sleep (…). Southern urban neighbourhoods are busy and live longer, many of them until very late at night’ [4, p. 947]. It is precisely in these neighbourhoods that nightlife is more relevant than the goings-on of the day to © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 545–555, 2021. https://doi.org/10.1007/978-3-030-48279-4_52

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day, allowing us to discover characteristics typical of the Mediterranean lifestyle. Considering these premises, the main aim of the proposal is to identify the interplay of different mobile forces that shape and nourish a sense of urban place that must be discovered in order to become aware of one’s own subjective identity to reconcile the “self” with the urban dimension. Since the interest is also to contribute to the ongoing critical debate on e-motions1 linked to an urban nighttime atmosphere in literature, the source of research is the novel Né qui né altrove. Una notte a Bari (Neither here nor elsewhere. One Night in Bari) (2009), written by G. Carofiglio [5] and set in the city of Bari (Italy). Although the pages of a book are static in nature, they are still endowed with a sense of mobility [6], particularly if we are speaking about a Mediterranean city where people enjoy the public spaces at a slower nocturnal pace that facilitates the manifold “self-discoveries”. As a result, driving by night in the city is a journey that spans different movements. A part from the introduction, this paper is structured into three main sections. In the opening section we briefly review the conceptual arguments that inspire the research. The second section refers to the case study, where after a brief presentation of the city of Bari (Italy) and the above mentioned novel, we explain our methodological procedure, which is based on an Interpretive Phenomenological Analysis (IPA) according to the five Lynchian categories. In the third section, we analyse the geo-literary source and discuss our results. In the final section we present some conclusive remarks.

2 Literature Review Decades ago, C. Salter and W. Lloyd [7], D. Pocock [8] and Y.F. Tuan [9, 10] were the first to defend the use of literary sources in geographical research. In the opinion of the authors, these sources offer new insight into the places where we live and carry out our daily activities, thanks to their creative tools and representations. Literary works have been considered geographical documentary sources for regional, historical and urban geography [9, 11–13]. Lately, they have also been used to explore human subjectivity, providing accounts of personal appreciation and experience of landscape [14]. Nowadays, the field of Geo-Humanities points to the benefits of enhancing the dialogue between literary studies and geographical studies, as a result of the cultural turn [15, 16]. The ensuing literary geography is a specific articulation of the cultural turn in human geography [17]. It is also defined as literary cartography or geocriticism. This has been viewed a ‘spatial vogue’ [18] and a ‘new idiom for literary studies’ [19]. Another issue that has been gaining in importance in the field of geographical studies is the concept of mobility, which goes beyond the mere geography of transport to assume a more holistic view, thus discovering connections referring to information, goods, images, collective imagination and capital [20–22]. O.B. Jensen [23] considers that research in urban mobility regards the production and reproduction of cultural and knowledge-based relationships. Thus, the temporal dimension of the novel is not an

1

The hyphen is introduced to express the kinds of motions that will be detected in the novel (i.e.: physical, temporal, emotional, etc.).

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incidental fact. Nighttime has traditionally been associated with negative connotations [24, 25] and is a less frequent space-time for human investments and movement [26]. In the present case, it is an added value for the exploration of literary cartography, because by night certain activities are allowed [27], certain spaces are socially mediated and constituted [28], and the cover of urban darkness changes meanings and experiences most commonly shared [29]. Even G. Carofiglio, the author of the novel, feels ‘at night (…) the ambiguous and dizzying intuition of being on unstable vanishing points, directed to distant places, flashes’2 [translation of 5, p. 13]. These words suggest keys to the reading approach. As the following sections will show, G. Carofiglio is on an unstable point that moves through an array of geographical and historical phenomena in different temporal and spatial directions, in the search of ‘something or someone’ yet unknown that enables him to get in touch with the profound essence of the past and presents urban dimension.

3 The Case Study Bari is a southern city on the Adriatic Sea, located very near the middle of the Apulian coast, and has about 320,800 inhabitants [30]. From an architectonic and urban point of view, Bari has a complex structure, as it is made up of three distinct parts reflecting the different periods of its urban development, each with its associated lifestyle [31]. As is typical of Mediterranean cities, the social life of the city of Bari moves at a slow pace which determines lifestyles, as the novel describes. The textual material is the novel Né qui né altrove. Una notte a Bari (Neither here nor elsewhere. One Night in Bari), written by G. Carofiglio [5]. The source was chosen according to the following criteria: 1) it is a novel set at night; 2) the city is the main character; 3) its Mediterranean identity allows manifold nighttime e-motions; 4) it shows a dialectic relationship between urban identity versus subjective identity. The novel is set in the city of Bari (Italy), and its cover page defines it as a sort of ‘sentimental guide to the city’. The novel deals with three schoolmates on a nighttime car journey, quite an unusual event [32] which becomes a unique occasion that paves the way to a complex synthesis of perceptual, cognitive and affective processes engendered by this urban nighttime experience. It is a proper ‘defining moment of a driver’s (or passenger’s) life’ [32, p. 1], as it enacts the connection between the present and the memories of the past. These are mainly derived from the act of travelling with former schoolmates (the characters are all around 40 years old). 3.1

Methodology

The practice of literary writing is a social and creative process, and within it we can discover norms of spatial organization and social interaction [33, 34]. M. Brosseau [14] compares the literary text to a ‘geographer’, as within the text we can detect and access

2

Original quotation: ‘Di notte (…) balena l’intuizione, ambigua e vertiginosa, di essere su instabili punti di fuga, diretti verso posti lontani’ [5, p. 13].

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a subjective geography that embodies a social world. Narratives allow us to investigate the sense of place and, as S. Hones [15] states, textual analysis is useful to explore and fix geographical themes. Incidentally, literary interpretation is simply one of the manifold possible readings. As there is no single system of analysis that guarantees access to the truth, interpretations respond to the standards and intentions of the researcher [35]. Concerning the methodological procedure, we opt for the Interpretive Phenomenological Analysis (IPA) as a way to access the subjective world, considering that every description is a form of interpretation. The phenomenological approach is inevitably used to recognise and make explicit the urban e-motions emerging among sights, memories and revelations. We combine an academic reading and literary interpretation, resulting in an urban image analysed according to the Lynchian categories [36]. We firstly analyse literature as a subject of art, and secondly, we consider it as source to obtain an adequate perception of reality. The literary and qualitative approach relies on the use of textual citations as argumentative tools of the highlighted aspects [37–39]. As a result, we introduce two mental narrative maps (one refers to the districts and the other refers to the nodes, paths and sites); they have different scales and different mental perception.

4 Analysis and Discussion According to G. Carofiglio, each space is ‘another whirlwind, another whirlpool in the river of memory in which he had been forced to dive that evening’3 [5, p. 34]. In fact, the pace of the novel is marked simultaneously by the speed of the car and by the authors’ memories. These movements are expressed thanks to ‘mobile sense-making narrative practices and techniques’ such as a shifting pace, motion within the city, sliding motion between past and present, continual critical movement from fictional to non-fictional content, etc. These mobile sense-making dimensions respond to three forms of mobility. The first is physical, referring to the car journey within the city. This physical movement is the basis for the two remaining types of movement, and it takes place within a general (mobile) space-time interval within the city. The second is temporal, which refers to the shift between past and present each time a memory is recalled, but it is also the shift between day and night, especially when describing places. The final mobility is e-motional. While moving within the city, the narrator gazes through the windscreen and ‘sees and recognizes’ spaces, which spark specific memories and engender mood swings. These mobile determinants are not intended to be read separately; rather they play against each other, as for instance in the following passage which corresponds to one of those moments during which the author sees and discovers the city through different eyes. Indeed, the term ‘sight’ should be conceived at a more profound level, with an understanding of ‘discovery’. It is an inspiring sight that produces an automotive stream-of-consciousness [32]:

3

Original quotation: ‘Un altro vortice, un altro gorgo nel fiume della memoria in cui ero stato costretto a tuffarmi quella sera’ [5, p. 34].

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The sight of Bari coming from the south at night is my favourite. There is the sea, dark but not threatening, there is the line of the promenade and then of the port, full of lights and promises, there are the tallest buildings (…) which give rhythm to the silhouette of the city, there are iron lampposts and jets in the sea. Everything, entering from this point, communicates a sense of a small, friendly and welcoming metropolis. It’s nice [translation of 5, pp. 55–56]4.

Memories are reproduced in a descriptive and comparative style that leads to ‘a mode of reading that moves away from the representation of place in literature to a direct presencing of place or sensation of place’ [40, p. 31]. Since the author makes use of the transcription of extra-textual landmarks to convey subjective meanings produced by experiences of places, among the possible interpretative readings, we perform the above mentioned Interpretive Phenomenological Analysis (IPA) according to the five types of elements (paths, edges, districts, nodes and landmarks) elaborated by K. Lynch [36]. We opt for this procedure because by placing these elements quoted in the novel on the narrative map, the reader can recognize the physical and temporal displacements of the characters and can understand the relational meanings of places and things. As the characters drive through the city (the narrating voice is not the driver), memories flow and disclose subjective relationships between the narrating voice (the I of the novel) and the city that results in a narrative map (Fig. 1).

Fig. 1. The narrative mental map of Bari (own elaboration).

4

Original quotation: ‘La vista di Bari arrivando da sud, di notte, è la mia preferita. C’è il mare, scuro ma non minaccioso, c’è la linea del lungomare e poi del porto, piena di luci e promesse, ci sono gli edifici più alti (…) che danno ritmo alla silhouette della città, ci sono i lampioni di ghisa e gli zampilli nel mare. Tutto, entrando da quella parte, comunica un senso di piccola metropoli, cordiale e accogliente. È bello’ [5, pp. 55–56].

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The narrative mental map of Bari (Fig. 1) constructed on the basis of the Lynchian categories can be described as follows: • Paths: although in some cases the seafront might be considered as an edge, in a Mediterranean city it is a path, because it is a predominant element in the urban image. Indeed, in Bari since the beginning of the 20th century it is properly an identitary urban and social space [41]. As G. Carofiglio [5] points out, it is possible to distinguish between the realisation of events occurring during the day and those which take place at night, as well as the difference between winter and summer. During the day the seafront is used as a hub for connections, while by night it becomes a meeting place. Its character depends on the manifold meanings that people ascribe it, thus it becomes pivotal for the people and their identity [31]. Other relevant paths for the characters are the main streets: Cavour Avenue and Sparano Street, which are ideal places for shopping, and Vittorio Emanuele Avenue, which is the border between the historical centre and the Murat district. Daytime activities in Vittorio Emanuele Avenue are related to trade and commerce, but by night it becomes an extension of Ferrarese Square. For this reason it is always crowded. Also in the case of Vittorio Emanuele Avenue, in addition to possibly being an edge, the social presence turns it into a relevant space for nightlife. • Edge: “The Walls” are the edges of the mental map. The defensive walls are extremely relevant for the citizens from Bari; firstly they a distinctive fortified architecture of the Mediterranean cities [42] and secondly they connect the Mediterranean seafront (path) and the city itself. People call it “La Muraglia”, with the intentional “M” in order to express that is a Place, endowed with symbolic value marking social relationships and urban identification. • Nodes: among the quoted in the text (Fig. 1), we point out two squares in the historical centre, Ferrarese and Mercantile Squares. During the latest twenty years, they serve a double purpose by day and by night. They have been re-qualified thanks to Urban Plans I and II, and have been transformed from deteriorated social areas into enjoyable places where the nightlife begins. A great number of nightclubs, bars, pizzerias and restaurants are located here, attracting a large clientele who are drawn by the appeal of these now symbolic places. Other nodes represented in the map are Massari Square, Garibaldi Squares, Umberto Square and Moro Square; they are inevitably connected with the marked paths for being the social spaces of their past. The port can be considered a node, because, as in other Mediterranean cities, its position promotes the exchange information and economic activities [43]. • Landmark: located at the north of the Bari, the lighthouse is a commonly recognized landmark for its inhabitants since 1904. It stands for the first radiotelegraphic connection between Bari and the city of Bar in Montenegro; this was a fundamental event because of the pioneering impacts of the initiative represented throughout the country [44]. • The Districts: the author mentions some which have generally been associated with informal or illegal activities, another characteristic of Mediterranean cities [4, 43]. Since the extension of the mental map referred to the districts requires another scale and considering that the descriptions provided are not equally distributed among

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them, we opted for introducing a separate map (Fig. 2). By the same, it is possible to appreciate that the districts of San Nicola, Murat and Libertà, where G. Carofiglio and his friend Paolo grew up, are the most central ones within the city.

Fig. 2. The districts of the literary space (own elaboration).

The mental map represented in Fig. 1 refers to the above mentioned districts of San Nicola, Murat and Libertà because they are the most familiar parts of the city for the characters. For this same reason, these districts are the main spaces of the temporal displacement of the novel, in addition to reproducing the route of the physical journey by car. Because of this, narrative reference to these spaces leads to a sense of belonging and urban identity. Also the paths quoted in the novel are close among them and of course they are also close to the nodes that have differently marked their lives in the past. As K. Lynch states [36, p. 50]: ‘the concentration of special use or activity along a street may give it prominence in the minds of observers’, and in fact the abovementioned paths and nodes emerge precisely because they were the main axes and places along which the authors remember shops, libraries, cinemas and pubs. Diverse rhythms determine the character of public spaces and the combined textual and cartographic analysis are useful to explore this “dialogue”. The novel recovers and gives new vigour to concepts such as lived space and lived place according to a humancentred point of view [45, 46]. The sense of ‘an urban space’ depends on the interplay of different factors (spatial, temporal, social, experiential, behavioural, subjective, etc.). In an exercise in introspection, the author turns to his previous knowledge of the history of Bari to give his own meaning to ‘the place’. This is also possible thanks to the sensory organs, which provide an exceptional and refined capacity for symbolisation [47]. The result is a sort of identitarian balance between the city and the self which everyone should try to achieve in order to solve the puzzles of one’s own life:

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A phrase that I had read who knows where came to mind: the map is not the territory. (…). Then that thought disappeared and in its place (…) the question that a German friend had asked some time before materialized: in what direction do the people from Bari look? I mean in which physical direction, to which cardinal point are you oriented? Where are you looking? (…) And then I realized that I had always looked north and east, with the Adriatic on the right5 [translation of 5, pp. 106–107].

As the author [5] admits, it is not until that night that he discovers the names of the streets, the real existence and sense of certain places and his role in it all: his physical and geographical positioning. These new sights and feelings enhance cognitive and affective revelations caused by an unexpected driving event through which he maps his city. Physical mobility moves alongside temporal displacement and emotional flows that are essential to grasping the coordinates of this subjective geography.

5 Conclusions The literary space is an informative source of knowledge of a geographical and human reality [15, 48, 49]. It discloses new possibilities for research focused on the conceptualization of creative spatial representations and perceptions. Considering the former analysis, the novel Né qui né altrove. Una notte a Bari [5] is an emotional description and reconstruction of Bari’s historical and urban geography. It deals with a plural city with different functions and images. Its urban identity results from the dialectic between both time and space, and urban landscape and subjective perception. The city takes part in the subjective identification that likewise needs to be discovered firstly at night, and lately, in the practice of writing. The proper city is a narrative structure that undergoes a continuous renewal according to the forms it is represented. The final goal of this journey is human reconciliation with the urban rhythms [50], which are not necessarily visible, although determining the everyday life of human [51]. Thus, the interplay between the urban functions assigned to day and to night, as well as to past and present events, forges the authorial self through urban rhythms that allow inhabitants and visitors to give sense to their urban experiences [1]. But it is also relevant to access the urban landscape, as citizens need to wake up from the sleep of the awareness [5]. In the case study, the eyes of the narrating voices focus on tangible urban elements that evoke intangible urban dimensions, memories, behaviours and habits. Although some of them are differentiated in time (the opposition between past and present is always there), the tangible urban landscape is the glue holding the different periods together. This is due to a relational nature of the sense of place: a network of time-determined factors and symbols that reconfigure the way identities and belonging can be conceptualised. It is also worth focusing on the author, for whom the novel is a sort of introspective exercise: the urban spaces he sees are the vehicles

5

Original quotation: ‘Mi venne in mente una frase che avevo letto chissà dove: la mappa non è il territorio. (…). Poi quel pensiero scomparve e al suo posto si materializzò (…) la domanda che qualche tempo prima aveva fatto un amico tedesco: In che direzione guarda la gene, a Bari? Voglio dire in che direzione fisica, verso quale punto cardinale siete orientati? Dove guardate? (…) E fu cosi che mi resi conto di aver sempre guardato verso nord e est, con l’Adriatico a destra’ [5, pp. 106–107].

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through which he feels, he knows and he ‘awakens’. Thus, urban spatial identity is determined physically, socially and subjectively, as the understanding and the perception of places is bound to multiple factors. Contemporary urban studies should observe urban phenomenological patterns, and due to the growing rediscovery of the geographical content in literary works, such studies can bring to light unknown urban aspects. They disclose the urban dimension, nourish geographical imagination and put the city on the map (both literally and in an idealized sense). The dialectic of urban and subjective identity that has nourished the case study exemplifies the importance of exploring the potentialities of literary sources. Future researchers should thus enhance the use of these sources to investigate factors defining traditional geographical concepts such as space, place or identity, as well as to access the real meaning of everyday life spaces.

References 1. Amin, A., Thrift, N.: Cities: Rethinking the Urban Theory. Polity, Cambridge (2002) 2. Gwiazdzinski, L.: The urban night: a space time for innovation and sustainable development. J. Urban Res. 11 (2015). https://halshs.archives-ouvertes.fr/halshs-01399557/document. Accessed 3 Jan 2020 3. Shaw, R.: Beyond night-time economy: affective atmospheres of the urban night. Geoforum 51(1), 87–95 (2014). https://doi.org/10.1016/j.geoforum.2013.10.005 4. Leontidou, L.: Postmodernism and the city: Mediterranean versions. Urban Stud. 30, 949– 965 (1993). https://doi.org/10.1080/00420989320080881 5. Carofiglio, G.: Né qui né altrove. Una notte a Bari. Editori Laterza, Bari (2009) 6. Merriman, P., Pearce, L.: Mobility and the humanities. Mobilities 12(4), 493–508 (2017). https://doi.org/10.1080/17450101.2017.1330853 7. Salter, C., Lloyd, W.: Landscape in literature. Resource Paper, no. 76-3, p. 28 (1977) 8. Pocock, D.: The novelist’s image of the North. Trans. Inst. Br. Geogr. 4, 62–76 (1979) 9. Tuan, Y.F.: Literature and geography: implications for geographical research. In: Ley, D., Samuels, M.S. (eds.) Humanistic Geography - Prospects and Problems, pp. 194–206. Maaroufa Press, Chicago (1978) 10. Tuan, Y.F.: Landscapes of Fear. Basil Blackwell Publisher, Oxford (1980) 11. Darby, H.C.: The regional geography of Thomas Hardy’s Wessex. Geogr. Rev. 38(3), 426– 443 (1948) 12. Gilbert, E.W.: The idea of region. Geography 45, 157–175 (1960) 13. Noble, A.G., Dhussa, R.: Image and substance: a review of literary geography. J. Cult. Geogr. 10(2), 49–65 (1990). https://doi.org/10.1080/08873639009478447 14. Brosseau, M.: Geography’s literature. Prog. Hum. Geogr. 18(3), 333–353 (1994). https://doi. org/10.1177/030913259401800304 15. Hones, S.: Text as it happens: literary geography. Geogr. Compass 2(5), 1301–1317 (2008). https://doi.org/10.1111/j.1749-8198.2008.00143.x 16. Rossetto, T.: Theorizing maps with literature. Prog. Hum. Geogr. 38(4), 513–530 (2014). https://doi.org/10.1177/0309132513510587 17. Philo, C.: More words, more worlds: reflections on the “cultural turn” and human geography. In: Cook, I., Crouch, D., Naylor, S., Ryan, J.R. (eds.) Cultural Turns/Geographical Turns: Perspectives on Cultural Geography, pp. 26–53. Prentice Hall, Harlow (2000)

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18. Jarvis, B.: Cultural geography and American studies. Lit. Compass 2(1), 1–7 (2005). https:// doi.org/10.1111/j.1741-4113.2005.00124.x 19. Tally, R.T.: Spatiality. Routdlege, London and New York (2013) 20. Cass, N., Faulconbridge, J.: Satisfying everyday mobility. Mobilities 12(1), 97–115 (2017). https://doi.org/10.1080/17450101.2015.1096083 21. Cresswell, T.: Mobilities I. Catching up. Prog. Hum. Geogr. 35(4), 550–558 (2011). https:// doi.org/10.1177/0309132510383348 22. Urry, J.: Mobilities. Polity, Cambridge (2007) 23. Jensen, O.B.: Flows of meaning, cultures of movements - urban mobility as meaningful everyday life practice. Mobilities 4(1), 139–158 (2009). https://doi.org/10.1080/ 17450100802658002 24. Bachelard, G.: La poétique de l’espace. PUF, Paris (1957) 25. Durand, G.: Les Structures anthropologiques de l’imaginaire: introduction à l’archétypologie générale. PUF, Paris (1963) 26. Gwiazdzinski, L.: La Nuit, dernière frontière de la ville. Editions de L’Aube, La Tour d’Aigues (2005) 27. Lefebvre, H.: The Production of Space. Basil Blackwell, Oxford (1991). 1st edn. 1974 28. Williams, R.W.: Night spaces: darkness, deterritorialization, and social control. Space Cult. 11(4), 514–532 (2008). https://doi.org/10.1177/1206331208320117 29. Van Liempt, I., Van Aalst, I., Schwanen, T.: Introduction: geographies of the urban night. Urban Stud. 52(3), 407–421 (2015). https://doi.org/10.1177/0042098014552933 30. ISTAT. Popolazione residente al 1 Gennaio. http://dati.istat.it/Index.aspx?QueryId=18550#. Accessed 15 Jan 2019 31. Copeta, C., Lopez, L.: The Territory and its Identity: the case study of Bari (Italy). Nordia Geogr. Publ. 36(4), 61–71 (2008) 32. Pearce, L.: ‘Driving-as-Event’: re-thinking the car journey. Mobilities 12(4), 585–597 (2017). https://doi.org/10.1080/17450101.2017.1331007 33. Lefebvre, K.: Invention as a Social Act. Southern Illinois University Press, Carbondale (1987) 34. Saunders, A.: Literary geography: reforging the connections. Prog. Hum. Geogr. 34(4), 436– 452 (2010). https://doi.org/10.1177/0309132509343612 35. Creswell, J.W.: Qualitative Inquiry and Research Design: Choosing Among Five Approaches, 3rd edn. Sage, Lincoln (2013) 36. Lynch, K.: The Image of the City. MIT Press Publication, Cambridge (1960) 37. Brosseau, M.: Des romans géographes. Le Harmattan, Paris (1996) 38. Chevalier, M.: Géographie et Littérature. Société de Géographie de Paris, Paris (2001) 39. Lévy, B.: Géographie et littérature. Une synthèse historique. Le Globe. Revue genevoise de littérature 146, 25–52 (2006) 40. Moslund, S.P.: The presencing of place in literature. In: Tally, R.T. (ed.) Geocritical Explorations, pp. 29–43. Palgrave Macmillan US, New York (2011) 41. Spinelli, D.: Il lungomare a Sud di Bari: gli studi. Adda Editore, Bari (2017) 42. Copeta, C.: Medieval Bari: a multiethnic city. Plurimondi IV(9), 139–164 (2011) 43. Farinelli, F.: Il Mediterraneo, la differenza, il differimento. Geotema 12, 57–62 (1998) 44. Carlone, G., Martinelli, N.: Bari e il suo Porto. Adda Editore, Bari (2017) 45. Cloke, P., Philo, C., Sadler, D.: Approaching Human Geography. Chapman, London (1991) 46. Gregory, D., Johnston, R., Pratt, G., Watts, M., Whatmore, S.: The Dictionary of Human Geography, 5th edn. Wiley-Blackwell Publishing, London (2009) 47. Tuan, Y.F.: Space and Place: The Perspective of Experience. University of Minnesota Press, Minneapolis (1977) 48. Alexander, N.: On literary geography. Lit. Geogr. I(1), 3–6 (2015)

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49. Lopez, L.: A geo-literary analysis through human senses. Towards a sensuous Camino geography. Emotion Space Soc. 30, 9–19 (2019). https://doi.org/10.1016/j.emospa.2018.11. 005 50. Barrows, A.: Time, Literature and Cartography after the Spatial Turn. Palgrave Macmillan US, New York (2016) 51. Allen, J.: Unsettling Cities. Routledge, London (1999)

Form, Structure and Identity of Places in the Reconstruction of the City. Aleppo and Mosul: A Comparison of Two Cases Domenico Chizzoniti1 , Flavio Menici1(&) and Tommaso Lolli2

,

1

Politecnico di Milano, Via. Ponzio 31, 20133 Milan, Italy {domenico.chizzoniti,flavio.menici}@polimi.it 2 Università La Sapienza, Via Flaminia 359, 00196 Rome, Italy [email protected]

Abstract. Recent political and economical instability in the Middle East has revealed the fragility of the artistic and architectural heritage of cities. As in Europe following the Second World War, the systematic destruction of architectural heritage is sadly now common practice in territories afflicted by armed conflict. These circumstances push the architectural discipline to question how to reconstruct the architecture of the city. Considering reconstruction as a process of transformation that continues along the generative principles of the urban structure, this brief paper seeks to identify the operative criteria pertinent to defining the new physical structure of the city. Such criteria are born of a critical reflection on various factors considered fundamental in design practice: historical knowledge of the building, recognition of invariable elements in the urban structure, and an analytical understanding of the structurality and the perceptive qualities of places. Specifically, this study takes the cities of Aleppo and Mosul as experimental verification of these theoretical assumptions: working firstly on the reconstruction of the monumental system of the souk, and secondly on the rehabilitation of a historical sector of the city, spread along the banks of the Tigris River. Starting from these two investigations, this research attempts to define forms (or forms of knowledge) of the urban phenomenon that might be generalized, capable of suggesting a possible development of techniques and of modes of intervention. Keywords: Critical reconstruction


Urban transformation
Urban identity

1 Introduction 1.1

Reconstructions

The theme of reconstruction is increasingly important within the discipline of architecture. The intertwining and the complexity of contemporary events mean an ever greater involvement of physical and territorial realities: on one hand, rapid climate change seems to only accelerate and intensify natural disasters and catastrophes; while from a social and political point of view, the international chessboard offers © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 556–565, 2021. https://doi.org/10.1007/978-3-030-48279-4_53

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increasingly complex scenarios of hostility and the deliberate and artificial destruction of the cities of mankind, enough to speak of urbicide. Having precautionary strategies to transmit the memory and values represented by places therefore becomes an essential skill in ensuring that this intangible heritage can be maintained and transmitted. On the other hand, from a historical-procedural point of view, it can be found that—beyond being disheartening at an anthropological level—deconstruction and reconstruction are an integral part of the lifecycle of cities, whether by natural or human causes: the image that we have today of cities such as Lisbon and Paris are inextricably linked to processes of reconstruction. Here, in a study aimed at investigating the methodological principles with which we might address the reconstruction of the city, it is unnecessary to evaluate the success or lack of success of these episodes in urban history, an act which itself would require the selection of several particular aspects and the formulation, arbitrarily, of a value judgment. As such, this piece of research proposes to investigate the presence of certain conditions that are considered essential to address prior to reconstruction projects, whereby the word reconstruction identifies a gesture aimed at a rehabilitation of the architectural artifact in its physical and symbolic condition. 1.2

The Identity of Places

A theme of great importance in the process of reconstruction is the recognition of the latent identity of places, or their intrinsic evocative force; Semerani [1] considers this sensitivity to be a crucial aspect in the planning of a project that holds both territorial strength and strength in its modes of settlement. It is, however, necessary to recognize that the identity of place does not end with its given nature, but also includes historicalsocial facts and the customs of a community’s population. Architecture has always been a vehicle and materialization of sentiments such as recognition, identification and belonging: a symbol, which among other things became evident in several interviews of the population of Mosul carried out by Benjamin Isakhan and Lynn Meskell [2] following destruction in the city due to clashes with ISIS. Speaking of the minaret of the Al-Nuri mosque, destroyed by ISIS before they left the city, one inhabitant reported: “[It] was an absolute disaster. I felt that we got the knockout [blow] to what remained of our civilization. This was one of the religious edifices and the minaret tells the history associated with the city […].” Accepting the risk of being viewed as cynical, it is our task to recognize the potential of a beginning and a future path, the opportunity to renew the qualities of some parts of the urban fabric; this operative logic aimed at a future vision of the city cannot be dictated by the mere fulfillment of contingencies, as Ernesto Nathan Rogers suggested [3] at the conference on the reconstruction of postwar Italy. “Our first task is to establish which projects are urgent and which are less urgent; […]. Urgent construction must for no reason compromise permanent construction: a badly plastered leg disfigures the limb for life” [translation]. 1.3

Objectives

The process of reconstruction must therefore be understood as an opportunity for an urban transformation that involves first a cognitive process, and then restitution. On the

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other hand, it is legitimate to sustain that in order to recognize the strength in the identity of a place, it is essential to read the urban fabric beyond its superficial characterizations and grasp its structuring elements; the articulation between public and private spaces, the relationship between urban fabric and monuments, and the relation between materials and construction solutions are among the aspects that characterize the settlement-related peculiarities of various contexts, and that could be taken into consideration.

2 Case Studies 2.1

Historical Precedents

The outcome of reconstruction operations can generally be classified within an interval whose limits may be summarized as an excess of mimicry, on the one hand, and being excessively self-referential on the other (with self-referential meaning a deliberate or coincidental lack of reference to the built environment and the urban morphology). As an example, we could speak of mimicry with regard to the case of philological reconstruction in Warsaw, made possible by the study of several views painted by Canaletto and by iconographic research carried out in the photographic archives. As understandable as the desire to transmit the forms of historic Polish architecture to future generations may be, it is evident that this method of reconstruction preeminently emphasizes the figurative nature of the city’s architecture not only over the nature of its settlement, but also over the historical, social and economical implications of which architecture is both memory and symbol. In regard to the cases of self-referentiality we can look at examples such as the Collective Plan put together by Hans Scharoun for the city of Berlin in 1946, or the reconstruction of Beirut starting from the early 1990s: both projects, although having decidedly different ideological assumptions, are characterized by a clean demarcation between that which is historical fabric, or its memory, and the settlement and figurative characteristics foreseen by the new plans. Due to excess or lack of ideal and symbolic weight, in these cases the design practice tends to not consider the possibility of conceiving the present as an act of updating the past, as remarked by Rogers [4]: “The future depends in part on us, as we depend in part on the past: tradition is this perpetual flow and being modern is to consciously feel that we are participating, as active elements, in this process” [translation]. 2.2

Aleppo and Mosul

The interest of this study therefore consists in the promotion of an alternative methodological direction, discerning the operative principles and the techniques that are able to contain and receive a solid and preconceived set of values. The cities considered here are in fact paradigmatic precisely because they have been deliberately mutilated and depleted as cultural symbols. Addressing the reconstruction of highly symbolic and representative portions of the city—such as the Souk of Aleppo or the Old City of Mosul—requires particular attention to the process of acquiring knowledge of places and of meaning, with the objective of transforming and re-proposing the value

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and the original representative capacity of buildings through a new form. As such, this process offers the opportunity to hypothesize and experiment with a methodology that identifies certain fundamental requirements in dealing with the reconstruction of urban structures damaged or gravely mutilated by events of war (Fig. 1).

Fig. 1. Left: Superimposition of the settlement systems that conditioned the urban form of the city of Aleppo. Right: The historic center of Mosul, showing the perimeter of the ancient city walls, the main monuments and the caravan routes that cross the city. Drawing by the authors.

3 Operations 3.1

Historical Knowledge

It is legitimate to assume that knowledge is a fundamental condition of the reconstruction process, either of the single building or of the urban phenomenon, aimed at an analytical comprehension of the physical environment in both its phenomenological aspects and its generative principles. In defining the future physical structure of the city, an analytical and conscious understanding of the elements and relationships that have characterized the form of the architectural object would become appropriate. The exercise of memory represents an active cognitive tool with respect to the discipline of composition, capable of establishing theoretical and technological limits on architectural invention out of the historical process. This occurs when the study of the generative principles of an architecture and of an urban form reveals the conditions that determined either the physical aspect of the building or its spatial and figurative characteristics. On the other hand, according to Rogers [5], “the cognitive and critical task reveals in the examined monument the essential meaning of the phenomenon and it is translated into a readiness on our part, able to be applied creatively in new inventions—unprecedented, unmistakable, and current” [translation]. This could potentially also be valid in examining the city as a more or less complex work of architecture and of engineering that grows and changes with time. In particular, in the

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reconstruction of a city such as Mosul or Aleppo, we could subdivide the process of historical knowledge into two phases: urban-territorial, aimed at analyzing the settlement principles that characterized the evolution of the urban phenomenon over time; and typological-structural, focused on the study of formal or constructive characteristics recurring in the main building types. 3.2

Thinking in Typological Elements

Historical knowledge of the architectural artifact allows for a greater awareness of the relationship between the form of architecture and the form of the city, and therefore of the regulatory relationship between typology and morphology that constitutes the settlement matrix of the urban phenomenon. This understanding of the physical environment does not determine a taxonomic use of the forms that recur in an urban structure, whereby building typology is employed as a tool for defining an anthology of pre-established formal models, but rather the recognition of the degree of experimentation promoted by typological thought. Accordingly, the practice of reconstruction should adopt, operationally, those modes of spatial use recurring in the long-standing typological elements that have characterized the architecture of a given context. In our case, this would mean critically accepting the compositional principles that govern the organization of space in the main building types of Islamic architecture. 3.3

Reading of Open Space

The transposition of such modes of spatial use does not end with the critical use of the typological tool. Beyond this, the generative knowledge of building types should in fact be integrated with an analytical reflection on the relation between open space and built space. As such, in Aleppo as in Mosul, in considering the relationship between architecture and urban space it would be lawful to reaffirm the morphological uniformity that characterizes the historic center of the Middle Eastern city through an inversion of the figure-background relationship. This would mean abandoning the tendency in modernist urban planning of considering the architectural object as an independent figure within a potentially indefinite space, and instead accepting the idea that the figure—and therefore the form of the building—is a consequence of a will of form imposed by the urban structure, its voids and its internal discontinuities. 3.4

Form and Structure of Collective Space

In the building of the city and of architecture, beyond deciphering the relationship between the particular and the universal (that is, between the typological and the morphological condition of the urban phenomenon), it is necessary to operationally consider the structural and formal characteristics of the city’s collective spaces “as a place of relation between the urban structure and the architectural solution” [6] [translated]; to confirm, in other words, the urban order of the monument as a meeting place between the private and collective dimension of space in the design of buildings intended for collective use. In the cases examined here, it is therefore necessary to critically adopt the functional attitude demonstrated by the principal monuments of the

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city in becoming places of exchange and contact for citizens. One might think, for example, of the Grand Mosque of Aleppo, standing on the site of the Hellenistic agora precisely to confirm this centrality of the monument in relation to both city life and the urban core. 3.5

Perception of Collective Space

Considering the city in its formal expression is now a necessary but insufficient condition in the process of reconstruction. It would in fact be appropriate to evaluate the perceptive elements of urban space, with the goal of recreating that system of images that qualitatively defined the spaces of the city. As evidenced by Rudolf Arnheim “Instead of trying to discover an objective order in the whole and assigning individual sights their proper location within that order, the mind derives from such circumstances an order of its own. […] In a “grown” setting the objective order is always partial. Villages and towns of this kind come about by sequences of events whose logic is largely historical” [7]. In this sense, the figurative and formal choices made in the reconstruction of historic sections of the cities of Aleppo and Mosul should take into account the texture of images and views constructed over time, thus trying to recreate a scenario able to evoke those irrationalities that make up the urban structure. This means confirming the figurative identity that characterized the architecture of the city.

4 Description of the Settlement Models 4.1

Model and Project

This research accepts the construction of potentially valid settlement models as an experimental verification in facing the reconstruction of the cities of Aleppo and Mosul: working, in the first case, on the restoration of the monumental structure of the Souk and, in the second case, on the reconstruction of a section of the historic city located along the banks of the Tigris River. This study therefore doesn’t aim to provide an architectural solution through the formalization of a design proposal, an act that would inevitably end the discussion rather than open up the way to new possible experiments. The construction of models of the reconstruction of the Souk and the fortified city of Mosul seeks to be emblematic of a series of compositional procedures potentially acceptable in the transformation of the urban structure, experimentally deciphered by an analysis of the principle settlement factors that, over time, has conditioned the construction of the architectural phenomenon. 4.2

The Souk of Aleppo

In Aleppo, the model of reconstruction of the Souk finds validity by evoking the spatial qualities visible in the form of the architectural structure, characterized mainly by a linear extension of the pathways and spaces related to trade. On the other hand, the internal structure of the bazaar is inserted along the urban axis that collects the citadel to the Bab Antakya gate, which, over the centuries, has played the role of settlement

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matrix of the urban structure: first as the ancient via recta of Hellenistic times, then as decumano in the Roman period. This linear structure of the architectural system of the Souk thus suggests setting up the settlement system of the reconstruction project as a succession of formal units, organized along the urban axes built by the extension and integration of existing spaces of movement (Fig. 2).

Fig. 2. Reconstruction of the settlement model of Aleppo’s bazaar. Going backward: c. The plan represents the pre-civil war situation. It stands as a necessary step for the historical and typological knowledge of the city and its generative principles; b. The diagram highlights the open spaces (in black) and their relations with buildings; a. The diagram extrapolates the structural bond between open spaces, monuments and connective tissue in areas around the Souk. Such an abstraction defines a series of characteristic relationships which should be taken into account for a subsequent design approach. Drawing by the authors.

4.3

The Fortified City of Mosul

An analogous mode of reasoning can also be considered valid in the reconstruction in the historic center of Mosul, while admitting that, as much as it is a city of Islamic foundation, its morphologic and settlement characteristics differ from those of Aleppo where (as previously mentioned) the construction of the urban phenomenon took place through the overlapping of settlement structures. In the case of Mosul, and more generally in all cities of Islamic foundation, it is acceptable to suppose that the growth

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of the urban organism occurred around the strongholds of settlement identified by the main monuments of the city, such as the mosque, the governor’s palace, the trade system of the bazaar, and caravan routes [8]. As such, beyond accepting the archetype of the enclosure as a normative principle that regulates the relationship between urban morphology and building typology, the reconstruction of the historic center of Mosul should operationally recognize the ordering role of the monument within the urban structure. This would potentially also now be valid in the reconstruction of those sectors of the historic city that stretch along the riverbanks, where the buildings make up the urban front of the city by grafting directly onto the preexisting nature of the walls. In this way, as an ordering element of a new settlement structure, their reconstruction could adopt that presence/absence of the ancient wall system, by now no longer recognizable in being partially enmeshed within the urban organism (Fig. 3).

Fig. 3. Critical analysis of a sector of the urban fabric in Mosul located along the Tigris River’s bank. a. Site location within the Old Town of Mosul; b. Sector of the urban structure chosen as a case study; c. Dimensional relationship between figures and background in the existing urban structure; d. Hypothesis of a typological montage; e. Dimensional relationship between figures and background in the montage hypothesis. Drawing by the authors.

5 Assessments Starting from these two investigations in Mosul and Aleppo, this research seeks to methodologically collect appropriate tools for the reconstruction of entire monumental portions of cities mutilated by events of war, in an attempt to arrive at forms of generalized knowledge—or at least an attempt to generalize the results of the case studies for a possible development of techniques and modes of intervention. It is also, first and foremost, a question of understanding if and how the form of the historic and monumental settlement is still able to positively condition the development and the growth of the city. Here we must be aware of how, despite differing geographical positions and historical, social, economic, and religious connotations, the basic character of the two cities depended not only and exclusively on internal factors due to the adoption of a figurative and formal code, but rather also on a specific functional and civil vocation, clearly aligned with factors related to settlement at a territorial scale.

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Therefore, by way of example, the system of central places located at one or more key points coinciding with monuments—mosque, madrasa, convent, hospital, caravanserai, —or with certain morphological features of the citadel (in the case of Aleppo) or of the fortified center (in the case of Mosul), render all other elements structurally subordinate in comparison to those that contribute generally to the formation of the settlement. 5.1

Recovery of Invariable Elements

Secondly, it is necessary to understand the role of the elementary parts of the city as structures invariable over the course of physical transformations of the settlement. These parts, formally recognizable, have taken on a paradigmatic role in the construction of the city: the question of the typological structure of the invariable elements. Several themes therefore emerge in the reconstruction of the cities of Aleppo and Mosul—themes that form the basis, in a structural sense, of the nature of the settlement, as in the case of both religious and civil architecture (mosque, madrasa, caravanserai), for example in their mode of adopting the internal courtyard type (at times including a basin) through which various systems of delimitating space are experimented with simultaneously: the closed wall, the īwān wall, the arched portico, and the possible combinations obtained through alternating these elements on the four sides of the courtyards themselves. A large number of variants are thus created according to this lasting configuration, especially in mosques and in madrasas, all with the common tendency of including at least one īwān on the principal axis of symmetry. 5.2

Continuity of Settlements

Thirdly, it is necessary to evaluate, within these reconstruction hypotheses, the role of progress of these elementary parts of the city in continuity with the nature of the historic settlement. This evaluation is necessary not so much to reaffirm certain characteristics of the historic settlement’s structure, employed to achieve figurative mimicry, but rather in defining a conceptual interval that itself provides the definition for two elements essential to reconstruction: that of place—the independent variable in the succession of resources of the past and the availability to also accommodate those of the future—and that of measurement, relating to a double frontality (external, in essence representative of suitability to context, and internal, as an autonomous figure in the form of quantities as opposed to a predetermined program of activities). All of this in order to isolate a few typical characteristics of the settlement and render them susceptible to transformation, redefinition, and re-appropriation, along with the identifying elements of the local urban culture and in the construction of the modern, contemporary city, continuous with that of the historic city.

6 Conclusions This paper searches for working tools able to contend how the identity of cities, either latent or explicit, defines an invariable character in the process of reconstruction. The cases of Mosul and Aleppo demonstrate how, following two different hypotheses of a

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conceptual approach to the problem of reconstruction, the elements perceived as central to the identity of history and of a community’s local culture are those easily recognizable in the invariable structure represented by the principle fatti urbani of a city. This is an aspect that may be generalized and that, with respect to reconstruction techniques, remains unconditioned with regard to the use of innovative methods, tools, and materials, rather than the use of more traditional ones. This condition of stability of principle characteristics—characteristics that represent social, aesthetic and cultural aspects in the identification of architectural space—allows for the formulation of theories of reconstruction coherent with both morphological and typological invariants, and with stable cognitive maps capable of reasserting the recognizable identity of places absent due to destruction. This holistic vision of the environment, preserving information relative to the form of urban elements in the environment, the global form of streets, open spaces, collective buildings and Euclidean distances, the measurement of things, belongs not only to the more conservative hypotheses of orthodox reconstruction of “where it was, as it was,” but also (and especially) to those more experimentally transformative hypotheses that preserve the essence and identity of places.

References 1. Semerani, L.: Percorsi teorici e sperimentazioni accidentali, lesson held in the course of “Teoria della Progettazione Architettonica Contemporanea”, proff. Enrico Bordogna, Tommaso Brighenti, Politecnico di Milano, 26 November 2019 2. Isakhan, B., Meskell, L.: UNESCO’s project to ‘Revive the Spirit of Mosul’: Iraqi and Syrian opinion on heritage reconstruction after the Islamic State. Int. J. Herit. Stud. 25(11), 1189– 1204 (2019) 3. Rogers, E.N.: Esperienza dell’architettura, 2nd edn., p. 75. Skira, Milano (1958) 4. Rogers, E.N.: Esperienza dell’Architettura, 2nd edn., p. 254. Skira, Milano (1958) 5. Rogers, E.N.: Gli elementi del fenomeno architettonico, 5th edn., p. 32. Laterza Editore, Bari (1961) 6. Aymonino, C.: Piazze d’Italia. Progettare gli spazi aperti, p. 20. Electa, Milano (1988) 7. Arnheim, R.: The Dynamics of Architectural Form, p. 115. University of California Press, Los Angeles (1977) 8. Bianca, S.: Urban Form in the Arab World. Thames & Hudson Ltd., London (2000)

The Valuation of Unused Public Buildings in Support of Policies for the Inner Areas. The Application of SostEc Model in a Case Study in Condofuri (Reggio Calabria, Italy) Francesco Calabrò, Federica Mafrici, and Tiziana Meduri(&) Mediterranea University, 89124 Reggio Calabria, RC, Italy [email protected]

Abstract. The present study introduces an experimental model of economic feasibility Project with the aim of enhancing unused public buildings in the hinterlands of the Greek area. It has been used the SostEc model and in order to highlight its effectiveness as an evaluative tool to be used throughout the decision-making process. After the definition of the enhancement project of two properties, located in Condofuri (metropolitan city of Reggio Calabria – Calabria - Italy), we introduce two management models that highlight both the advantages and disadvantages resulting from the choice to adopt a profit management model from a Mixed model having a no-profit component. Keywords: Evaluation
Public-private partnership Cultural heritage
Inner areas


Economic feasibility


1 Introduction The opposition to the progressive desertification of Inner Areas is one of the objective of territorial policies on a European, national and regional scale. Achieving this goal requires an integrated approach, which let simultaneously face problems of a different nature: infrastructure, economic, social, etc. In the Inner Areas of Calabria there are a huge number of unused buildings, public or of public value whether they are equipped with special historical and architectural features. The conditions of abandonment of these buildings significantly contribute to the degradation of inhabited centres: recovering them can be a key factor in the improvement of the architectural-urban quality in order to raise attractiveness, which in turn is a strong element in the fight against depopulation. However, the recovery desire of the unused buildings deals often with management difficulties: frequently, the functions assumed for their rescue cause unsustainable management costs for local administrations [1, 2]. Two basic requirements ensue from this: – Identifying those functions coherent with the system of real needs of citizens and with the general objective system of local development; – Identifying the optimal conditions for the involvement of private individuals in the investment and/or the management. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 566–579, 2021. https://doi.org/10.1007/978-3-030-48279-4_54

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In order to make a conscious choice and reduce the risk of faults, the public decision-maker needs to know in advance the economic implications of both the possible destinations for the goods concerned and the possible forms of public-private partnership. The SostEc model developed as part of the research activities of LaborEst, the economic-appraisal laboratory, active at the Mediterranean University of Reggio Calabria, allows to: – deduce the intended use of real estate from an objectives’ system that takes into account the objective conditions of the territories and the subjective indications of the stakeholders; – check the feasibility/economic sustainability of the intended uses in relation to different management models which imply different forms of public-private partnership. For brevity, please refer to Calabrò, Della Spina (2019) [3] the detailed illustration of the SostEc model; this article illustrates a case study concerning two buildings located in Condofuri, in the Greek Area of Reggio Calabria (Italy), a pilot area in the National Strategy for Internal Areas. Consistent with the provisions of the model used, the first part regards the knowledge of the characteristics of the territory and the recognition of the objectives pursued by the policies in place for local development. This phase has been able to suppose the location in the two buildings of a “Centre for Agri-food Technology”. The following analysis of some best practices was used to define the operation of the Centre and the connected implications on investments and on the two different possible management models. The next step then to estimate costs and revenues being managed. Applying the model ends with the examination of the feasibility/ sustainability of the two scenarios, using two types of Income Statement, structured differently from the usual corporate accounting, in order to respond to the specific need for economic evaluation of the project.

2 A Specific Enhancement Project for the Territory The SostEc model is the experimental model of the economic feasibility Project concerning the evaluation of unused public buildings; it can be, as well, considered as an effective tool in the whole decision-making process. Besides, people can adopt it to identify the intended uses corresponding to the territory needs, the local development policies and the inherent characteristics of the property to be enhanced. Actually, the first step of the model development consists of setting up those knowledge in an effort to identify the main problems and the vocations in the referring context and naturally, these lead to gain a greater awareness of the intended choices [4, 5]. 2.1

From Territorial Analysis to Identification of the Development Strategy

The territory, with its landscape, represents the synthesis of all the physical, cultural, natural, settlement and immaterial elements and describes its identity and uniqueness

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[6]. The analysis of such contest is therefore essential to understand the ongoing territorial dynamics and identify those endogenous resources from which new development dynamics may arise. The first step to create the cognitive framework is the statistical analysis collecting the most representative and exploitative data of the demographic, employment, social, economic and productive aspects, linked to the subsequent cognitive analysis of the cultural heritage - material and immaterial - featuring the reference area. [7, 8]. As far as resulted from a critic evaluation, the SWOT analysis can reveal the strengths and weaknesses, and reveal those chances easily able to lead to a rebirth of territorial development [9]. SWOT analysis grecanic area Strengths - Cultural heritage of the rich and heterogeneous area characterized by strong identity elements that are immediately recognisable and exploitable; - Rich and diversified environmental heritage for flora and fauna present; - Presence of unique traditional crops, such as bergamot; - Presence of good quality agricultural production and food (honey, oil, wine, liqueurs, cheeses, meats, preserves, berries); - Awareness, by local institutions and individual, of the importance of local resources for the development of the area through common work

Opportunity - Intervention tools aimed at development, including SNAI and POR Calabria; - Growing demand for niche sustainable tourism; - Growing demand for artisanal and typical food products; - Opportunities deriving from the presence and development of the activities of Aspromonte Park Authority

Weakness - Environmental degradation deriving from the proliferation of buildings on the coast and from abandoned industrial areas; - Degradation of the hydraulic-forest system of the area with consequent situations of hydro-geological instability; - Degradation of some centres and villages in the inner areas due to the continuous depopulation, the lacking accessibility and the insufficient level of services to people and communities; - Low protection of cultural heritage; - High unemployment rates; - Territorial dispersion and small size of farms; low level of cooperation and integration between them; - Underestimation of the potential of craftsmanship and typical products of the area Threats - Marginalization processes in the Calabrian territory; - Regional context characterized by the presence of organised crime in the absence of acceptable institutional policies on development and employment; - Potential decrease in tourist demand; - Downgrading of the “Tito Minniti” metropolitan city’s airport of Reggio Calabria and consequent lack of adequate connections with other territories

Therefore, the intake survey showed how remarkable the agricultural sector is for the entire economic system of the Greek area. To find a better development strategy, it was therefore considered the agricultural and agri-food production as appropriate in order to relaunch the economy of the Greek area through the activation of organisation

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and technological innovation processes that can stop depopulation by activating new forms of employment and renew the sustainable development mechanisms [10, 11].

3 A Centre for Agri-Food Technology in the Greek Area The outlined development strategy determines, as a priority, the need to enhance two unused properties, located in the village of Condofuri, that are essential evidences of the architectural-urban identity of both municipality and the entire area. We are referring to Palazzo Crifò (formerly a pharmacy) and Palazzo Mandalari, the former municipal headquarters, once the cores of the administrative and economic life of the Municipality [12]. Through the recovery and re-functionalization of both properties, the local economy of the village, otherwise destined for depopulation, can be relaunched as well as the mechanisms for the enhancement of the material and immaterial resources of the territory are activated. These actions also contribute positively to the improvement of environmental and landscape conditions and even to the goods and territory accessibility and usability. The project envisages the creation of a Centre for Agri-food Technology granting support services to companies in the agri-food supply-chain of the Metropolitan City, in order to increase their productivity from a sustainable perspective and through the use of innovative digital data collection and analysis tools [13, 14]. The activities planned within the centre are in fact of various manner: agro-food analysis laboratory, research activities in the agro-food field, decision support with precision farming tools, such as DSS, as well as technical assistance, tutoring and training for insiders. 3.1

The Need for an AdP - Precision Agriculture

Increasing size and structure of farms, automation strategies and climate changes are telling us that technological innovation needs to be integrated in the production processes of modern agriculture. Predictions on population growth and therefore the need to increase food production collide with the need to reduce the amount of resources used, such as water, energy and soil. The demand clarifies the rising of the efficient use of production factors, so precision agriculture is certainly the most important tool available today [15]. Precision agriculture (AdP) is defined as “business management” (agricultural, but also forestry and zootechnics) based on the observation, measurement and response of the set of whole variables (inter-and intra-field, on both quality and quantity side) implied in the production system. This is in order to define a decision support system for the entire company management, with the aim of optimizing the returns in terms of advanced climate and environmental, economic, production and social sustainability [16].

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The topic, known as precision farming or precision agriculture, was chosen for its representation of an innovation of great interest, useful for getting answers to some of the most urgent problems, namely: – Greater production; – Less use of resources; – Reduced production costs. AdP’s methods promise a quantitative and qualitative increase in agricultural production while using fewer resources (water, energy, fertilizers, pesticides etc.). The aim is to limit costs, reduce environmental impact and produce food in greater quantities and of higher quality. AdP’s methods are mainly based on a set of technologies including: DSS, new sensor technologies, satellite navigation, location technologies and the Internet of Things. These procedures involve four implementation phases: data monitoring (environmental, production, soil, mechanical, etc.), analysis, decision/action and control. The DSS (Decision Support System) allows a more rational use of technical means, in terms of both quality and quantity, and gives farmers the real opportunity to implement integrated defenses and provide justification for their decisions [16, 17]. The target of the Centre for Agri-food Technology is sectoral but services are accessible for a variety of users: from big to small and medium-sized agrofood companies, from sector workers to those farmers who want to grow their knowledge about innovative and sustainable agriculture. In Italy, medium- and smallsized companies account for a huge part of the total of farms and of the agricultural area used. The challenge of Precision Agriculture must therefore concern not only companies already structured but also those that, through a few but effective interventions, can also be reorganised with specific aggregation tools. It should be noted that AdP is grafted within territories characterized by productions of high distinctive and typical quality. The technological content introduced has to take into account production methods and processes enhancing these aspects. In Italy, the development of the AdP is in line with the EU development trends, highlighting a commitment meant to increase rapidly over time. 3.2

The Best Practices Identified

The cognitive analysis cannot be considered concluded without careful observation about successful situations in line with the stated purpose for the development strategy of the Greek Area. Therefore, the most relevant procedures have been carried out getting good results in relation to the established goals. This meets the growing interest of the agricultural and consumers world and focuses on greater sustainability of production. • Hort@, Spin-off of the Università Cattolica “Sacro Cuore”, born in 2008 with five founding members from the world of research and production. It is a permanent platform operating in the Piacenza area. It employs companies conducting research and testing innovation practices on the enhancement of results coming from the agri-food sector. These practises works with the decision support systems (DSS) for sustainable management of crops based on the new ‘Information & Communication

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Technologies (ICTs). It moves the technological innovation towards production setting at national and international level, and it designs, develops and includes new productive itineraries, goods or technical means to be placed on the market [18]. • Agricolus. It is a cloud platform created to sustain and optimize the farmers and operators work in the agricultural world. It results from decades of experience in developing applications for the company management and is one of the leading examples in Europe. It uses innovative data collection and analysis technologies for precision agriculture, such as satellite images to check the vigor and hydric stress indices of crops. Moreover it works with forecast models for phytopathies, phenology, irrigation and infestation risk alert; it gives decision support to choose the best alternative meeting the specific needs of the crop and manages the agronomic part to record and analyze data relating to the fields in a simple way, including traceability and integration with agricultural machinery [19]. • Smartisland. It is an innovative startup born in 2014, with registered office in Niscemi, in the province of Caltanissetta. Despite being the latter, it aims to create and distribute new technologies able to allow consumers and companies in the food supply chain to approach to the world of agri-food in a more effective and technological manner. The platform allows users to collect climate data in the field and to publish them on the web and mobile device. Furthermore, with the support of the management modules, it provides the farmer with information on yields, fertigation status and financial performance; and to the end consumer, on the other hand, it guarantees all the information about the products traceability and their cycle production [20].

4 The Public Private Partnership: Proposed Management Models The need to address the public resources lack for the management of heritage-related activities leads to the consideration of partnership forms with private entities in order to meet the needs of the territory [21, 22]. Even in this situation, the Sostec model is useful in identifying the possible form of involvement of privates and setting the economic conditions related to the basis of the partnership. If the private is just the manager of the intervention, its sustainability is verified, if he is also a promoter, it is necessary to establish whether there is a need for public co-financing of the investment and, in this case, the feasibility of the intervention is verified. The identification of the form of private involvement, through the SOSTEC Model, takes place declaring the evaluation again, in order to identify feasible and/or sustainable solutions, as to dismiss those that do not possess these requirements. Two scenarios were provided for the management models of the Centre for AgroFood Technology. In the first case, management is in the hands of a profit entity, also promoter of the intervention, which obtains noteworthy revenues from the activities

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carried out. It is therefore a profit model (P) as it pursues a profit-oriented purpose and must obtain adequate revenues to cover high fixed costs. With this type of management, there is a greater efficiency compared with public subjects and a flair flexibility characterizes those who are privately profitable. In the second situation we used the management model is Mixed (M) with which economic activities are managed by a non-profit entity. In the aforementioned model, profit purposes are not pursued and as a result, the profits obtained can be reinvested for organisational purposes. Besides, non-profit entities are characterized by high flexibility, adequate skills and low running costs. Even with management models already defined, they may vary over time. In fact, it may happen that initially the management is launched by a non-profit entity as a voluntary activity. When revenues reach adequate levels, the same person can turn the business into an economic activity or play the role of start-up for the birth of an entrepreneurial subject. Moreover, it is necessary to check what a territory is able to express from the managers perspective. This verification of the financial economic balance of the management permits informed choices to be made, thus reducing the chances of error and giving greater transparency to the decision-making process. 1 Chance 1 – Profit Model (P) Assuming the profit management model (P), the economic-financial balance occurs only if an adequate profit margin is guaranteed, expressed from Table 1, 2, 3, 4 and 5. This model has high fixed costs for human resources and is not applicable whether the activities revenues are not significant. In the case in question, the manager is also the promoter of the intervention and makes use of a share of public co-financing for the recovery of the properties and the start of activities.

Table 1. Capital composition and annual mortgage payment. Quote % Total investment 100% €1.832.596,48 Equity capital 50% €916.298,24 Debt capital 20% €366.519,30 Public co-financing - capital contribution 30% €549.778,94 Residual value at the end of the life cycle considered 15% €180.092,79 Calculation of annual mortgage payment Debt capital €366.519,30 Sample interest (TA) 3% Skyline time (years - A) 10 Annual installment amount €38.283,89

The Valuation of Unused Public Buildings in Support of Policies Table 2. Estimated annual revenue when fully operational Sales revenue example 1 Sales revenue example 2 Additional agronomic consultancy Training course 25 h Training course 30 h Agronomic analysis (chemical water analysis) Agronomic analysis (soil chemical analysis) Total - sales revenues

Unit Price €580,00 €580,00 €56,00 €310,00 €370,00 €147,00 €247,00

Quantity Proceeds 485 €281.300,00 350 €203.000,00 240 €13.440,00 52 €16.120,00 26 €9.620,00 480 €70.560,00 240 €59.280,00 €653.320,00

Table 3. Human resources committed Title Unit CEO 1 Administrative assistant 2 Sales clerk 1 Marketing consultant 1 Agronomist 3 Specialist laboratory employee 1 Computer engineer 1 Technical 1 Analytical estimate of the cost of human resources Title Unit Administrative manager 1 Administrative assistant 2 Sales clerk 1 Marketing consultant 1 Agronomist 3 Specialist laboratory employee 1 Programmatore informatico 1 Technical 1 Total annual cost of human resources

Full time (F)   

Part time (P)

     Unit cost €46.680,00 €18.205,80 €21.200,00 €7.200,00 €28.500,00 €16.948,44 €15.225,00 €6.756,00

Total cost €46.680,00 €36.411,60 €21.200,00 €7.200,00 €85.500,00 €16.948,44 €15.225,00 €6.756,00 €235.921,04

Table 4. Estimate of other annual operating costs for services Cost item Annual cost Utilities €8.200,00 Cleaning €9.500,00 Other expenses for ordinary maintenance €3.500,00 Cloud data storage €4.800,00 Missions €15.000,00 Total other annual running costs €41.000,00

573

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Table 5. Estimated annual operating costs for raw materials, subsidiary materials, consumables and goods Cost item Laboratory accessories Sensor packages Information and advertising material Total annual operating costs for fully operational consumer products

Annual cost €20.000,00 €24.000,00 €9.000,00 €53.000,00

Chance 2 – Mixed Model (M) Assuming a Mixed management model (M), the non-profit manager carries out forprofit activities, considered as economic activities, from which, however, he does not make any profit; expressed from Table 6, 7, 8, 9 and 10. Leftovers that can be generated by the management activity cannot be distributed among members but must be set aside for all purposes consistent with the manager’s purposes. The non-profit entity is equal to a Profit entity in terms of cost structure, as the human resources involved must be paid according to the provisions stated for the tasks’ performance. However, for this specific intervention hypothesis, the cost for the management, which will correspond to a voluntary activity, was not considered. As indicated in the following tables:

Table 6. Capital composition and annual mortgage payment Quote % Total investment 100% €2.092.333,53 Public capital 100% €2.092.333,53 Private capital 0% €0,00

Table 7. Estimated annual revenues when fully operational (non-profit entities and activities) Unit price Quantity Sales revenue example 1 €580,00 485 Sales revenue example 2 €580,00 350 Additional agronomic consultancy €56,00 240 Agronomic analysis (chemical water analysis) €147,00 480 Agronomic analysis (soil chemical analysis) €247,00 240 Total 1) sales revenues Other revenues and income for non-profit entities (membership fees) Total - value of production for non-profit entities

Proceeds €281.300,00 €203.000,00 €13.440,00 €70.560,00 €59.280,00 €627.580,00 €3.600,00 €631.180,00

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Table 8. Human resources committed Title Unit Full tune (F) Part time (P) Administrative director 1  Administrative assistant 2  Sales clerk 1  Marketing Addetto alle vendite 1  Agronomist 3  Specialist laboratory employee 1  Computer engineer 1  Technical 1  Analytical estimate of the cost of human resources Title Unit Unit cost Total cost Administrative director 1 €0,00 €0,00 Administrative assistant 2 €18.205,80 €36.411,60 Adetto alle vendite 1 €10.600,00 €10.600,00 Marketing Consultant 1 €7.200,00 €7.200,00 Agronomist 3 €28.500,00 €85.500,00 Specialist laboratory employee 1 €16.948,44 €16.948,44 Programmatore informatico 1 €15.225,00 €15.225,00 Technical 1 €6.756,00 €6.756,00 Total annual cost of human €178.641,04 resources

Table 9. Estimate of other annual operating costs for services Cost item Annual cost Utilities €8.200,00 Cleaning €9.500,00 Other expenses for ordinary maintenance €3.500,00 Cloud data storage €4.800,00 Missions €15.000,00 Total other annual running costs €41.000,00

Table 10. Estimated annual operating costs for raw materials, subsidiary materials, consumables and goods. Cost item Laboratory accessories Sensor packages Information and advertising material Total annual operating costs for fully operational consumer products

Annual cost €20.000,00 €24.000,00 €9.000,00 €53.000,00

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5 Income Statement of Project: A Tool to Check the Investment Profitability and the Intervention Sustainability 1 chance 1 – Profit Model (P): Table 11 Table 11. Economic Statement of Project (CEP) for discounted cash flow analysis to verify the return on investment Economic Statement of Project (CEP) for discounted cash flow analysis to verify the return on investment €0,00

1

2

3

10

€293.275,35

€437.724,40

€653.320,00

€653.320,00

years TOT

A) Production value: 1) Revenues from sales 5f) Altri ricavi e proventi: Invest.: Quota cofinanziamento pubblico - Contributo in conto capitale

€549.778,94

Total A - Production value

€549.778,94

€5.957.559,75 €549.778,94

€293.275,35

€437.724,40

€653.320,00

€653.320,00

€6.507.338,69

6) For raw materials, subsidiaries, consumables and goods

€23.791,70

€35.510,00

€53.000,00

€53.000,00

€483.301,70

7) For services (utilities; repairs; cleaning; other ordinary maintenance services)

€18.404,90

€27.470,00

€41.000,00

€41.000,00

€373.874,90

€235.921,04

€229.165,04

€229.165,04

€229.165,04

B) Production costs:

9) For the staff

€2.298.406,40

10a) Depreciation/equity capital initial investment for the property

€600.309,30

€600.309,30

10b) Depreciation/equity capital initial investment for equipment and furnishings

€308.010,65

€308.010,65

12) Provisions for risks

€22.445,00

€33.500,00

€50.000,00

€50.000,00

€455.945,00

13) Provisions for extraordinary maintenance (life cycle of the property years: 30)

€17.965,26

€26.813,82

€40.020,62

€40.020,62

€364.944,03

€455.945,00

€22.445,00

€33.500,00

€50.000,00

€50.000,00

€908.319,95

€340.972,90

€385.958,86

€463.185,66

€463.185,66

€5.340.736,98

−€358.541,01

−€47.697,55

€51.765,54

€190.134,34

€190.134,34

€1.166.601,71

€38.283,89

€38.239,88

€38.239,88

€38.239,88

€382.442,80

€38.283,89

€38.239,88

€38.239,88

€38.239,88

€382.442,80

-€85.981,44

€13.525,67

€151.894,46

€151.894,46

€784.158,90

€75.947,23

€75.947,23

€607.577,84

14) Different management charges Total B - Production costs Difference between value and Production costs (A - B) C) Financial income and expenses 17) Interest and other financial charges; mortgage payment Total C - Financial income and expenses Result before the taxes (A − B − C) 20) Operating income tax 21) Profits (losses) of the project during the year

-€358.541,01

-€85.981,44

€13.525,67

€75.947,23

€75.947,23

€176.581,06

21b) Discounted profits (losses) of the project during the year (VAN)

-€358.541,01

-€79.612,44

€12.523,76

€70.321,51

€70.321,51

€23.353,30

€200.000,00

€200.000,00

Residual value of the property at the end of lifecycle considered Residual value of the property at the end of lifecycle considered actualized

€180.092,79

21c) discounted profits (losses) of the project during the year (VAN)

€203.446,09

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Chance 2 – Mixed model (M): Table 12 Table 12. Income Statement Project (CEP) for cash flow analysis for the verification of Sustainability intervention in the process of steady-state management A) Production value: 1) Revenues from sales and services foreseen by the project 5) Other revenues Total A) Production value B) Production costs: 6) For raw materials, subsidiaries, consumables and goods 7) For services (utilities; repairs; cleaning; ordinary maintenance) 9) For the staff 10) Depreciation of furniture and hardware and software equipment 12) Provisions for risks 13) Provisions for extraordinary maintenance Total B) Production costs Difference between value and Production costs (A - B) Operating income (RO) Provision to be used for purposes consistent with the manager’s purposes (non-profit)

€627.580,00 €3.600,00 €631.180,00 €53.000,00 €41.000,00 €178.641,04 €75.154,60 €104.616,68 €132.132,05 €584.544,37 €46.635,63

6 Conclusions The comparison of the cash flows linked to the two scenarios corresponding to the two hypothesised management models, highlights that both solutions are theoretically feasible and sustainable. The public decision maker must therefore assess the other implications of the two models in order to choose the most suitable management model. At this stage of the research, the decision support assessment can be argumentative, highlighting the advantages and disadvantages of the two solutions. With the profit model, the public entity benefits take primarily to the commitment reduction of public resources for the purposes of the initial investment; another obvious benefit concerns the greater employment impact of the profit solution. On the other hand, it shows how referring to an economically and socially weak context is an intrinsic weakness, and the chances of private subjects interested in making investments of this nature are objectively low. Considered this, the public subject could still make an attempt, through the necessary public evidence procedures, but only after an appropriate territorial animation action promoting the knowledge of the opportunities offered by the initiative and, at the same time, provides the public subject with some information on whether the potentially interested parties exist or not.

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The mixed model, on the other hand, entails a greater initial investment for the public entity and even produces fewer employment effects, due to the voluntary nature considered for the activities of some types of human resources involved. On the other hand, in addition to the greater probability of being reflected in the local economic and social fabric, this model has the undoubted advantage of providing the free delivery of some services, with the evident positive effects on the economic fabric of the territory. The research will continue by formalising the evaluation model, obviously of multicriteria nature, that is able to provide the public decision-maker with a stronger and more unbending tool for managing the needed information for a conscious choice.

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12. Parco Culturale della Calabria Greca. http://calabriagreca.it 13. Studio prospettico scientifico dell’EPRS: Unità e prospettiva scientifica (STOA), L’Agricoltura di precisione e il futuro dell’agricoltura in Europa. Servizio di Ricerca del Parlamento Europeo (2016) 14. Calabrò, F., Mallamace, S., Meduri, T., Tramontana, C.: Unused real estate and enhancement of historic centers: legislative instruments and procedural ideas. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives, ISHT 2018. Smart Innovation, Systems and Technologies – SIST, vol. 101. Springer, Cham (2019). ISBN 9783-319-92098-6, ISSN 2190-3018. https://doi.org/10.1007/978-3-319-92102-0_49 15. Piano strategico per l’innovazione e la ricerca del settore agricolo alimentare e forestale (2014–2020) 16. Pierce, F.J., Novak, P.: Aspects of precision agriculture. Adv. Agron. 67, 1–85 (1999). https://doi.org/10.1016/s0065-2113(08)60513-1 17. Agricoltura e Zootecnia di precisione. L’Uomo e l’Ambiente Editore Centro Studi (2014) 18. Hort@. https://www.horta-srl.it/sito/ 19. Agricolus. https://www.agricolus.com/ 20. SmartIsland. http://smartisland.it/ 21. Morano, P., Tajani, F.: Saving soil and financial feasibility. A model to support publicprivate partnerships in the regeneration of abandoned areas. Land Use Policy 73, 40–48 (2018). https://doi.org/10.1016/j.landusepol.2018.01.036. ISSN 02648377 22. Rao, K.H., et al.: Public-private partnership and value addition: a two-pronged approach for sustainable dairy supply chain management. IUP J. Supply Chain Manag. 10(1), 15–25 (2013)

A Comprehensive Conceptualization of Urban Constructs as a Basis for Design Creativity An Ontological Conception of Urbanism for HumanComputer Aided Spatial Experiential Simulation and Design Creativity Mohammed Ezzat(&) German University in Cairo, Cairo, Egypt [email protected], [email protected] Abstract. “The phenomenon of place is not comprehensible without computation, and any effort for simulating spatial experience or for the creative manifestation of such phenomena is not attainable without the computation that possesses a comprehensive conceptualization of spatial signs” is a conclusion of the article. Place is a fairly complex phenomenon that encompasses several interrelated knowledge domains. For example, from the users’ point of view, the phenomenon of place manifests over the interrelation between spatial cognition, psychology, and behavioral utilization. In contrast, from the designers’ point of view, these interrelated dimensions should be innovatively crafted. Any creative crafting of the virtual phenomenon of place needs to be aware of the spatial subjective conceptions of the intended users. To resolve such complexity, the article recognizes the phenomenon of place as a mere relationship between the two realms of spatial representations and spatial conceptions. The realm of representation is objectively analyzed over the two layers of spatial signs and spatial features, while the realm of conception is subjectively obtainable using knowledge graphs. The article’s recognition of place as the virtualization of space implies that the multi-knowledge domains’ complexity of place will be reduced to merely the conceptualization of any spatial representations. The article’s findings of conceptualization of space adhere to findings from the fields of analogy, cognition, psycholinguistics, and creativity. These findings are central for simulating the subjective spatial experiences, subjective potential spatial utilization, and finally, for design creativity. Structuring such conceptualization is founded on an ontology of urban constructs and on language. This explains the need for the computation-human integrative role in learning the spatial concepts and then on linking the comprehensively learned conception with the spatial representations. The article is a philosophical explanation of a parallel computational model for conceptualizing urban constructs. The proposed conceptualization is theoretical, and it will be supplemented in the future with empirical analysis. Keywords: Design creativity
Urban identity
Urban design ontology
Phenomenology
A knowledge graph for conceptualizing urban constructs Analogical urban design
Computational-aided design creativity © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 580–591, 2021. https://doi.org/10.1007/978-3-030-48279-4_55




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1 Introduction Architecture implies a dialog between the physical environment and the human factor. Such interaction entails the phenomenality of architecture. Consequently, the phenomenal, cognitive, social, cultural, psychological, and behavioral aspects play an integrative role in manifesting space as place. These different interrelated knowledge domains make the rigor study of place, though crucial for architecture and urbanism, a highly complex field of study. The article adopts the approach of using concepts of the material signs to resolve the complexity of analyzing the phenomenon of place, which is the attitude of several fields of knowledge. Concepts are complex networks of connected words and based on words’ connectivity concepts evolve. These concepts reflect the users’ shared understanding of the spatial signs. The complexity of this approach is that concepts are attributes of the mind, and consequently, they are implicit and hard to scrutinize. Language is the known human product that facilitates studying concepts, and consequently, the spatial qualities need to be comprehended using the language’s implied concepts. The lingual implied concepts will be structured using an ontology of urban constructs [1]. Consequently, the ontology is the source for structuring a comprehensive knowledge graph (KG) of spatial qualities, named SpatialNet. The article is a philosophical backing of a parallel computational framework for structuring such KG using state-of-the-art artificial intelligence (AI) techniques [2], as it reflects utilizing the context of architectural and urban design for establishing the philosophical backing. The underlying ontology states that urbanism can be fully comprehended using three perspectives named visual, emotional, and rational. The three perspectives stand for three extreme environments that are argued for the sufficiency of disclosing the urban variations. The variations manifest as the mixture between any/all of the qualities of the three environments. The lingual concepts would be structured based on this ontology, and such structuring constructs the comprehensive conceptualization. The reproducibility of the three environments over all the cultures around the globe implies that: 1. Careful analysis of these three perspectives is a prerequisite for understanding urban constructs. 2. A monolithic objective tool of analysis for comprehending urban constructs is viable and based on which, analyzing subjective conceptions is possible. 3. The different schools of thinking involved in the field can productively come together using such monolithic conception. The aforementioned definition of urban constructs is a general definition that is potentially acceptable in the community. The reader is encouraged to examine various definitions to test their inclusion of the proposed tool of comprehending urban constructs [3]. The proposed conception is expected to play a role in design Inspiration [4] because the KG will pivot the road for similar spatial signs and features to coexist over the KG’s nodes, and consequently, for analogical reasoning processes to manifest. Additionally, The proposed conception is the professionals’ conception of urban constructs; it can be considered as an objective conception, based on which, any

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subjective conceptions are discoverable [5]. The paper scrutinizes the representational and conceptual layers, as in Fig. 1.

Fig. 1. The representation layer with the spatial signs as the objective bottom layer that an intermediately abstract spatial features layers builds on. Finally, the conceptualization layer, represented by a knowledge graph named SpatialNet, is linked to the spatial features.

1.1

Related Work

The lack of rigorous analysis of the phenomenon of place, as a virtualization of the spatial signs, would hinder the development of the architectural and urban psychological design. Such development took place during the fall of the international style as an attempt to discover the reality of place. During that era, writings from different philosophers scrutinized the reality of place. For example, Juhani Pallasmaa is one of the leaders applying phenomenology in architecture [6]. Phenomenology is the science of discovering the phenomena, alternatively named events, associated with spatial objects. Additionally, Henry Lefebvre’s most influential writing was “The Production of Space”, which philosophically discloses the place’s multi-dimensionality of designedperceived-used [7]. Spatial phenomenology was a primary driving force for the movements replacing the international style. For example, Jacques Derrida’s writings introduced the deconstructive criticism to the field of phenomenology [8, 9]. These writings were foundational for the architectural deconstructivism’s movement, meaning that modern architectural practice is inherently phenomenological. In other words, both of the users’ cognition and contextuality became leading players in urban design. Nonetheless, all of these efforts accentuated on the definitive nature of the dimensions of place, but rigor tools for analyzing the phenomenon of place were not laid, and the article tends to play a role in such a less developed area. On the other hand, research on creativity yielded the essentiality of a spatial knowledgebase [10, 11]. Such knowledgebase is simply the grounding of the spatial signs, meaning that the meaning of spatial signs needs to be disclosed prior to and creative productions. Such knowledgebase is similar to phenomenology except that it is a comprehensive conception of spatial signs. The complexity of the phenomenological and creativity’s needs for finding the meanings of spatial signs is resolved by other knowledge domains like psycholinguistics, the theory of mind, and the science of cognition. It is found that concepts are the only thing needed to analyze, simulate, or

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deliberately generate the psychological experiences of the users in-discourse with the physical signs [12–14]. The centrality of concepts for mimicking the human mind is at the core of analogy, which is a field of cognitive science [15]. For analogy, the knowledgebase is known as common sense (implicit knowledge), which is a base of long term memory that other cognitive reasoning and behavioral aspects build on. Psycholinguists utilize language’s embedded concepts to conceptualize the language’s signs of words or phonemes. The article structures the concepts implied in language using the underlying ontology of urbanism [1], which is computationally detailed in a parallel article produced by the authors [2]. It is important to mention that Rem Koolhaas’s elements of architecture include the conceptualization of the different architectural spatial signs in around two thousand and a half pages [16]. Alternatively, Case-based design (CBD) relates these spatial elements to conceptualize whole designs [17, 18]. Both of these efforts lack the structure and coherence needed for comprehensive spatial conceptualization. In Sect. 2.2, the layer of representation includes both the Rem Koolhaas’s individualistic spatial elements and the CBD’s collective spatial elements as the bottom spatial signs. Upon these spatial signs, the abstract spatial features and the conceptualization rest. In Sect. 2.1, the conceptualization of the spatial qualities is structured using a knowledge graph (KG). Knowledge graphs are vital tools for coherently structuring big data, and hence they are capable of reflecting the complexity needed for conceptualizing space. As a matter of fact, it is a typical duty during the ideation phase of any design to brainstorm any important concepts using KGs, and that demonstrates the potentials of integrating human and computation during a creative design process using the proposed conception.

2 The Layers of Representation and Conceptualization According to phenomenology, the world is divided into signs and meanings, and the article adopts a similar approach. Nonetheless, the article’s signs are split over two consecutive Sects. (2.2 and 2.3), and the phenomenological meanings are presented as the comprehensive conception that is presented in Sect. 2.1. In general, meaning is a process of abstraction conducted over Sect. 2.1 conceptions, and meaning is comparable with spatial experience simulation. 2.1

The Layer of Conceptualization (SpatialNet, Comprehending the Three Perspectives then Conceptualizing the Spatial Qualities)

Knowledge graphs (KG) are used to represent the structured semantics of data. They have been applied to big-data-related technologies and play an influential role in our contemporary revolutionary intelligent applications. For example, general-purpose knowledge bases such as Freebase, Yago, DBpedia, and Google’s KG, or domainspecific knowledge bases like Gene Ontology uses KGs to represent knowledge. Nonetheless, KGs need ontologies to be meaningfully structured, and that explains the article’s commitment to the underlying urban ontology [1]. A KG is a collection of connected nodes. The article uses a KG to structure the concepts inherent in language using the underlying urban ontology. Using language to comprehend concepts is found

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by cognitivists as the main methodology to map the human mind. The paper structures a domain-specific KG named SpatialNet. SpatialNet has the concepts as nodes and has three relations names CausedBy, ResultsIn, and SymbolOf that connect these concepts with each other. The three relations are presented in the sequence attributable to their dependency, meaning that understanding the CausedBy relation is a prerequisite for understanding the ResultsIn relation, and understanding both justifies the SymbolOf relation. This can be re-instated as, understanding the nature of the factors causing the three perspectives’ manifestation justifies the implications and the results of these environments, while understanding the causes and the consequences of the three perspectives’ environments hints out the symbolic aspects of these three environments. Firstly, the three perspectives themselves need to be conceptualized. Afterward, other consequent layers conceptualize any concept found in language, such as inviting, dominating, interactive, etc. Before disclosing the three relations for conceptualizing the three perspectives, it is needed to summarize what the three perspectives stand for, as demonstrated by the underlying ontology of urbanism [1]. The three perspectives are considered extremes that can be used to exhaustively discover all the variations of any spatial concept. The visual perspective stands for constructs such as urbanism during the European dictatorial regimes of the starting/mid-twentieth century, the Romania general-purpose constructs, or the perspectival and pictorially driven constructs. On the other hand, the emotional perspective stands for the urban constructs of the spontaneous settlements and the sprawl. Finally, the rational perspective has constructs belonging to traces of Gothic architecture, the international style, and modern rationalism [19]. We have to bear in mind that these constructs are exemplary, and that the three perspectives are theoretical tools to exhaust the variations laying in between the three theoretical extremes, meaning that the reader may have a different notion about any of the three perspectives. However, whatever such an idea is, it is still explainable by mixing any/all of the three environments’ characteristics. The CausedBy Relation. In this relation, the attributes of the factors shaping the products of each of the three perspectives are illustrated as the following (see Table 1): The Visual Perspective. Visual constructs are products that are materialized based on sources of inspiration. Deriving ideals are philosophized by an artistic/music/poetic authority, which may have nothing to do with daily living needs. The philosophy and the inspiring narratives are elaborated by a totalitarian authority, the artist, and are used to lay down the formal characteristics of the imagined environment, meaning that top-down macro-scale initiatives shape them. These constructs are products that are declarative expressions of the deriving philosophy and the inspiring narratives. The Emotional Perspective. The spontaneous/sprawl constructs are caused by procedural interactions between micro-scaled agents. These agents are either space-based or human-based. This bottom-up collaborative or continual competitive interaction causes the emergence of the emotional environments. Such interactions are democratic and community-driven. The constructs are context-sensitive. They are harmonious with localized realities and firmly integrated with its context. This environment is realistic and can be paralleled with the school of thought of naturalism.

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The Rational Perspective. Rational environments are driven by the reductionism-like school of thought, meaning that the whole is always fully explainable by its constituting parts [19]. In other words, it is structural in nature and uses logical reasoning to set up such structurally casually formed environments. The dependence on logical reasoning, hints out the mechanistic nature of this perspective, as the designer is obscured due to this mechanistic nature. Logical reasoning explains the appreciation of qualities like functionality, utilization, and abstract reductionism. The whole, as an equivalent sum of the parts, justifies the importance of morals, ethics, and values to this perspective.

Table 1. Contrasting concepts related to the CausedBy relation of each perspective.

The ResultsIn Relation. This relation illustrates the consequences of the three perspectives’ CausedBy relation. They are as the following (see Table 2): The Visual Perspective. Visual constructs’ products freeze their shaping philosophy over time, and consequently, they are timeless products. Their authoritative top-down nature makes them uniquely fashioned constructs. The novelty of these designs are highly appreciated, and they are dependent on the creativity of their designer. The inspired declarative expressions of these constructs hold remarkable value, such as imaginary, dreamy, splendid, elegant, charming, and exciting experiences. Although these designs are themselves creatively inspired, they inspire and motivate the creative philosophizing forces for the whole community. The Emotional Perspective. The procedural nature of this perspective motivates the sense of aliveness and vibrancy of emotional constructs. The competition or collaboration involved in this bottom-up process reflect spontaneity, adaptability, neutrality, and a sense of community. This continual interaction highlights the individuality of each involved agent, and consequently, humanizes these user-friendly environments and popularizes its constructs for the common.

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The Rational Perspective. Due to the moral and ethical derivatives of this perspective, the two values of integrity and truthfulness affects the aspects of its constructs, including the interpretation of beauty. The logical reasoning guides the practicality and usefulness of this environment. The structural nature of these constructs makes the parts substantiated, explainable, provable, and determinable. The logical, abstract reductionism pivots the road for the wisdom, punctuality, and clarity of these environments. The morality and the forwardness of this perspective motivate values like openness, transparency, and ideality. Table 2. Contrasting concepts related to the ResultsIn relation of each perspective.

The SymbolOf Relation. This relation infers the symbols that are associated with the materialized environments of the three perspectives. These symbols are formal features or characters assumed by the previous two CausedBy and ResultsIn relations, and they may be touched on as the following: The Visual Perspective. Visual SymbolOf concepts may include [figural, Unreal, still life, surreal, peculiar, pure, revolutionary, impulsive, glorifying, technique, storytelling, exemplifying, transfiguring, depicting, reciting, divine, ethereal, man-made, sculptural, portrait, etc.]. The Emotional Perspective. Emotional SymbolOf concepts may include [Societal, primitive, ingredient, spontaneous, instinctual, collective, human-centered, tailored, circumstantial, contributional, Plural, raw, fresh, realistic, etc.]. The Rational Perspective. Rational SymbolOf concepts may include [Essentiality, Justifiability, Necessity, Benefit/value, Seriousness, Truthfulness, straightforwardness, minimalism, abstractions, neatness, precision, structural, ideological, linkage, exactness, purpose, ideological, constructive, casual, balance, perfection, uprightness, openness, fairness, unvarnished, flawless, exactness, systemics, clarity, straightforwardness, etc.]. Comprehending the Qualities of Space. The aforementioned primary layer of conceptualization is meant to understand the three perspectives themselves by the three

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relations. Nonetheless, such understanding is the principal means for a comprehensive conceptualization of the spatial qualities. For example, concepts like openness, enclosure, tranquility, welcoming, repulsive, etc. can be iteratively conceptualized by the three perspectives for what may cause and create them, what results in creating them by these causes, and finally, what symbolize these CausedBy/ResultsIn variations. 2.2

The Layer of Representation (the Spatial Signs, the Bottom Layer of Representation)

The spatial signs are the physical units that compose urban constructs. These physical units are used to objectively analyze any urban constructs, independent of any higher level of thought. For example, when the physical world hits the retina, it is represented as pixels of colors. The same applies to the computational vision where images, or even 3d voxels, are represented as Euclidean pixels that have different color values. Over these basic physical units of pixels, higher and pretty complex levels of thought emerge. After experimenting with the various basic physical units to describe urban constructs, the elements of building information modeling (BIM) were found to be the best descriptors of architectural spatial signs, while city information modeling (CIM) elements are for urban spatial signs. Both of These elements need to be analyzed either as disparate or as associated elements. BIM, CIM Disparate Elements. BIM elements may include structural elements, walls, openings, space, slabs, roofs, and building services; they can be matched with Rem Koolhaas’s elements of architecture [16]; while CIM elements may include blocks, roundabouts, mobility devices, natural features, plot utilization, etc. [20] (see Fig. 2). BIM, CIM Associated Elements. Space is the central component of any BIM/CIM elemental relations, and this may match the CBD’s spatial diagrams for relating the different spatial elements [17, 18]. The spatial relations may be described as the following: – Space & walls/openings • Space + walls • Space + openings • Space + walls + openings – Space & structural typologies – Space & non-standard-BIM/CIM objects – All/some of the above 2.3

The Layer of Representation (the Spatial Features, the Intermediary Layer of Representation)

The goal of this section is to extract abstract descriptions of any urban construct according to each of the three perspectives, though they meant to be illustrative and not inclusive. These abstract descriptors are illustrations of how each perspective featurizes the physical elements of any urban construct. These abstract features will be then

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conceptualized using SpatialNet. Two opposite extremes present each feature, and by doing so, any construct may have features belonging to one extreme and to the opposite as well. Consequently, the spatial features of urban constructs are scrutinized by the three perspectives based on their definition (see Sect. 2.1). they are as the following (see Fig. 2): The Visual Perspective. The visual perspective featurizes urban constructs by shape, texture, and color. – A shape can be either a single shape or a collection of shapes. A single shape may have the features of [(linear-curvilinear), (sharpness-fluidity), (negative-positive), (basic-modifies), etc.]. The collection of shapes may have the features of [(chaoticordered), (competitive-cooperative), (evolutional-planned), (sparse-dense), (independent-dependent), (repelling-attracting), etc.]. – Textures may have the features of [(hard-soft), (rough-smooth), (anarchic -patterned), (impermeable-permeable), (sharp-blunt), (artificial-raw), etc.]. – Color has features of [(cold-warm), (saturated-unsaturated), (dark-light), (monochromatic-multi-chromatic), etc.]. The Emotional Perspective. Alternatively, the emotional perspective featurizes urban constructs by activities. The activities may have the criteria of intensity, activity kind, distribution, and flow model. Each of these criteria may have the following features: – Intensity may have the features of [(sparse-dense), (randomly distributed-equally distributed), (dispersed-concentrated), (harmonious-contrasting), (distancedsignificant), (variable-consistent), etc.] – Activity kind may have the features of [(private-public), (amusing-productive), (friendly-official), (individualistic-societal), (spiritual-intellectual), (spectatinginvolved), (unplanned-programmed), (children-elder), (exclusive-inclusive), (relaxing-celebrating), (local-international), etc.] – Distribution may have the features of [(at center-at edge), (buried-elevated), (indoor-outdoor), (separate-related), (isolated-communicating), (inward-outward), etc.] – Flow model may have the features of [(slow-fast), (through-around), (obstructedsteady), (dispersed-consistent), (experienced-determined), (parallel-crossing), etc.] The Rational Perspective. Finally, the rational perspective featurizes urban constructs by space, structural typology, walls & openings, and slabs. – Although space is the central element that either houses or is housed by the other elements, it may have its own features of: [(openness-enclosed), (isolatedconnected), (continuous-dispersed), (interlinked-isolated), (main-subordinate), (serves-served), (communicating-uncommunicating), etc.]. – Structural typologies may have the features of [(suspend-support), (rest-lift), (slidereinforce), (sit-underpin), (thrust-retain), (threading-tie), (dissipate-accumulate), (drop-raise), etc.].

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– Walls may have the features of [(demarcating-confining/protecting), (free standingprotecting), (disintegrated-integrated), (fixed-portable), (internal-external), (revealscreen), etc.], the openings may have the features in relation to walls of [(allow light-obscure light), (allow mobility-disallow mobility), (allow sight-obscure sight), (allow sound-prohibit sound), (integrated-disintegrated), (fixed-portable), etc.]. – The slabs’ features may include [(contoured-flat), (erected-carved), (revealingscreening), (edged-edging), (ceiling/skylight-flooring), (support-enclose), etc.]

Fig. 2. An illustration of the representation layer that contrasts each perspective’s abstraction of the physical signs. (a) the features abstracted by each perspective individually. (b) the centrality of space for associating the abstractions of the individual/interrelated architectural/urban elements.

3 Discussion In this section, we will briefly illustrate the two possibilities of spatial experiential simulation and analogical design creativity using the article’s proposed conceptualization. For simulating spatial experiences [13, 14]: – Firstly, the physical signs will be extracted, as in Sect. 2.2, then these signs are abstractly described, using the features of Sect. 2.3. This step is objective. – Secondly, the features are queried from the SpatialNet’s KG to explore the related subjective concepts. For analogical design creativity [21]:

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– The proposed conception is a library of spatial signs, spatial features, and spatial concepts (spatial qualities) that reflect spatial conception, meaning that the knowledge graph implies similarities that are thought to be intuitive or commonsense. On the other hand, creative designing is the process of discovering the kind of embedded analogy that is either potential or uncommon. Consequently, creative design is the philosophization of the similarity between any two objects or concepts conducted over the proposed conception.

4 Conclusion Highly complex tasks such as simulating spatial experience, assessing subjective conceptions, creative design, amongst others, build on the basic unit of conceptualization, alternatively known as symbol grounding. In other words, if the spatial signs are conceptualized, the ever complex psychological, cognitive, and behavioral dimensions of space are predictable, and whence the phenomenon of place is comprehensible. The article is part of the mainstream of other knowledge domains that recognize concepts as the basic units to access such collective complex dimensions. The article maintains its stature in this mainstream by proposing the philosophical architectural backing of our parallel computational model [2]. The learned conception will be Accessible to the community. It is meant to be a base for Accumulating design experiences, and for discovering subjects like urban identity, universal urbanism, and spatial simulation. The article will be supplemented by future empirical analysis. The computational application, which is initiated by the introduced model, explores the concepts implied in human spoken language and associates the proper signs of the layer of representation to these concepts, and it consequently enhances the proposed conceptions. The quality of the theoretical model, especially the abstracted features of the layer of representation, depends on the quality of the computationally explored concepts. This suggests that the conception has to develop hand-in-hand with the computational model. For future development, we are currently preparing a graphical website for examining the correlation between the proposed theoretical conceptualization and that of the users and the designers. Consequently, the users/designers will be subjected to different spatial signs, and the way they relate these signs will be tested against the proposed conception.

References 1. Ezzat, M.: A comprehensive proposition of urbanism. In: New Metropolitan Perspectives, ISHT 2018, Regio Calabria, Italy. Smart Innovation, Systems and Technologies, vol. 100, pp. 433–443. Springer, Cham (2019) 2. Ezzat, M.: A framework for a comprehensive conceptualization of urban constructs: SpatialNet and SpatialFeaturesNet for computer-aided creative urban design. In: RE: Anthropocene, Proceedings of the 25th International Conference of the Association for Computer-Aided Architectural Design Research in Asia (CAADRIA) (2020)

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3. Fishe, S.: Philosophy of architecture. In: The Stanford Encyclopedia of Philosophy, Metaphysics Research Lab, Stanford University (2016) 4. Ventura, D.: The computational creativity complex. In: Besold, T., Schorlemmer, M., Smaill, A. (eds.) Computational Creativity Research: Towards Creative Machines. Atlantis Press, Paris (2015) 5. Ezzat, M.: A computational tool for mapping the users’ urban cognition - a framework and a representation for the evolutionary optimization of the fuzzy binary relation between the urban conceptions of “us” and “others”. In: The 36th eCAADe Conference (2018) 6. Tamari, T.: The phenomenology of architecture: a short introduction to Juhani Pallasmaa. Body Soc. 23(1), 91–95 (2017) 7. Lefebvre, H.: The Production of Space. Blackwell, Oxford (1974) 8. Derrida, J.: Of Grammatology. Les Éditions de Minuit, Paris (1967) 9. Derrida, J.: Speech and Phenomena. Presses Universitaires de France, Paris (1967) 10. Funke, J.: On the psychology of creativity. In: Meusburger, P., Funke, J., Wunder, E. (eds.) Milieus of Creativity: An Interdisciplinary Approach to Spatiality of Creativity. Springer, Dordrecht (2009) 11. Brinck, I.: The gist of creativity. In: Andersson, Å.E., Sahlin, N.E. (eds.) The Complexity of Creativity. Springer, Dordrecht (1997) 12. Evans, V.: What’s in a concept? Analog versus parametric concepts in LCCM theory. In: Margolis, E., Laurence, S. (eds.) The Conceptual Mind: New Directions in the Study of Concepts. The MIT Press, Cambridge (2015) 13. Heath, D., Norton, D., Ventura, D.: A conveying semantics through visual metaphor. ACM Trans. Intell. Syst. Technol. 5(2), 31:1–31:17 (2014) 14. Heath, D., Norton, D., Ventura, D.: Autonomously communicating conceptual knowledge through visual art. In: ICCC (2013) 15. Prinz, J.J.: Furnishing the Mind: Concepts and Their Perceptual Basis. The MIT Press, Cambridge (2002) 16. Koolhaas, R., Harvard Graduate School of Design, Trüby, S., Westcott, J., Petermann, S.: Rem Koolhaas. Elements of Architecture. Taschen, Cologne (2018) 17. Goel, A.K., Craw, S.: Design, innovation and case-based reasoning. Knowl. Eng. Rev. 20, 271–276 (2006) 18. Richter, K., Donath, D.: Towards a better understanding of the case-based reasoning paradigm in architectural education and design. In: eCAADe (2006) 19. Peckham, A., Schmiedeknecht, T.: The Rationalist Reader. Routledge, Abingdon (2014) 20. Stojanovski, T.: City Information Modeling (CIM) and urbanism: blocks, connections, territories, people and situations. In: SimAUD (2013) 21. Norton, D., Heath, D., Ventura, D.: Finding creativity in an artificial artist. J. Creat. Behav. 47(2), 106–124 (2013) 22. Malt, B.C., Gennari, S.P., Imai, M., Ameel, E., Saji, N., Majid, A.: Where are the concepts? What words can and can’t reveal. In: Margolis, E., Laurence, S. (eds.) The Conceptual Mind: New Directions in the Study of Concepts. The MIT Press, Cambridge (2015)

Methods and Techniques for Sustainable Urban Living: Between Seismic Vulnerability and Urban Sustainability Alberto De Capua(&), Lidia Errante, and Valentina Palco Department of Architecture and Territory, Mediterranea University of Reggio Calabria, Via dell’Università, 25, 89100 Reggio Calabria, Italy {adecapua,lidia.errante,valentina.palco}@unirc.it

Abstract. In recent years sustainability has conquered the cultural debate, challenging the architectural and urban design processes, and asking for the right choice of materials and technologies. The definition of sustainability can be elusive and difficult to frame in a univocal theoretical apparatus, but we cannot ignore a universal awareness on the impact that our lifestyle can have on future generations. This contribution proposes a reflection on technical regulations and strategic planning tools, to be updated in order to ensure a certain degree of sustainability and liveability. This ambition can be achieved improving the performance of buildings and public spaces according to the understanding of users’ behaviours. The contribution explores liveability in relation to the safety of buildings and the sustainability of public spaces and suggests innovative and holistic toolkits to monitor, read and interpret, the built environment and formulate relevant answers to the ever-changing and very specific requests of the contemporary urban living. Keywords: Seismic vulnerability Quality of urban life


Seismic risk management
Public space


1 Introduction In recent years, architectural design has been challenged by the issue of sustainability, as well as the entire cultural debate, asking for the right choice of materials and technologies. On one hand, the definition of sustainability can be elusive and difficult to frame in a univocal theoretical apparatus, an issue that can be overcome only acknowledging the many nuances and meanings that the term may generate. On the other hand, we recognize a rising universal awareness regarding the impact that our lifestyle can have on the future generations. Why, then, against all the warnings, companies, professionals and society have not reached a turning point? Research, conferences and debates have undoubtedly helped to understand the environmental emergency in which we live nowadays, defying also a direction towards which proceed in order to solve the problem, not only in theory, but also in practice, to determine a suitable diagnosis and the appropriate cure to accomplish the goal of sustainability. At this moment in time, we are perfectly aware of the damages produced by our society, which are quite evident in our lives and discussed on a daily basis, but we are not ready © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 592–605, 2021. https://doi.org/10.1007/978-3-030-48279-4_56

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to make an effort to change. In other words, we do have not enough determination to make a real improvement, revealing our will to heal. Our world is fragile in so many aspects, as well as our national territory. The environment is changing, the climate seems to be unpredictable, the greatest part of our built environment is obsolete, our buildings are not safe enough to face the risk of heart quakes; our cities are not able to deal with the rising of sea level and soil consumption and not smart enough to get rid of cars or fossil fuel power sources, as well as the economy we all depend on. All these concerns can be studies under the lens of sustainability and resilience, but especially in the perspective of quality of life studies related to architecture and urban studies. Looking closer to the Italian history, this obsolescence can be attributed to the lack of resilience, if not insufficiency, in terms of energy, safety, physical and social accessibility. This inadequacy can be way more dramatic in light of the increasing urban population, which the United Nations in its “World Urbanization Prospect” estimates will reach 6.5 billion by 2050. In this perspective, what can be done? These concerns, leads the reflection of this contribution towards the necessary update of technical standard and strategic planning, in order to assure a certain degree of livability. This goal can be achieved, of course, improving quality of urban life, addressing simultaneously the building and the urban scale, on one hand from the perspective of the building and on the other, from the perspective of public space. Monitoring the users’ habits, can be formulated relevant answers to the ever-changing and very specific demands of the citizens. Cities are the main habitat of the majority of the world population, “the life context of the populations” and therefore the place where the right to the city (cf. Lefebvre) is exercised and the quality of life must be guaranteed. The attention must be equally focused on structural systems and elements, which are fundamental to ensure the balance of the structure over time, but also on urban planning, geology, technical physics, etc., which improve (in this way) the function of the construction, the architectural design in its configuration, and the reliability of the structure in the event of an earthquake. The profound social and economic changes that characterize the present time, define new spaces and new modes of action for architect, placing the social, ethical and political dimension of architecture in all its forms and scales of intervention at the center of the debate. A dimension that requires a change in the way we look at and face reality, based on a strong multidisciplinary character, and new participatory and collaborative design practices [1]. This contribution discusses the issue of living and liveability in relation to two topics: the seismic safety of buildings and sustainability in relation to public space. These subjects also represent the perspectives of study carried out by the MeTA++ research group, founded by the authors, Prof. Alberto De Capua, and the PhD and architects, Lidia Errante and Valentina Palco. Each author has explored his or her own specific field of research always relating to the main theme, sustainable living, proposing solutions and developing common, interdisciplinary, transversal, collaborative strategies to improve the quality of life of the inhabitants.

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2 Monitoring Seismic Risk in the Built Environment Earthquake is perhaps the most unpredictable of natural phenomena, even if today we are able to establish “statistical probabilities” of occurrence, in terms of place, time, entity, character. When an earthquake strikes, it often does so with harshness. Unpredictability and harshness make it, at least in our culture, a “fateful” phenomenon: we don’t think about it except when it happens, and when it happens, we rage. Everyone feels in some way unfairly damaged, but we are all actually responsible for this damage, because the prevention of seismic risk is not in our culture. Nowadays, building regulations are trying to protect inhabitants within seismic urban areas. There are technical-scientific possibilities to intervene on existing ones. But the attention, also normative, has focused on the single building, on its “resistance”. On the other hand, there are rare examples of attention to the dynamics of settlement, to the ways in which the city changes. There are no norms in this sense [2]. The theme of urban vulnerability, referring to the reduction of seismic risk, arises from the possibility of developing analytical procedures based on the understanding of the relationships between the different constituent elements of cities rather than on the analysis of the single artefact. In fact, the loss of efficiency of an urban system, due to the consequences of an earthquake, is determined by the compromise of the functional relations between the individual elements, each characterized by a different degree of induced and deferred “vulnerability”“. Consequently, the exposure to risk on an urban scale refers to the degree of “irreplaceability” of each component with respect to the system to which it belongs. The open space of the city is therefore understood in two different ways: as a place to be made safe for the safety of citizens in the event of an earthquake and as an essential place for relations and exchange. This approach makes it possible to explore the complex nature of cities: a useful attitude also to deal with the selection of those components of the housing subsystems, productive infrastructures, that come into play in the conservation of vital functions for a city subject to a certain probability of occurrence of the seismic event. 2.1

Fragile Territories and Urban Planning: A Broader Perspective

A fundamental aspect of design in seismic zones is therefore urban planning, which can drastically reduce the destructive impact of an earthquake on a territory. It is assumed that the built environment (including houses, offices, schools and hospitals) has a greater chance of surviving the devastation of a tremendous earthquake. The earthquake-proof design allows buildings to withstand low-intensity shocks without damage, and higher-intensity shocks by modifying parts of the building, but without collapsing. Seismic urban planning reduces social vulnerability (cf. Negri, 2006), just as public health initiatives, drinking water and sanitation prevent the spread of disease, seismic urban planning makes communities settle in areas that are safer and less vulnerable to severe earthquakes and other hazards. Ideally, urban planning also allows major infrastructure to escape immediate post-earthquake paralysis, thereby facilitating the process of earthquake recovery. The urban planning literature highlights the complexities and limitations of planning processes. Designers respond to many different interests, those who practise the liberal profession must take into account their

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training and skills, but above all urban planning regulations. It is essential today to address design problems by considering everything related to seismic safety. Andrew Coburn and Robin Spence (2002) describe how designers in seismically active regions can integrate earthquake protection into their planning processes. They suggest that planners add seismic microzonation maps and vulnerabilities to their planning tool “tasks”. Such maps indicate areas affected by liquefaction or slope instability with respect to certain levels of earthquake intensity, as well as areas that may have surface faults. Other earthquake safety improvements can be undertaken with the help of a seismic vulnerability map. This document would show the relative seismic vulnerability of the building stock in a given area based on the construction of engineering surveys and analyses. Built-up areas are classified according to their vulnerability based on several factors, including: the age of the buildings; their condition and construction materials; the seismic design standards applicable at the time of construction; and typical defects in their architectural configuration. The earthquake has always been considered a fatal event, an invincible enemy, whose effects are drastic on the territory and on people. Immediately after an earthquake (more or less serious), on the national territory, often nothing remains but injuries to the occupants, or even worse deaths, rubble and dismay, financial losses (including those due to downtime). This scenario is repeated almost every time an earthquake occurs. But, is it really inevitable? Our country can (and must) be made safe, which means that in the event of an earthquake, the building may be damaged, but it does not collapse and there is no loss of life. A prerequisite for ensuring the safety of the inhabitants of a territory, at any scale, is the awareness of the risk (seismic), which translates into individual and collective responsibility, and the planning of strategies (actions) that are decisive and decisive for the community. What, therefore, are the actions aimed at reducing the exposure to seismic risk for the users of buildings, or public spaces in order to ensure lasting levels of indoor comfort, and to resist any kind of adversity? Designers have the responsibility to deliver buildings to users who, after mutually acceptable discussions on seismic performance, meet their expectations. For a moderate earthquake, the objective must be to avoid loss of life, contain structural and non-structural damage to the building. Unfortunately, there is still no awareness of how important the prevention of seismic risk is (we do not warn about it or worse we forget about it) or how buildings occupied by several people at the same time must necessarily (by regulation) be seismic-resistant. Looking at the seismic vulnerability maps of the territory, we can see that Italy is the country with the highest seismic risk in Europe. The step to be taken, first and foremost, is to make the entire built Italian architectural heritage resilient. And this is even more true after what has happened due to the recent seismic events that have affected central Italy, repeated from the summer of 2016 until today (we remember the earthquakes of Amatrice, Accumoli, Rieti, Arquata del Tronto, Norcia …): what is missing is a strategy that puts in place actions aimed at the seismic resistance of the building heritage, historical and not, today extremely vulnerable. The watchword is to change this scenario to prevent the country from “kneeling” in front of a probable and inevitable future seismic event. The analysis of a collapsed building allows to recognize the lack of seismic resistance along one of its orthogonal axes or the non-existence of a studied and reliable path of forces in case the facade of a building collapses in the street. Just as the

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partial or complete collapse of entire floors of buildings is often caused by incorrect configurations (short columns) or irregularities in the soft story. A good understanding of the principles of seismic resistance can help to understand the many causes of damage on which it is possible to intervene by applying the principles of seismic resistance in the architectural design process. During the process of spatial and architectural configuration of the structure, it is important to pay attention to many other aspects: the reception space, accessibility, circulation, permanence, quality of interior spaces and natural light, therefore the levels of visual, acoustic, sound and thermo-hygrometric comfort. The architectural design of a building requires a much broader approach and a wider range of skills. If it is hoped to achieve a building with high performance from an architectural, structural and technical point of view, a broad integration between different skills is required, which must be involved from the early stages of the building process. 2.2

Methodological Perspectives

Today, design activities must confront a new form of “realism” that restores value to the real needs of man, considered as a natural and cultural subject that acts according to behaviors marked by a new way of being in the world and relating to the society to which it belongs [3]. An intellectual attitude appears in architecture, marked by pragmatism, which seeks a reference point for its work in the real world and which takes as its center of interest the themes of social responsibility, environmental quality, awareness of the scarcity of resources, economic limits, typological and technological experimentation. An attitude centered on a shared design that aims in the first instance to eliminate social inequalities and injustices and that is opposed to the idea of an architecture totally subject to the rules of the market, expensive and confined in an ideological and stylistic self-referentiality [4]. Architecture finds its social dimension in a renewed attention to the real needs of people, the habits of a community, the technical conditions and the material culture of a specific context. Policies, processes and projects for living in emergency and marginalized contexts and conditions (places easily defined as “fragile”) increasingly represent stimuli and opportunities for a new design that takes on the task of rethinking models of social transformation and urban development in an innovative and experimental way. The ethical and social role of the architect is therefore concretized in a responsible, strategic and directing approach that does not aim to provide closed and formalized solutions, but aims to innovate the social demand, reformulating it in terms of performance, according to a real and comprehensive vision of the problems, which keeps together the material culture of contexts and communities with technical, procedural, socio-economic and environmental aspects. An approach that determines an epistemological reversal of the relationship between innovation and society: people’s hopes, desires and needs are once again the principles that guide change, while technology has the task of searching for the correspondence between real needs and the useful, necessary and appropriate resources to satisfy them [1].

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In this perspective, the disciplinary-based approach at the basis of urban and architectural regeneration can be considered obsolete, also according to a broader sense of sustainability, which requires a major effort to improve the performances of the human habitat as a whole. This conceptual and disciplinary division is counterproductive at the level of urban sustainability, which needs on one hand, a holistic, multifaceted and complex vision of the development and on the other, a multidimensional model capable of understand such complexity; and on the other hand, the ability to preserve and enhance social development and environmental qualities [5]. This concept implies also a paradigm-shift in both the theoretical and practical positions of urban development, that should verge toward the balance between the dimensions of sustainability and the very implications on quality of life. This ambitious objective identifies two scales of investigation and intervention, represented by that of the building and the built environment, and that of public space and the urban environment, for which it is crucial to define the ideological and methodological perspective of the investigation approach. The Built Environment. The national territory is fragile, as well as the existing building heritage. Going back over the history that has characterized the Italian territory, the buildings have shown an insufficient degree of resilience. In fact, it has always been necessary an evolution of technical regulations that could give precise indications to avoid the collapse of certain parts of the construction structure, or an update of strategic planning that could provide the citizen with precise indications on where to build and which is the best route to follow in case of risk, so as to mitigate the damage produced. It is necessary to point out that fragility, unfortunately in Italy, affects many territories, with negative effects on: accessibility; urban planning; infrastructure design. Moreover, our country, due to its geological, geomorphological and hydrographic conformation, is already predisposed to phenomena of vulnerability. The intense and uncontrolled urbanization of the post-war period, soil consumption, deforestation and abandonment of mountain areas has increased the number of vulnerable areas. The climate is also not helping. The frequency and intensity of extreme weather phenomena is increasing: rainfall, which should normally fall within months, is concentrated in a few hours, causing sudden floods and increasing risks for the population. Explaining the term “fragility” therefore becomes quite simple: fragile is everything that brings to those who live in a space, whether confined or vice versa, damage or inconvenience in case of natural risk. Fragile is a building that does not fit into an environmental context but that disfigures it, that compromises the lives of those who live in it because it is not resistant to telluric forces. Fragile therefore becomes the building organism that produces a high environmental impact, that does not guarantee good levels of indoor air quality, that has not been designed to contain energy consumption and whose maintenance costs are very high for the occupants. To inhabit fragility means to acquire the awareness of being “guests” of a system that has been given to us and that we will bequeath in turn. It means taking care of the territory by designing and creating spaces that make us live well, even if they are inserted in a context at risk. The challenge for

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the professionals, is to understand how to combine the right techniques and technologies of design to guarantee the safety of the users and the spaces Therefore, increasing the level of sustainability of our cities today, also means (and above all) prevention aimed at adapting buildings to address seismic and energetic issues. Upgrading buildings taking into account energy efficiency and seismic retrofitting factors, involves a multi-level approach. The existing approach uses two different tools to analyze the building, both aimed at improving its performance and considering its organization on each of its parts. In the study conducted, it emerged that, in the actions aimed at achieving energy efficiency, today, little importance is given to design choices relating, for example, to the exposure of the building, rather than to the arrangement of the external windows, which favors natural cross-ventilation to be preferred to mechanical ventilation (which involves a higher operating cost), or to devices aimed at improving indoor living conditions in terms of air quality and internal temperature, etc. The tools available on the market, in fact, tend to enhance the type of system available to the building body (electrical, DHW, heating, etc.) rather than dwell on the choices that the authorized designer can make, in order to take advantage of external climatic conditions, putting them in relation with the same. On the other hand, it is not very exhaustive to talk about the seismic risk assessment of a building, dwelling exclusively on the load-bearing structure, not considering all the other parts of the building organism, which even if not in a priority way interact with the structure keeping the building in “balance”. In this respect, research suggests that it would be more effective develop and use a single operational tool (which, so far, doesn’t exists) to control the technological quality and the overall performance of the building, analyzing, studying and evaluating it in relation to: • Reading the building; • The construction technology adopted for the bearing structure and for the vertical and horizontal closures of the entire building; • The construction technology of “envelope packages” or other sustainable technologies, aimed at reducing the environmental impact and consequently increasing energy efficiency; • The design choices, which are decisive for the effectiveness and efficiency of the building organism; • The control over the materials and products used in the construction process; • The estimate of the costs of the interventions to be implemented, useful to mitigate the risks and improve the energy performance of the buildings subject to adaptation. The result produced, therefore, defines some novelties compared to the usual practice that today sees the assessment of buildings in terms of reducing seismic risk and energy waste. Through an algorithm were read simultaneously the instruments that operate on energy containment and classification of seismic risk of buildings. The result showed that both instruments adopt a precise reading system based on a qualitative & quantitative process, about: knowledge - interpretation - result. The diagram in Fig. 1 explains the operational process the new monitoring instrument that were experimented within a PhD research in Architecture and Territory [6].

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Fig. 1. The methodological and operative phases of the seismic and energetic classification tool.

The tool were formulated in order to monitoring and control the buildings, to mitigate the risks due to the fragility of the territory. The initial objective of the doctoral research was to articulate a tool that can be useful to construction technicians, and to users to provide useful instructions, interacting with technicians, about the actions to be implemented. The main assumption of the research is, in fact, that the concept of quality of life must consider the quality of the physical space in which the community spends its time within its habits. In fact, the tool is able to gather, analyse and process information on the current state of the building with respect to pre-established requirements regarding the quality of the load-bearing structure and measures that mitigate the environmental impact from the point of view of energy containment. The monitoring tool, at a methodological level, is divided into three phases - Observation, Evaluation Interpretation of data - Proposed intervention, structured to be consecutive, concatenated and collaborative (Fig. 1). Each phase is associated to the appropriate quali-quantitative data collection tools, direct and/or indirect, to collect information on the physical attributes (about the state of conservation) of the built space. The model is addressed to: a) designers, engaged in recovery and regeneration operations about buildings or part of these; b) companies and enterprises, to test products and/or components during the engineering phase; c) technicians, in the operations of evaluation of the interventions, inserting the list of prices (different for each region), to define the useful sum for the improvement intervention that can be implemented; d) occupants who write on checklist the anomalies of the buildings. A tool addressed to several actors involved in the whole building process (Ibidem). As shown in Fig. 1, the Observation phase aims to collect direct information about the building, such as the year of construction, the type of use, urban reference. Information about the process of construction and management of built. The interpretation phase, elaborates the information obtained, and define three possible solutions: typology of intervention; the planning of the intervention (Gant chart) that allows the occupants to temporarily leave the spaces and guarantee the execution of it. The third phase is the operational, one in which retrofitting action seismic and energy is carried out. In order to become applicative, this new instrument needs an all-encompassing support regulation of the topics explained. The research purpose to unified the two monitoring systems (the seismic risk and energetic classification).

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The Built Environment. Public spaces of the city, and more in general the built environment, is the physical place in which—and thanks to which—the transformations and contradictions of contemporary living take place. For the same reason, it is in the “space between the buildings” that the interaction between subjects (individual or collective) and objects (space and/or all the tangible elements that articulate it) need to be studied. In this sense, the debate on urban liveability acknowledge the role of open and public space, within urban transformation, as a mean to pursue quality on the physical, environmental, social, cultural and perceptual level, but also as a field of study to understand the functioning of the whole built environment. The environmental challenges connected to the fossil-fuel transportation; the need to limit the phenomena of sprawl and urban expansion; the heterogeneous and multicultural demographic composition and its aging and contraction; the influence of market dynamics within the city; the phenomena of social injustice; are issues that involve at many levels the spaces and the public bodies of the city, as main actors and recipients of the improvement the quality of urban life. The UN documents have outlined the framework to cope with sustainability and liveability goals, in light of the exponential increasing of the urban population, also calling for an institutional, regulatory and cultural review of urban planning, intended as a tool to improve the access to services and to economic and social opportunities [7]. In the future, planning and urban transformation tools will have to: monitoring and evaluating the performance of the city; provide for a certain degree of informality in the phase of urban expansion and management (subtracting this space from the dynamics of the market); aim to increase the level of democratization of decision-making processes to increase citizens’ awareness of their social and economic rights. The UN Word Urbanization Prospects [8], confirm the need to address principles of environmental sustainability, equity and democracy, opening the debate to the understanding of the role of public space in this perspective. Within the 2030 Agenda and the Sustainable Development Goals, public space is acknowledged in the 11 Goal – Sustainable Cities and Communities, Target 11.7 that aims «by 2030, provide universal access to safe, inclusive and accessible, green and public spaces, in particular for women and children, older persons and persons with disabilities» [9]. In this respect, it would be advisable to re-think the tools in the hand of the PA, also considering a general lack in the field of urban spaces transformation. The United Nations itself, within the UN-Habitat and Global Public Space Programmes, have developed in 2015 the Global Public Space Toolkit [10], to support the Public Administration (PA) in framing policies, strategies and actions for urban transformation through the public space project, providing indications, good practices and approaches already adopted in other contexts from which to derive replicable strategies. The toolkit, as a support and guidelines tool, define the state of the art within the international cultural debate, suggesting the methodological structure in which to translate these principles into practices. Transpires the need for the PA to be equipped with analytical tools that combines and overlap the dialogical aspects, material and immaterial, physical and social, qualitative and quantitative, of urban living and public space. The theoretical and methodological framework above mentioned refers to an approach oriented to the quality of living in relation to urban democracy, public life and to the activities of daily life—whether mandatory, optional or social [11]—and the physical quality of public space, supporting the environmental sustainability of the

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entire built environment. The suggestion in this sense is to integrate, in the process of urban transformation, different levels of maps of the built environment that may be superimposed as layers of thematic and geo-localized data, used for multi-targeted and operative guidelines. This framework of references and best practices has encouraged, within a doctoral research in Architecture and Territory [12], to formulate and experiment a tool to understand the socio-spatial dynamics of public space in order to gain information of how it is organized and how can be improved in terms of strategy and practical intervention. The main goal of the research was to articulate a tool that can be useful for public administration to better orient the choices of urban transformation, taking into account the explicit and/or implicit needs of the population to broadly improve the quality of urban life. The main assumption of the research is that the concept of quality of life should consider the quality of the physical space in which a community spend time within their everyday-life activities. The urban experience can reveal many clues on the quality of the space and, in this perspective, the result of the research is a tool able to acquire, interpret and process data on public space, conceived to study the socio-spatial dynamics according to the methods suggested by the international cultural debate, in order to be: a) socio-spatial, paying attention to the architectural and social aspects related to the dynamics of use and to the conditions of urban democracy; b) political, to be a design-oriented tool to support the quality of urban life through the physical and social transformation of the built environment; c) qualitative, or quali-quantitative, in the techniques used; d) flexible, so that it can be adjusted to the mutable needs of urban living; e) informative, supporting the cultural debate and the experimentation of inclusive forms of design, management and programming of public space [7]. On a methodological level, the interpretative tool is divided into consecutive, concatenated and collaborative phases—Observation, Evaluation, Benchmarking (Fig. 2). Each phase is correlated by the proper qualitative-quantitative, subjective and/or objective, direct and/or indirect data-collecting tools to gather information on the physical and social attributes of the public space. On a practical level, the tool is targeted at local public institutions, providing them a solid knowledge base to address, suggest and guide the formulation of quality goals and processes of urban transformation [7].

Fig. 2. The methodological and operative phases of the socio-spatial, interpretative tool for public space.

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As in Fig. 2, the Observation phase aim to gather indirect and direct information on how the space is socially and physical arranged by its human and non-human actors, condense all these information in behavioral maps that can be repeated over time to note any change. The Evaluation phase provide information on the objective and perceived quality of public space, evaluated according to five macro indicators—such as inclusion, relevance, attractiveness, comfort and safety—assessed by the attribution of a score both by the observer and by the interrogated users. The Benchmarking phase provide a framework of actions to address the weakness or the potentiality resulted from the evaluation, setting quality goals, strategies and priorities of intervention, within Technical execution, Management and Activities. The results phase may depend on the different possible outcomes of the analytical and the interpretative steps of such apparatus: guidelines for urban trans-formation; goals for public competition; proposals for innovative forms of design and management with the direct involvement of the community—as in the case of co-design and commons practices. On the other hand, the tool itself can be considered a major outcome, being an open-source toolkit, flexible enough to be adapted on many different urban context. Such consideration has reinforced the idea that the tool should be updated also in terms of investigation fields. In this sense, within the same methodological structure, the tool should explore environmental, energetic, risk hazard, next to the social and the spatial issues of public space infrastructure at the neighborhood scale. 2.3

The (Future) Research Experimentations

Due to the very nature of our country, one example of future experimentation may consist in a seismic map that combines the spatial distribution of seismic damage with a seismic hazard map, as a tool to help the planning process, identifying precisely where and how to intervene: • Identifying highly vulnerable areas of the city, planning ex-ante the reconstruction and increasing the opportunities of intervention and forecasting the risk. • Highlighting spaces or buildings that can be acquired or demolished to open evacuation routes, considering as a part of the city’s coherent planning and design, with “ordinary” functions but specifically configured as collection points, or to temporary stockpile post-earthquake debris. • Suggesting sites or fields to be expropriated, mainly in the most vulnerable areas, to increase the section of public roads, reducing daily congestion and improving the accessibility by emergency vehicles in case of presence of detritus. On the other hand, it may be useful to refer to behavioural maps to keep track of socio-spatial dynamics in urban public space, with the purpose to enhance social and physical accessibility and thus improve the quality of urban living. This tool has been widely tested and used by Jan Gehl since the 1960s in his many urban transformation projects that have involved the redesign of squares and streets to increase pedestrianisation and the use of sustainable means of transportation [11, 13]. This kind of maps are adjustable and adaptable to many different context, scale and purpose, and can actually open to new way of usage within the urban research.

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Analyzing the behavior of the citizens, we can design streets, squares, public services, green space, house or entire neighborhood that can decrease our carbon footprint, by reducing emissions deriving by car use and encourage people to live the open spaces for leisure and sport activities. This approach can be extended to the indoor domain to analyze the behaviors of the occupants according to their habits of use in order to: adapt the building to a real energetic needs, optimize waste and consumption; support the realistic sizing of a sustainable energy production at the scale of a building or neighborhood; accelerate the required times of power adjustment. Indeed, despite apparent differences in scale and objectives, in a broader perspective of holistic sustainability and the city as a living, highly interconnected organism, there is an opportunity to integrate different diagnostic tools to achieve a highly sophisticated and complex level of understanding of the city. A fundamental requirement, within this process of tools implementation, is the need to find similarities in terms of methodological apparatus. This requirement has been respected in the development of the two tools in Fig. 1 and Fig. 2, whose phases fulfil a rigorous, but flexible, principle of Knowledge, Interpretation and Proposed Intervention with respect to the field of investigation. In particular, the Knowledge phase have to be structured within the direct and indirect observation and assessment of Objective, Environmental and Relative Attributes of the city that can be found both in buildings and public spaces, with the purpose to develop a common analytical structure.

3 Conclusions Nowadays, the demands of contemporary living challenges both architecture and cities, asking to the project to be interpretative in respect to the needs of places and people, responding through appropriate technological solutions. Whether the urban context of the intervention, the need is to guarantee direct and indirect benefits, addressing the desires of the communities according to the new environmental paradigms. The aim is not to control all the variables involved, but to reflect on the ones on which sustainability may depend. A renewed process may imply: specific requirements and indicators related to the scale and the characteristic of the sites and the project; tools for designers, to suggest methods and practices to improve the environmental performance of the building, green technologies and clean management within the building life cycle. Eventually, we have to ask what is the complex system of principles that animate architecture today? What are our concerns as professionals and researchers? The protection of the users’ health of the users and the environment? The impacts connected to the ecological transformations? The cultural change needed to sustain the future generations? Often, behind the design process, there are very few of these considerations. Designers, architects and companies, rather prefers to adopt eco-gadgets or solution that represent market advantages. On the contrary, we can move towards the real challenge for the future architecture: the harmonization between concepts like urban transformation and environment, artefact and nature, production needs and sustainability. As META++, an effort in this perspective is represented by our strong will to push the limit of our research fields to address the many question of contemporary living. Our research mission is, in fact, to explore methods and techniques that

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can effectively help to monitoring and improve quality of urban life, acknowledging the complexity and the struggle over this ambition. The first step in this direction is the ongoing formulation of an holistic diagnosis tool (Fig. 3) that aims to study the urban and the built environment on a multi-scalar, multi-objectives and multi-target perspective. From many angles, we are invited to consider innovative approaches, talking about sustainability in realistic terms, rather that abstract. Also, we acknowledge the need to abandon the obsolete techniques, materials and technology, referring to more appropriate technologies that can represent more complex values as health, safety and place. Sustainable does not only mean self-sufficiency. To embark on a path towards sustainability, a country should start ensuring a good level of health and well-being to their community, reducing environmental impacts, engage in material recycling and use energy efficiently.

Fig. 3. The mission and the on-going researches project lead by META++.

In order to do so, we have to acknowledge that each part of the built environment is spatially, socially, energetically connected to its environment. A very strong example in this sense is represented by the theory of Self Sufficient City by Vincente Guallart, put in practice in the 2011–2015 Plan for Barcelona, Spain. Each project of the plan is designed in the integration between environment, infrastructure, urban planning, housing, ICT, people and citizens’ habits. “If climate change is being caused largely by our cities, it is in these same cities were we need to promote new lifestyles and new

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urban forms to safeguard the future of our communities” says Guallart, considering also the structure of the city as a metropolis of neighbourhood [14]. This, of course, imply a progressively shift from the building or urban scale to the human scale.

References 1. Perriccioli, M.: Innovazione sociale e cultura del progetto. Architettura e innovazione sociale. Techne. J. Technol. Archit. Environ. Dossier (14), 25–31 (2017) 2. Caldaretti, S.: Politiche insediative e mitigazione del rischio sismico. Un’esperienza su Rosarno e Melicucco, Rubbettino editore (2002) 3. De Carlo, M., Ferraris, M. (eds.) Bentornata realtà. Il nuovo realismo in discussione, Einaudi, Torino (2012) 4. Ward, C.: Architettura del dissenso. Forme e pratiche alternative dello spazio urbano. In: Borella, G. (ed.) Elèuthera, Milano (2016) 5. Cuello Nieto, C.: Toward a holistic approach to the idea of sustainability. Phil. Tech. 2(2), 79–83 (1997) 6. Palco, V.: Abitare la fragilità. Nuovi indicatori per la classificazione sismica degli edifici. Doctoral research of supervised by Prof. Alberto De Capua, and discussed in 2019 at Mediterranea University of Reggio Calabria, Department of Architecture and Territory (2019) 7. De Capua, A., Errante, L.: Interpreting Public Space as a medium for urban liveability. AGATHÓN—Int. J. Archit. Art Des. (06), 59–72 (2019) 8. UN – Department of Economic and Social Affairs, Population Division: World Urbanization Prospects – The 2014 Revision (ST/ESA/SER.A/352), New York (2014). population.un.org/ wup/Publications/Files/WUP2014-Report.pdf. Accessed 1 Apr 2019 9. UN – General Assembly: Trasforming our world – The 2030 Agenda for Sustainable Development (A/RES/70/1), New York (2015). www.un.org/en/development/desa/ population/migration/generalassembly/docs/globalcompact/A_RES_70_1_E.pdf. Accessed 1 Nov 2019 10. UN-Habitat – United Nations Human Settlements Programme: Global Public Space Toolkit – From Global Principles to Local Policies and Practice. (2015). unhabitat.org/wp-content/ uploads/2015/10/Global%20Public%20Space%20Toolkit.pdf. Accessed 1 Apr 2019 11. Gehl, J., Svarre, B.: How to study public life. Steenhard, K.A. (trans.). Island Press, Washington (2013) 12. Errante, L.: Interpreting Public Space and its role for Quality of Urban Life, supervisor: Prof. Alberto De Capua, Mediterranea University of Reggio Calabria, Department of Architecture and Territory (2019) 13. Gehl, J.: Life Between Buildings: Using Public Space(Edizione Originale: 1971 ed.). Kock, J. (trans.). Island Press, Washington (2011) 14. Guallart, V., Roig, C.B., Batlle, R.G.: Plans and Projects for Barcelona 2011–2015. ACTAR Publisher and Ajuntament de Barcelona, Barcelona (2015)

Improving Risk Knowledge for Planning Purposes: Critical Issues and Hints for Enhancement Adriana Galderisi(&) and Giada Limongi University of Campania “Luigi Vanvitelli”, Aversa, Italy {adriana.galderisi,giada.limongi}@unicampania.it

Abstract. The growing exposure and vulnerability of cities to hazardous events and the ineffectiveness of urban planning in providing adequate responses to the need of risk reduction exacerbate the impacts of natural hazards, leading more and more often to disasters. The most recent international documents on disaster risk reduction (DRR) largely emphasize the urgency to review current approaches to risk knowledge, by overcoming the widespread fragmentation and segmentation of data, information and competencies, to better support a riskinformed urban development and to provide more adequate information on risks to different users, including citizens. Thus, starting from a brief analysis of the most critical issues that affect risk knowledge in Italy and according to the objectives of the first priority area of the Sendai Framework 2015–2030, this contribution outlines a methodological frame for building up an integrated risk knowledge base, specifically tailored to planning purposes. Furthermore, based on the outlined methodological frame, three main research questions will be specifically addressed: how to identify the main gaps in existing knowledge; how to shift from a single hazard/risk perspective to a multi-risk perspective, capable of taking into account the potential interactions among different hazard sources; how to improve current knowledge on vulnerability of exposed assets. Keywords: Disaster risk knowledge Multidimensional vulnerability


Multi-Risk assessment


1 A Better Knowledge of Risks: A Key Priority for DRR Starting from the 1950s, urban population has significantly increased world-wide. The uncontrolled expansion of cities outwards led to more and more complex metropolitan systems. As a result of the continuous urban growth, sometimes in hazard-prone areas, of the increase of climate-related events, largely due to human activities, and of the lack of effective risk reduction strategies, damage consequent to hazardous events have significantly increased in the last decades, in terms of both affected population and economic losses [1]. Moreover, being large urban areas more densely populated and characterized by important economic assets, they show the highest exposure to natural hazards and are more vulnerable to disaster-related economic losses [2]. In recent years, the growing attention paid by large international organisations (e.g. UNISDR) and citizens to risks issues have largely contributed to stress the need of © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 606–617, 2021. https://doi.org/10.1007/978-3-030-48279-4_57

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further enhancing strategies and investments for disaster risk reduction (DRR), also for counterbalancing the growing frequency of climate-related events, and numerous scholars have pointed out the critical role of knowledge to support informed decision making [3, 4]. In particular, the main international documents on DRR have strongly emphasized the pivotal role of spatial planning and the need of reviewing current approaches to the risk knowledge, to overcome existing fragmentation and segmentation of data, information and competencies and to build up constantly updated knowledge bases, able to support a risk-informed urban development and to provide adequate information to different users, including citizens. The Framework has also outlined the key actions to achieve such a goal; among them: to strengthen technical and scientific capacity to capitalize on and consolidate existing knowledge, by promoting collection, management and use of relevant data and information, and ensuring its dissemination to different stakeholders; to consider all risk components (hazard, exposure and vulnerabilities) and their potential interactions, by developing and apply methods and tools to assess disaster risks, vulnerabilities and exposure to all hazards; to encourage the use and strengthening of baselines at relevant spatial scales, their periodical updating, the real-time access to data; to promote comprehensive multi-risk analyses, by taking into account climate change scenarios; to share experiences, lessons learned, local knowledge and good practices on DRR and to facilitate a science-policy interface for effective decision-making.

2 Risk Knowledge in Italy: A Fragmented and Lacking Landscape In Italy analysis and assessment of the numerous risks affecting the national territory are in charge to different Authorities (Basin Competent Authorities, Civil Protection, Ministry of Environment, etc.). Each of them generally addresses one hazard/risk at a time, providing a significant, despite sectoral, amount of data, information and plans. Only few attempts aimed at unifying available knowledge have been so far carried out at national scale. In particular, an important step forward was the creation of the web portal on natural hazards promoted in 2017 by the Casa Italia Mission Structure [5] and available on the website of the National Institute of Statistics (ISTAT). However, the web portal has some weaknesses related, for example, to the focus on natural hazards, leaving out man-made hazards that are, on the opposite, largely widespread throughout Italy; the lack of attention to the potential interactions between different types of hazards; the limited attention paid to the multiple dimensions of vulnerability, and, above all, the choice of the municipal scale as the minimum reference unit for displaying available data and information. Moreover, the type of information that the different responsible Authorities generally provide is mostly related to the hazard component, while mitigation measures, generally addressed to reduce risks in existing settlements, require detailed information on exposure and vulnerability. In some cases, aggregate and qualitative risk maps provide a classification of large areas into different risk zones (ranging from low to very high). These maps are surely useful to prioritize intervention and allocation of available resources but insufficient to support planning decisions at local scale as well as to

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compare the consequences of alternative planning choices on the different risk components. Hence, available risk knowledge in Italy shows several critical issues that led to a fragmented and often lacking knowledge landscape. The most critical issues can be synthesized as follows: • data on different risk components (hazards, exposure and vulnerability), when available, are collected and elaborated through different methods by different Authorities and often aggregated in respect to different spatial scales; • data and information on vulnerability are often missing; • data and information often show different updating time and are sometimes outdated; • effective multi-risk analyses are often missing due to the sectorialisation of competencies and responsibilities; • available data and information related to risks are not tailored to planning purposes and difficult to access by different categories of users, comprising citizens. The direct consequence of the numerous critical issues that characterise current risk knowledge in Italy is the difficulty to effectively guide urban planning strategies towards DRR goals. Moreover, DRR strategies would require effective multi-risk approaches and integrated risk knowledge bases [6], capable of allowing planners, for example, to better understand whether a preventative measure is adequate to reduce different risks or just one; whether or not it may create unwanted drawbacks, increasing vulnerability in the face of one hazard, while reducing it in the face of another one. In order to better explain these critical issues, we will provide some examples related to the way knowledge on hydrogeological risks, in charge to Competent Authorities, is developed and managed in Italy. Landslides hazard maps are carried out by the Competent Authorities, based on the input data provided by the IFFI database (Landslide inventory in Italy) [7] and, despite the common methodology outlined by the national law issued in 1998 (DPCM 29/9/98), the adopted methodologies are very heterogeneous, ranging from qualitative methods based on matrices to quantitative statistical methods or mixed-type approaches [8]. Flood hazard and risk maps are carried out through the standardised methodology outlined by the Floods Directive 2007/60/EC and implemented in Italy by the Law 49/2010. Flood hazard maps have to be outlined by the Competent Authorities considering three event scenarios. For each scenario, flood hazard maps have to indicate: the extension of the potentially flooded area; the expected height or level of water; the speed and flow rates. Then, flood risk maps have to represent the potential impacts – classified in 4 levels - of the different scenarios, based on data related to the exposure of the affected area and namely to: the amount of potentially affected inhabitants, infrastructure and strategic buildings, environmental, historical and cultural heritage, economic activities, industrial plants, and protected natural areas. However, also flood risk maps are very heterogeneous, since data on exposed assets generally derive from heterogeneous sources (Regional Technical Maps, digital atlases, Corine Land Cover, land uses, maps and so on) that show different levels of updating. Finally, it has to be remarked that, both landslide and flood risk maps include in some cases a physical vulnerability assessment: however, in most cases, based on the

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notion that all the elements located in hazard-exposed zones are vulnerable [9], a vulnerability value equal to 1 (intended as a maximum value in a range from zero to one) is assigned to all exposed elements. In order to support the identification of priority intervention areas and the allocation of funds at national level, the National Institute for Environmental Protection and Research (ISPRA) has developed a national mosaic that resumes all landslides and flood hazard maps drawn up by the Competent Authorities, by updating all exposure indicators for both risks, based on ISTAT census data on population and industry, and data on cultural heritage provided by the High Institute for Conservation and Restoration (Istituto Superiore per la Conservazione e il Restauro - ISCR). The national mosaic, drawn up in 2015 and updated in 2018, represents a first attempt to provide a homogeneous and updated picture of hydrogeological risk in Italy [10]. Summing up, the provided examples clearly highlight some of the main criticalities that characterise risk knowledge in Italy, related to the different adopted methodologies and sources for analysing and assessing the different risk components, to the insufficiently detailed information on vulnerability features of exposed elements, to the heterogeneous updating of data and information, as well as to the spatial aggregation of data, which is not generally tailored to planners’ needs.

3 Improving Risk Knowledge: A Methodological Frame In order to address the numerous criticalities that still characterize risk knowledge in Italy, a methodological frame aimed at guiding the building up of a multi-risk knowledge base, tailored to planning purposes, has been outlined. This frame points out the main objectives to be pursued, which ground on the key actions identified by the Sendai Framework for DRR, as well as the main steps to be undertaken to ensure their achievement (Fig. 1).

Fig. 1. Objectives and methodological steps for building up a multi-risk knowledge base for planning purposes (Authors’ elaboration).

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In particular, the first steps are addressed to collect and systematize existing data and information, to have a comprehensive and detailed picture of the main gaps that characterise available risk knowledge. The following steps are addressed to improve current knowledge by developing methods and tools capable of: improving data and information on exposure and vulnerabilities to different hazards; identifying potential interactions among different hazard sources; providing a spatial-based multi-risk knowledge tailored to planning purposes; developing risk scenarios capable of taking into account both potential interactions among hazards and vulnerabilities and climate change scenarios; strengthening accessibility of data and information to different users, including citizens. In respect to this frame, we will focus here on criteria and methods addressed, on the one hand, to facilitate the collection, systematization and “spatialization” of existing data and information on risk; on the other hand, to improve data and information on vulnerability and to effectively consider potential interactions among hazards and vulnerabilities. 3.1

Capitalise on Existing Knowledge: Collect and “Spatialize” Available Data

The building up of a comprehensive and detailed picture of currently available risk knowledge may allow us to better understand if available information is up to date and easily accessible and also what data and information on different risks, as well as on different risk components, are currently missing. To this aim, a crucial step is the collection and systematization of available data and information over the whole study area, according to a common base. Therefore, a summary sheet to be filled in respect to each type of risk affecting the selected study area has been designed (Table 1). These sheets allow us to collect and systematize information on the different risks affecting the study area, as well as on each risk component, providing us with crucial information on the methods used to analyse and monitor each component, the frequency of data updating, the representation scales, the accessibility of data and information. The systematic collection of available information represents a useful starting point both to deepen availability and reliability of current data and information on the heterogeneous risk components and to highlight the main gaps to be filled to improve existing knowledge and make it more suitable to planners’ needs. Moreover, the building up of a multi-risk knowledge base tailored to planning purposes, requires the ‘spatialisation’ of available knowledge. Data and information on the different risk components (hazard, exposure and vulnerability) nowadays are generally provided in respect to different spatial units: • seismic classification of the national territory refers to the municipal level, while seismic microzonation studies, when available, provide a subdivision of the municipal territory according to the lithology of the subsoil; • flood and landslide hazard maps define, within the considered watershed, the areas potentially affected and the exposed elements within each hazard-prone area; • municipalities or neighbourhoods potentially affected by volcanic events are generally classified according to primary (pyroclastic lava flows) and secondary effects (volcanic ashes).

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Table 1. The summary sheet to collect and systematize available risk knowledge (Authors’ Elaboration). Type of risk Competent Authority Other involved actors

e.g. Basin Authority, Civil Protection e.g. Accredited scientific institutes

HAZARD DATA Analysis method Hazard intensity index Spatial scale of analysis Maps available Levels of accessibility Monitoring methods Multi-hazard assessment EXPOSURE DATA Classes of exposed elements Analysis method Exposure indicators Spatial scale of analysis Maps available Levels of accessibility Monitoring methods VULNERABILITY DATA Dimension of vulnerability Analysis method Vulnerability indexes Spatial scale of analysis Maps available Levels of accessibility Monitoring methods

Update time span

Min-max/average

Last update

Year

e.g. Probabilistic, deterministic e..g. PGA, landslide susceptibility e.g. Census units, river basins/min-max yes/no e.g. Pdf download, shapefile, webGIS e.g. Sensor networks, indicators e.g. yes/no e.g. Population, Lifelines, e.g. Quantitative, qualitative e.g. Population density, value of areas e.g. Census units, river basins/min-max yes/no e.g. Pdf download, shapefile, webGIS e.g. Sensor networks, indicators, census e.g. Physical, Social e.g. Quantitative, qualitative e.g. Age, imperviousness degree e.g. Census units, river basins/min-max yes/no e.g. Pdf download, shapefile, webGIS e.g. Sensor networks, indicators, census

Furthermore, some relevant data on exposure and vulnerability can be drawn from ISTAT databases that provide, for the whole national territory, data referred to minimum spatial units, which extension depend on population density. Therefore, available data may refer to very small units in high density urban areas, where the spatial grid of the census units is very dense, and to significantly larger units in low density areas, such as periurban or rural areas.

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Another important source of information is the Corine Land Cover (CLC) that provides an inventory of land uses articulated into 44 classes, by using a Minimum Mapping Unit (MMU) of 25 hectares (ha) for areal phenomena and a minimum width of 100 m for linear phenomena. Complementary to land-cover mapping datasets, the High-Resolution Layers (HRL) provide detailed information on specific characteristics, such as impervious surfaces. Finally, the Urban Atlas provides detailed land use data in respect to 785 Functional Urban Areas (FUA). Despite it is limited to selected urban areas, the Atlas provides numerous data, which include: 17 urban classes with MMU of 0.25 ha; 10 rural classes with MMU of 1 ha; a Street Tree Layer (STL) dependent on the availability of suitable satellite imagery, and the building height for core areas of the selected cities. Thus, a crucial issue to build up a spatial-based multi-risk knowledge base tailored to planning purposes is to refer all data and information on risks to homogeneous spatial units. We will provide here a procedure for singling out Homogenous Spatial Units (HSUs) suited to the needs of spatial planning at metropolitan scale. As mentioned above, the ISTAT database, which is the main source for exposure and vulnerability analyses, refers to census units. However, being the grid of census units very dense, especially in core urban areas, based on the classification of CLC and Urban Atlas, they can be aggregated into larger units, according to their different land uses. Then, the obtained units can be further articulated according to their hazard features: for example, a homogeneous unit in terms of land use can be affected by different hazards or can be affected, only partially, by a single hazard. However, these units do not allow us to consider the key role played by linear elements (e.g. transport networks, pipelines, green infrastructures, etc.); hence, the latter will be analysed separately (Fig. 2).

Fig. 2. Homogeneous spatial units: shaping criteria (Authors’ elaboration).

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Summing up, the two described steps allows us to build up a multi-layer baseline of current risk features of both the network infrastructures and HSUs into which the whole considered area has been divided, and to identify the still missing data and information in respect to each risk as well as to each risk component. 3.2

Improving Current Knowledge: From Individual to Complex Events

While risk assessment is generally carried out by considering one hazard at a time, more and more often cities, and above all large metropolitan areas, have to face more than one hazard that, very often, have disruptive impacts due to the combined and usually unexpected action of different hazard factors. An effective multi-risk approach can contribute both to increase the capacity of territorial systems of coping with the combined impacts of multiple hazards and to optimize the use of the limited available resources, by better guiding prevention measures to address more than one risk at a time. Hence, this methodological step aims at overcoming the still prevailing assessment of risks in a separate way in favour of a comprehensive multi-risk assessment, which considers both the mutual influences among different hazard factors, such as an earthquake triggering a landslide (chained or coupled events), and the potential interactions between hazards and exposed vulnerable assets that can act, in turn, as further hazard sources (na-tech events) (Fig. 3).

Fig. 3. From risk maps overlapping towards a comprehensive multi-risk assessment (Authors’ elaboration).

In order to develop a comprehensive multi-risk assessment, it is crucial first of all to homogenize the heterogeneous intensity values of the multiple hazards affecting the area at stake. This step can benefit from the outcomes of the European Project “Applied Multi-Risk Mapping of natural hazards for impact assessment” (ARMONIA 2002– 2006) [11]. This project outlined criteria and parameters for homogenizing the intensity of the multiple hazard affecting a given territorial unit. Secondly, all the potential interactions among the different hazards threatening the selected area (chained or coupled hazards) have to be identified. This step can build on the outcome of the ESPON Hazard Project [12]. The latter developed a matrix that highlights the potential interactions among different hazards on a regional scale. This matrix may allow us both to identify, in respect to each HSU, the “most influencing hazard on -” and the “most sensitive hazards to-” other hazards, and to “spatialize” the potential interactions to identify the most “sensitive” HSUs, characterised by the presence of more than one hazard influencing each other (Fig. 4).

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Fig. 4. Chained hazards and sensitive HSUs (Authors’ elaboration).

Finally, the potential interactions among hazards and exposed vulnerable assets that can act, in turn, as further hazard sources must be considered. This step clearly requires the identification of all exposed assets (industries, network infrastructures, etc.) that, in case of event, may act as further hazard sources. It is worth emphasizing that, although these potential interactions have to be considered in the development of comprehensive multi-risk maps, to prioritize those areas where the possibility of occurrence of complex events is higher, a fully understanding of complex events will require further analyses carried through different approaches and tools. In respect to these areas, it will be crucial to develop comprehensive risk scenarios capable of exploring, in a qualitative, quantitative or semi-quantitative manner, the multiple consequences (secondary hazards, na-tech events, systemic vulnerability, etc.) that, starting from a triggering hazard, may occur over different time spans and spatial scales [13]. 3.3

Improving Current Knowledge: A Multidimensional Approach to Vulnerability

Vulnerability represents a crucial issue along the path aimed at improving risk knowledge for planning purposes. As mentioned above, the Sendai Framework stresses the need for considering all risk components in risk analysis and assessment. On the opposite, as remarked in respect to Italy, while hazards and exposure are generally considered, vulnerability of exposed elements to different hazards represents, very often, a missing or partially included aspect in current risk knowledge. Nowadays vulnerability is generally defined as “the condition determined by physical, social, economic and environmental factors or processes which increase the susceptibility of an individual, a community, assets or systems to the impacts of hazards” [14]. Such a definition emphasizes, firstly, the multiple aspects that contribute to increase/decrease vulnerability, which include but are not limited to physical fragility; secondly, the key role that spatial planning may play in reducing vulnerability and, consequently risk, by acting on the “root causes” (e.g. urban development patterns, environmental degradation, etc.) that make an individual or a system “likely to experience harm due to some exposure from natural, technological, or human-induced sources” [15]. In scientific literature, as well as in the numerous European research projects addressing risk issues, the vulnerability concept has been declined in different ways and numerous frameworks and sets of indicators have been so far developed to analyse its dimensions. In particular, to improve data and information on vulnerability, we will

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build on the outcomes of two European projects that have addressed in-depth vulnerability issues: the project “Methods for the improvement of Vulnerability Assessment in Europe” (MOVE) and the project “Enhancing resilience of communities and territories facing natural and na-tech hazards” (ENSURE), both of them carried out between 2009 and 2011, under the Seventh Framework Program. According to these projects, vulnerability analysis and assessment have to be performed considering the multiple conditions that increase the susceptibility of the heterogeneous exposed assets to be damaged by a given hazard (physical, social, economic, environmental, institutional) [16]. Moreover, due to the numerous interdependencies among different exposed assets, a comprehensive vulnerability analysis requires an in-depth consideration of the fragilities arising as a consequence of these interdependencies. For example, the physical failure of a given element might induce impacts on other connected elements, by reducing its overall functioning. Therefore, a further dimension of vulnerability has to be considered: the systemic vulnerability, mostly intended as a vulnerability to losses [17, 18]. Finally, in order to tailor risk knowledge to planning purposes, it is crucial to examine the spatial distribution of both the different vulnerabilities and the comprehensive susceptibility to losses of a given territorial unit. The latter depends, in fact, on all the different vulnerabilities and can be referred to as territorial vulnerability. While the analyses of each vulnerability dimension provide useful insights to identify the most appropriate strategies and measures to reduce them, territorial vulnerability is crucial to identify priority areas of intervention within a given territory. Hence, hints and outcomes provided by the two projects above mentioned have been integrated into a framework that should guide comprehensive vulnerability assessment (Fig. 5).

Fig. 5. The framework for developing a comprehensive analysis of the multidimensional concept of vulnerability (Authors’ elaboration).

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4 Conclusions This contribution has outlined a methodological frame for building up a multi-risk knowledge base tailored to planning purposes, addressing two main issues: firstly, the need to systematize and “spatialize” available knowledge to overcome its current fragmentation; secondly, the need to consider the potential interactions among hazards as well as among the multiple facets of vulnerability, to develop a knowledge framework consistent with the complexity of urban phenomena. The lack of attention devoted so far to hazards and vulnerabilities’ interactions has, in fact, largely contributed to reduce the effectiveness of current disaster risk reduction strategies, generally based on the outcomes of single-risk analyses. However, numerous critical issues still have to be addressed. Among them, it is worth mentioning at least the followings: the definition of effective methods to weight the potential interdependencies among hazards; the building up of a comprehensive set of indicators capable of measuring the multiple dimensions of vulnerability in the face of different hazards; the development of comprehensive multi-risk scenarios capable of exploring the complex chains of hazards, impacts and damages. Finally, the outlined methodological frame has to be implemented on multi-risk metropolitan areas, to test its applicability to real cases and to revise it, according to the outcomes of different test cases.

References 1. EM-DAT: The Emergency Events Database. Université catholique de Louvain (UCL) CRED, D. Guha-Sapir. Brussels, Belgium. http://www.emdat.be. Accessed 20 Jan 2020 2. UN-DESA: Risks of Exposure and Vulnerability to Natural Disasters at the City Level: A Global Overview. Technical Paper 2 (2015) 3. Weichselgartner, J., Pigeon, P.: The role of knowledge in disaster risk reduction. Int. J. Disaster Risk Sci. 6, 107–116 (2015). https://doi.org/10.1007/s13753-015-0052-7 4. Scolobig, A., Komendantova, N., Mignan, A.: Mainstreaming multi-risk approaches into policy. Geosciences 7, 129 (2017). https://doi.org/10.3390/geosciences7040129 5. di Missione, Struttura, Italia, Casa: Rapporto sulla Promozione della sicurezza dai rischi naturali del patrimonio abitativo. Presidenza del Consiglio dei Ministri, Roma (2017) 6. Mignan, A., Komendantova, N., Scolobig, A., Fleming, K.: Multi-risk assessment and governance. In: Madu, C.N., Kuei, C.H. (eds.) Handbook of Disaster Risk Reduction & Management. World Scientific (2017). https://doi.org/10.1142/9789813207950_0014 7. IFFI – Inventario dei Fenomeni Franosi in Italia. http://www.progettoiffi.isprambiente.it/. Accessed 23 Dec 2019 8. Trigila, A., Frattini, P, Casagli, N., Catani, F., Crosta, G.B., Esposito, C., Iadanza, C., et al.: Landslide susceptibility mapping at national scale: the Italian case study. In: Margottini, C., Canuti, P., Sassa, K. (eds.) Landslide Science and Practice. Springer (2013) 9. Cardona, O.: The need for rethinking the concepts of vulnerability and risk from a holistic perspective: a necessary review and criticism for effective risk management. In: Bankoff, G., Frerks, G., Hilhorst, D. (eds.) Mapping Vulnerability: Disasters, Development and People. Earthscan PublishersLondon, London (2003) 10. Trigila, A., Iadanza, C., Bussettini, M., B, Lastoria: Dissesto idrogeologico in Italia: pericolosità e indicatori di rischio - Edizione 2018. ISPRA, Roma (2018)

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11. Delmonaco, G., Margottini, C., Spizzichino, D.: ARMONIA methodology for multi-risk assessment and the harmonisation of different natural risk maps. Deliverable 3.1.1, ARMONIA Project (2006) 12. Tarvainen, T., Jarva, J., Greiving, S.: Spatial pattern of hazards and hazard interactions in Europe. Natural and technological hazards and risks affecting the spatial development of European regions. In: Schmidt-Thomé, P. (eds.) Geological Survey of Finland, Special Paper 42, pp. 83–91 (2006) 13. Galderisi, A.: Città, Complessità e Rischi. Ridefinire approcci e competenze per una più efficace comprensione e gestione dei rischi nelle aree urbane. Urbanistica 160 (2019) 14. UN-General Assembly: Report of the open-ended intergovernmental expert working group on indicators and terminology relating to disaster risk reduction. Seventy first session. Agenda item 19 (c) Sustainable development: disaster risk reduction. A/7/644 (2016) 15. Cutter, S.L.: Vulnerability. In: Bobrowsky, P.T. (ed.) Encyclopedia of Natural Hazards. Encyclopedia of Earth Sciences Series. Springer, Dordrecht (2013) 16. Birkmann, J., Cardona, O.D., Carreno, M.L., Barbat, A.H., Pelling, M., Schneiderbauer, S., Kienberger, S., Keiler, M., Alexander, D., Zeil, P., Welle, T.: Framing vulnerability, risk and societal responses: the MOVE Framework. Nat. Hazards 67, 193–211 (2013). https://doi. org/10.1007/s11069-013-0558-5 17. Sapountzaki, K., Wassenhoven, L., Melissourgos, Y., Menoni, S., Kundak, S., Desramaut, N., Modaressi, H., Parker, D., Tapsell, S., Kropp, J., Costa, L., Kidron, G., Galderisi, A., Profice, A.: Relation between systemic and physical vulnerability and relation between systemic, social, economic, institutional and territorial vulnerability. ENSURE project, WP2 - deliverable 2.1.1 (2011) 18. Scaini, C., Biass, S., Galderisi, A., Bonadonna, C., Folch, A., Smith, K., Hoskuldsson, A.: A multi-scale risk assessment for tephra fallout and airborne concentration from multiple Icelandic volcanoes. Part 2: Vulnerability and impact. Nat. Hazards Earth Syst. Sci. NHESS 14, 2289-2312 (2014)

The Impact of Smart Technology to Improve Urban Resilience for Disaster Risk Reduction Al Khafaji Ibtisam Abdulelah Mohammed(&) Department of Architecture, Al-ESRAA University College, Baghdad, Iraq [email protected]

Abstract. Political change is considered as one of the Disaster Risk issues challenging contemporary cities especially in unstable country like Iraq. This study focuses on the Smart and Resilient City concepts that, according to current scientific literature, seem to play a leading role in enhancing cities capacities to cope with fast, unpredictable and temporal political changes. Urban resilience in this section is presented as: A dynamic Functional quality of urban space which has the capacity to reduce disaster risk. Nevertheless, current initiatives to improve Iraqi cities’ smartness and resilience are still at an early stage. To fill this gap, our research will investigate how smart technology can improve resilient space for Disaster Risk Reduction. We will chose Liberation Square as a case study. Liberation Square is Baghdad’s biggest and most central square located in the Al-Rusafa part of the city on the eastern banks of the River Tigris, it was reported as being the epicenter of the unrest of the October 2019 Iraqi protests. In order to capture this aim, four basic concepts have been identified and framed into a conceptual structure, then we used self-assessment practical tools to test hypothesis. Results explained that smart technology works as helping process to reduce disaster risk by: 1 - Fast response, recover and adaptability, 2 - Help people to be more positive and active, 3 - Enhance activity-space tolerance, 4 - Maximizing functional quality of urban space. The latter represents a guideline for urban designer to create spaces which respond, recover, and adapt quickly to such disturbances. Keywords: Smart technology
Urban resilience Unpredicted events-place and scale


Disaster risk reduction


1 Introduction/Smart City’ and Urban Resilience 1.1

Definitions

Architecture in the twenty - first century, a period already understood through its dramatic movement and intense changing, must be far more responsive, resonant, and resilient than design for days long past [1]. Although the large variety of studies and researches focuses on different aspects of smart city, they agree that ICTs have a crucial role to develop it. The term “smart” has been primarily used in the Nineties by the Smart Growth American movement, to a set of principles for designing and to represented a key tool for increasing efficiency, attractiveness and competitiveness of cities [2]. The Smart Cities concept is connected © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 618–630, 2021. https://doi.org/10.1007/978-3-030-48279-4_58

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to notions of global competiveness, sustainability, empowerment and quality of life, enabled by broadband networks and modern ICTs [3]. They integrate technologies, systems, infrastructures, services, and capabilities into an organic network that is sufficiently complex for unexpected emergent properties to develop. More recent thinking about change, disturbance, uncertainty, and adaptability is fundamental to the emerging science of resilience, the capacity of systems to reorganize and recover from change and disturbance without changing to other states - in other words, systems that are “safe to fail [4]. The concept of resilience has been developed since the Fifties through different disciplinary fields, from physics to psychology, from ecology to management science. The term comes from the physics which was used to describe the strength of materials in face of external perturbations, their ability to elastically deform under load, was probably the first one to use the term for describing the behavior of natural systems in face of external perturbations, distinguishing resilience - interpreted as the ability of a system to return to an equilibrium state after a temporary disturbance [5]. According to Holling the concept of stability, is based on concepts as efficiency, constancy, predictability, return time to a previous state and, above all, on the idea of a single, stable equilibrium. Resilience also means the degree to which cities are able to tolerate alteration before reorganizing around a new set of structures and processes [6]. Urban resilience is the dynamic interplay of persistence, adaptability and transformability across multiple scale sit towards the capacity of a city to recover from unpredicted events, which can affect the city in unpredictable places, at an unpredictable scale and damage. This unpredictability can be a reason to believe that the period after the event is when the cities show their level of resilience, by recovering to its previous conditions (before the disaster) [7]. Resilience also defended as the ability of a system to adjust in the face of changing conditions”. In Resilient city system can tolerate disturbances (events and trends) through characteristics or measures that limit their impacts, by reducing or counteracting the damage and disruption, and allow the system to respond, recover, and adapt quickly to such disturbances. It Encourages practitioners to consider innovation and change to aid recovery from stresses and shocks that may or may not be predictable [8]. 1.2

Resilience for Reduction Disaster Risk

A disaster resilient city can be understood as a city that has managed to: (a) reduce or avoid current and future hazards; (b) reduce current and future susceptibility to hazards; (c) establish functioning mechanisms and structures for disaster response; and (d) establish functioning mechanisms and structures for disaster recovery”. In this way resilient cities recover and continue to provide their main functions of living, commerce, industry, government and social gathering in the face of calamities and other hazards, in the same time it has the capacity to adapt or respond to unusual often radically destructive events” [9]. Climate Change, Natural Disasters, and Terrorism are three threats to cities can have devastating effects to people living in the cities and it usually takes many years or decades to recover from these hardships to the built environment.

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The Safe Cities project proposed four goals to build a safety resilience city: Safe spaces around the city and community - Safe Online Security Sphere - Safe and clean societies and strong families [10]. For escaping these stresses that manifest undesirable and often persisting situations, cities need to mobilize their capacities to overcome them and create fundamentally different conditions, reflexes and ultimately situations. Such urban renewal processes of transformation call upon the establishment and strengthening of inherent/internal dimensions of urban resilience like people-capital (individuals and communities), technological-capital (infrastructure), natural-capital (urban ecosystems) and governance-capital (institutions, partnerships, rules and laws [11, 12]. 1.3

Research Motivation/Research Problem, Aims and Methodology

Liberation Square is Baghdad’s biggest and most central square located in the AlRusafa part of the city on the eastern banks of the River Tigris, is located in central Baghdad at the intersection of Al-Sadoun Street and the Jamhouriyya Bridge Road. It is home to a major monument which commemorates the 1958 establishment of the Republic of Iraq. The work integrated Iraq’s ancient history with contemporary themes and techniques. The architect Rifat Chadirji with the sculptor Jewad Selim were responsible for designing a monument symbolizing the people’s strife against tyranny and paid homage to Iraq’s deep art history by including Abbasid and Babylonian wall-reliefs, producing a sculpture that was both “strikingly modern” yet also referenced tradition [13]. It depicts historic Iraqi events up to the 14 July Revolution led by Abdul Karim Qasim; a key date which marks the beginning of Republican rule in Iraq [14]. Liberation Square (Al Tahrir) locally, the square consists of open public spaces with the Nation Garden (Ummah), situated behind the square. From October 2019, the Square become the central urban space which accommodate thousands of demonstrators, students and visitors for this it was reported as being the epicenter of the unrest of the October 2019 Iraqi protests. Hundred persons have refused to leave the square for months, until they can get their human rights. In the center of the square, many of manifestations are from different generations, some of them are traditional and others are raised with social media. There are two streets around the square, from which elementary elements and ambulance can be reached. Women cook using large pots and others make huge quantities of bread. All of the food is being given to the demonstrators free of charge and it’s also offered to casual visitors. At the end of Tahrir Square is a long traffic bridge, Jamahiriya bridge, that links the plaza with the high security Green Zone. The latter is where various foreign embassies and Iraqi government ministries are located, as well as the residences of high-ranking Iraqi officials. Dozens of protesters keep trying to cross the bridge but at the other end, around 80 m away, are security forces, behind concrete blast walls to prevent them from getting too close. To the right side of the bridge is a long abandoned 14 story building nicknamed the Turkish restaurant. This building has become a symbol of resistance for the protesters, many of whom are now sleeping inside, and keeping an eye on what security forces are

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doing below. The only transportation here is provided by the three wheelers (tuk-tuk) which are mostly driven by drivers under the age of 18 and they’ve become one of the icons of these demonstrations. The drivers volunteer to carry injured people away, taking them to either a camp hospital or to a general hospital nearby. The walls around Tahrir Square have become large works of art where young Iraqis have drawn and painted their messages about freedom and a good life on the walls. This includes graffiti about the strength of Iraqi women and their roles in local culture. On the ground, are what may best be described as small, informal libraries with hundreds of books. Everyone who is here seems to feel like Tahrir Square has become something outside of real life in Baghdad. Nobody wants to leave this utopian wonderland they feel they have created for themselves (See Fig. 1). Scientific literature explained that, resilience against a variety of common and disruptive is increasingly valuable in terms of the way communities are designed, operated and how urban practitioners are working to improve the community safety level. Iraqi cities are unable to face the Unpredictable challenges with a resilient flexible strategies that’s contributed in reduces the urban safety. Adoption of resilience strategy will contribute to increase the city safety against the Unpredictable challenges. A holistic solution to urban defense focused on three major pillars [10]: 1. Prevention of institutional violence - which include frameworks for enforcement and legislative; 2. Prevention of social violence - which include targeting at-risk youth and gender activation. 3. Prevention of social abuse - based on the physical surroundings. Generally, current initiatives to improve Iraqi cities’ smartness and resilience are still at an early stage. Spontaneously, to fill this gap, people in the square have used their personal smart phone to communicate with each other, very huge displaying screen was installed in the square and web-learning are applied to maintain life in the closed area. From all information mentioned above, we can specified research problem, aim, hypothesis and method (Tables 1 and 2). Table 1. Research problem, aim, hypothesis and method (Source: by researcher) Research problem: There is no clear conceptual frame which can be used to describe the effects of smart technology to improve urban resilience for reducing disaster-risk Research aim: Clarifying how smart technology can improve urban resilient for Disaster Risk Reduction in unstable political zone (Especially in Liberation Square/Baghdad/Iraq) Hypothesis: We suppose that smart technology work as helping process to improve reduction Disaster Risk by: 1 - fast response, recover and adaptability, 2 - help people to be more positive and active, 3 - enhance activity-space tolerance, 4 - maximizing functional quality of urban space Methodology: due to the imperial nature of our research, we will organize themes in conceptual structure then we will use self-assessment questioner to test variables

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Fig. 1. Liberation Square (Source: by researcher) Table 2. Conceptual Structure Basic concepts 2.1 Operating process of changes

2.2 Helping process for urban resilience

2.3 Smart design facilities

2.4 Improving urban resilience for reduction disaster risk

Sub-basic concepts Continuity Transformation Emergence Fast responsive and fast recovery Create coherence Create equilibrium Repair damages Enhance whole Overlapping and nested salient centers Sensors, transducers, signal conditioners, transmitters, converters, receivers, logic controllers, displays, recorders, and actuators People resilience, places’ resilience, a dynamic functional quality of urban space

2 Conceptual Structure 2.1

Operating Process of Changes

1. Continiuity: Relative slow change: At very fine spatial scales, growth involves individual transitions which are measured with respect to land use, occupancy and density, and change can be slow or fast, gradual or abrupt, the change in spatial pattern appears slow and gradual.

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2. Transformation: Persistence and self-organization: Forms and functions evolve from one pattern to another, it would seem that the level of connectivity which has evolved with respect to the density of the space filled is just enough for the city to function as a whole, and it this morphology and degree of connectivity that marks the fact that the city has reached a level of self-organization. 3. Emergence: Qualitative changes: New and novel structures arise. Qualitative change can in fact be pinned down to the invention or emergence of new categories of object, new classifications of the old that only have meaning for the contemporary world [15, 16]. 4. Fast_Responsive and Speed of Recovery: UN in 2018 has identified resilience as the ability of an urban system and all its constituent socio-ecological and sociotechnical networks across temporal and spatial scales to maintain or rapidly return to desired functions in the face of a disturbance, to adapt to change and to quickly transform systems that limit current or future adaptive capacity’. Encompasses the idea that towns and cities should be able to recover quickly from major and minor disasters [17]. The distinction between interactive and reactive system is what enables adaptive responsive architecture to be seen as an enabler of new relations between peoples and spaces. The time required to return to a previous stable state after a disturbance” can be used to measure resilience [1]. 2.2

Helping Process for Urban Resilience

A living city can be understood from the life of its components, from its multifunctionality, from its movements and connectivity and from its structure and process which should create fields of potential forces (functional, geometrical, topological, visual forces). These forces should be obey the inverse law of potential (strong forces can be found on a local scale and weak forces can be found on the global scale). These forces should be stable on local scale to be active on the global scale, (coherence and equilibrium). Helping processes tend to help and repair and enhance the whole and to help the structure to become more definite, more differentiated, more articulated and clear [18, 19]. 2.3

Smart Design Facilities

Smart design facilities include all available devices, sensors, transducers, signal conditioners, transmitters, converters, receivers, logic controllers, displays, recorders, and actuators. They also include network technologies, internet connections, and feature applications that serve the purpose of their modules. A sensor is a device detects or responds to a physical or chemical stimulus (like, motion, heat, or chemical concentration). A sensor directly interacts with the stimulus field. A sensor invariably involves an exchange of energy or a conversion of energy from one form to another. Sensor is a device that can be used as a basis for measurement or control. A transducer is normally a device that converts energy from one form to another (e.g. Mechanical energy into electrical energy, also it could transferee energy in the same form. Transducers are normally used

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for purpose of transmitting, monitoring or controlling energy. An actuator is a device that converts input energy in the form of signal into mechanical or chemical actions. This term typically refers a device that moves or controls something [20, 21]. 2.4

Improving Urban Resilience for Reduction Disaster Risk

2.4.1 People Resilience People’s resilience or social resilience is conceptualized as the capacity of people to self-organize and mobilize their skills and abilities to source new opportunities and to create new forms of innovation as well as their capacity to act with solidarity in the aftermath of a disturbance. First, for people to be resilient, community ties and sense of community are very critical. Identified key elements of social resilience to be “collective self-esteem, that is an attitude of pride in the place where the community lives. Cultural identity leading to the group’s adoption of customs, values, idiomatic expressions, dances, songs, etc. as defining elements, social humor, that is the ability to see the comedy in one’s own tragedy, and collective honesty, that is the decent and transparent exercise of public functions”. Second, social resilience is also the capacity of people to act with solidarity in the aftermath of a shock that in turn will result in a social cohesive society. Citizens “should believe that in order to build a vibrant community, they would have to develop a “sense of community”, preserve their cultural integrity and consider how to best meet the needs of a local workforce. Three features of community resilience which are damage: Prevention, Speedy recovery, and Preservation of community functionality, indicating that when the community is more adaptable and capable of tolerating stress, the recovery of the community and the city will be faster [11]. 2.4.2

Places’ Resilience

1. Activity - Space Tolerance: During the life of most building there will be a relatively large amount of activity change. New activities can often take place in the same accommodation that was previously used for different activities. But sometimes new activities need different accommodation, creating an activity - space mismatch. To minimize the risk of mismatch, the idea of a loose - fit building or Duffle coat strategy suggests that designers should avoid too tight a match between activities and spaces and create some (slack) which may be valuable when activities change. The duffle coat theory argues that loose-fit flexibility is maximized in designs that have few distinct types of space and many identical instances of these types. Lose–fit flexibility is enhanced when there is a high level of tolerance between the attributes of activities and spaces, so that small or large variations in activity attributed not cause a mismatch. Withe activity-space tolerance, it does not matter if the spaces are not identical in size [12]. 2. Agility: Instead of user adapting to space, agility means that space to be designed with enough flexibility to adapt to users’ needs and desires. The sense of control

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over the space psychologically empowers the users whereas, conversely, not being able to change the surroundings would result in stress, distress and discomfort [1]. 3. Capacity to adapt changes: Urban designers and architects should design the space to maximize the possibilities of change, so that the space could be more adaptable to maintain valuable all through the life span [17]. Hence, designers possessing the tools for integrating smart solutions into design solutions which have the capability of learning and even anticipating occupants” needs and preferences, thereby increasing lifestyle comfort and flexibility [15]. 2.4.3

A Dynamic Functional Quality of Urban Space

1. Stability and Equilibrium: The structure of a place is not a fixed eternal state, as a rule places change sometimes rapidly, this does not mean, that the genius loci necessarily changes or get lost, places conserve their identity during a certain stretch of time, Stabilities Loci, is a necessary condition for human life. This stability compatible with the dynamic of change, come firstly from the capacity of places of receiving different contents within certain limits, a place which is only fitted for one particular purpose would soon become useless, secondly to protect and conserve the genius loci in fact means to concretize its essence in ever new historical context, a place therefore comprises properties having a varying degree of invariance - new and old [5, 22]. 2. Mixed, Pluralism and Multi-functionality: There are relationships of space as formal potentials to different aspects of function (how people use it), then spatial layout can thus be seen as offering different functional potentials. Urban grid through its influence on the movement economy, is the fundamental source of the multifunctionality that gives life to cities [23, 24]. 3. Geometrical coherence and Connectivity: Geometrical coherence is an identifiable quality that ties the city together through form, and is an essential prerequisite for the vitality of the urban fabric. The life of a city come from connectivity, it is directly dependent upon its matrix of connections and substructure, because the geometry either encourages or discourages people’s movements and interactions. The degree of “life” in a city is tied to the complexity of visual, geometrical, and path connections. A city becomes alive only if its geometry permits an enormous number of changing connections, and to the “reachability. Connectivity on all scales leads to urban coherence [25, 26]. 4. Potential forces of the field-: Every force f arises from differences in some field U, which represents either a geometrical quality, or a function [26]. 5. Redundancy: The network is much more resilient if its flows, normally along primary channels, can be distributed into secondary and even tertiary channels when the need arises [27].

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6. Diversity: Diversity of uses, transport modes is linked to livability, economic attractiveness, healthier lifestyles. It is even beyond any appointed function the very way urban space is divided and subdivided gives places an essential capacity to hold diversity, enabling them to succeed in spite of changes in economic conditions, culture and technology [10].

3 Case Study/Practical Method–Results and Conclusion Research aim is to show the impact of Smart Technology to Improve Urban Resilience for Disaster Risk Reduction especially in an un-stabile political zone like Iraq. For testing variables mentioned in table [3], we have used questionnaire (self–assessment practical tool), table [4]. This tool based on best practices and standards in business process architecture, design and quality management. In this practical tools, a series of questions are used to identify to what extent your architectural flexibility initiative is complete in comparison to the requirements set in standard. To facilitate answering the questions, there is a space in front of each question to enter a score on a scale of (1) to (5) (Table 3). Read the question and rate it with the following in front of mind: 1…….

2……..

3..……

4…..

5……

A score of (1) would mean that the answer is not clear at all, where a (5) would mean the answer is crystal clear and defined. When the question is not applicable or you don’t want to answer it, you can skip it without affecting your score and leave it empty. After you have responded to all the questions Compute your average score for that section and get results [27]. Table 5 and 6 explained results and final conclusions. Table 3. Independent and dependent variables Independent variables 1 2 3 4 Dependents variables 1 2 3

-

Smart learning (E. Learning): Smart phone and locations program, Smart telecommunications Smart Displaying screen Operating process of changes Helping process for urban resilience Characteristics of Urban Resilience for Reduction Disaster Risk

The Impact of Smart Technology to Improve Urban Resilience Table 4. Self-assessment questioner results Values 1 2 3 4 5 Strongly DisNeuAgree Strongly disagree agree tral Agree Q1- Do you think that smart technology help you to re-organize activity in urban spaces? A-Re-organizing activi10% 15 20% 25% 30% ty in time % B-Re- organizing activi12% 13 25% 10% 40 % ty in location % Questions

Q2- Do you think that smart technology improve efficiency of urban space? A - Improve productivity 5% 5% 10% 20% 60% of space (time use of space B - Improve frequency 5% 5% 10% 25% 55 % (no. of user in urban space) Q3-Do you think that smart technology help to re-configure urban space? A - Change layout

5%

5%

10%

20%

60%

B - Change connectivity

5%

5%

10%

25%

55 %

Q4-Do you think that smart technology Improve people resilience? A- Human ability to gain 5% 5% 10% 25% 55% knowledge through ICT B - Community is capa5% 5% 20% 30% 40 % ble of tolerating stress C - Recovery of the 5 5 5 25 60 community and the city will be faster

Q5-Do you think that smart technology give fast response ? A-rapidly return to de5% 5% 10% 20% 60% sired functions in the face of a disturbance B-quickly transform sys5% 5% 20% 25% 45 % tems Q6-Do you think that smart technology creates new intimacy between user and urban space? A-create livable space 5% 5% 10% 25% 55 % B-Maximize frequency 5% 5% 20% 30% 40 % Q7-Do you think that smart technology Improve Urban connectivity? A-spatial connectivity 5% 5% 10% 25% 55% B-visual connectivity 5% 5% 10% 20% 60 % Q-8Do you think that smart technology- maximizing tolerance between activities and spaces? A-Multi use space 5% 5% 10% 25% 55% B-sense of control of 5% 5% 10% 20% 60% space

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We asked 500 persons by using 8 questions which are organized in Table 4, these persons are already stay in the zone more than three months (see Table 4). From results mentioned in Table 5, we noticed the following results (see Table 5). People believe that: Table 5. Results analysis Q1-A- Re-organizing activity in time

1 2

1

Q1-B- Reorganizing activity in location

2

3

4

4

4

5

5

Q3-B-Change connectivity

1

1

Q2-B-Improve frequency (no. of users in urban space )

1 2 3 4 5

Smart technology improve productivity of space Q4-A-community is capable of tolerating stress

1

Q4-B-recovery of the community and the city will be faster

1

2

2

2

3

3

3

3

4

4

4

4

5

5

5

5

Smart technology help to re-configure urban space 1

Q5-B-quickly transform systems

1 2

2 3

3

4

4

5

5

Smart technology give fast response Q7-A-spatial connectivity

2

3

Smart technology help to re-organize their activity in unstable area by re-organize their locations and time

Q5 A-rapidly return to desired functions in the face of a disturbance

1

3 5

Q3-A-Change layout

Q2A-Improve productivity of space (time use of space)

1

Q7B-visual connectivity

1

2

Improve tolerating stress, fast recovery Q6-A-create livable space

1 2 3 4 5

Q6-B-Maximize frequency

1 2 3 4 5

Smart technology creates new intimacy between user and urban space Q8-A-Multi use space

1

Q8-B-sense of control over the space

1 2

2

2

2

3

3

3

4

4

4

4

5

5

5

5

smart technology Improve Urban connectivity

3

Smart technology - maximizing tolerance between activities and spaces

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4 Conclusion 1. Urban areas in front of unpredictable changes and disaster risk rises, are increasingly interested in integrating resilience into new technology as a series of highquality technical assistance. It is able to respond, implement immediate recover and quickly restore basic services to resume social, institutional and economic activity after such an event. It help people to strengthened trust in themselves, technology help people to be active and positive citizen and give them more opportunities for re-organizing activities and resources. Lives and property saved in disaster or emergency situations, by giving information for being far from unprotected zone and to assure communication with ambulance when it is necessary, technology help to give information about closed street and help to choose another way. In the same time it Continue to support students getting knowledge, Promote Gender Equality and Empower Women to be a real strong assistance. 2. Helping relations between centers does not occur automatically, helping relation between two centers (Liberation square and Nation garden), may be seen in the fact that the one center increase the life of the other, the life of A helps increases the life of B. Some of the helping relations between centers are very large in scale when centers appears as a major entity and the existence of this large center brings and establishes the life of the smaller center. 3. Responsiveness can be achieved at different scale, from the city and building down to a single space or surface. The process of designing responsive environments relies on flows and dynamic, behavioral patterns. It is open to new and emergent configurations. 4. Also Smart Technology improves space efficiency by increasing possible and actual number of users in the same area and increase the amount of time-space is used. A high level of space utilization because the space is used for the maximum possible amount of time.

References 1. Kolarevic, B., Parlac, V.: Building dynamics-Exploring architecture of changes, p. 57 (2015) 2. Moccia F.D.: Smart city: etimologia del termine. Un’analisi firmata INU (2012). http:// admin.edilio.it/smart-city-etimologia-del-termine-un-analisi-firmatainu/p_19560.html 3. Kunzmann, K.R.: Smart cities: a new paradigm of urban development. Crios, 9–20 (2014) 4. Ahern, J.: From fail-safe to safe-to-fail: sustainability and resilience in the new urban world. Landscape and Urban Planning 100(4), 341–343 (2011). https://doi.org/10.1016/j. landurbplan.02.021 5. Holling, C.S.: Resilience and stability of ecological systems. Annu. Rev. Ecol. Syst. 4, 1–23 (1973) 6. Leichenko, R.: Climate change and urban resilience. Curr. Opin. Environ. Sustai. 3(3), 164– 168 (2010) 7. Dabrowska, K., Hann, G.: Iraq Then and Now: A Guide to the Country and Its People, p. 215. Bradt Travel Guides (2008)

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8. Pickett, S.T.A., Cadenasso, M., McGrath, B.: Resilience in Ecology and Urban Design: Linking Theory and Practice for Sustainable Cities. Springer, Dordrecht (2013) 9. Asprone, D., Latora, V.: Urban network resilience analysis in case of earthquakes, p. 4069 (2013) 10. Dhiyaa Hadi1, E., Al-hussain, Al Askari, A.: Resilient safety anti-terrorism city terrorism as a new challenge in contemporary Iraqi city, Institute of urban and regional planning for post graduate studies, Baghdad University. Periodicals Eng. Nat. Sci. 7(2), 10 (2019) 11. Resilient European URB ACT, European Union, Urban residence - a concept for re-creating city for the future, p. 6 (2016) 12. Fawcett, W.: Activity - space research - built space in the digital world, published through great space independent publishing platform, p. 46, Cambridge, UK (2015) 13. Al-Khalil, S., Makiya, K.: The Monument, Art, Vulgarity, and Responsibility in Iraq, p. 83. University of California Press (1991) 14. Batty, M.: cities as complex systems. scaling, interactions, networks, dynamics and urban morphologies. Working Papers Series, Centre for Advanced Spatial Analysis, University College London (2008). Paper 131 15. Al Khafaji, I.A.: Towards a living city. Ph.D. thesis from Universita degli Studi Mediterranea di Reggio Calabria - Italy, p. 78 (2013) 16. UN habitat, Embracing a Holistic Understanding of Urban Resilience (2018) 17. Alexander, C.: The nature of order - the phenomenon of life - book one, published by the center of environmental structure, Berkeley, California, p. 154 (2002) 18. Nakib, F.: Technological Adaptability, an Approach Towards a Flexible and Sustainable Architecture, Éco le Polytechnique d’architecture et d’urbanism (EPAU), Conference Paper, pp. 2–4 (2010) 19. Bali, M., Half, D.A., Polle, D., Spitz, J.: Smart building design, conception, planning, realization and operation, p. 24 (2018) 20. Galderisi, A., Ferrara, F.F., Ceudech, A.: Resilience and/or vulnerability? In: Selected Proceedings 24th Annual AESOP Conference (2010) 21. Norberg, S.C.: Genius Loci - Towards a Phenomenology of Architecture, pp. 11–18 (1980) 22. Hillier, B.: Space is the machine: a configuration theory of architecture. J. Des. Stud. 18, 89854–89857 (2007) 23. Haile, L.I.: Versatile Space, Department of Architecture-Chongqing University, Chongqing, pp. 30–69 (2005) 24. Salingaros, N.A.: Complexity and urban coherence. J. Urban Des. (2000) 25. Salingaros, N.A.: Connecting the fractal, web (2003) 26. Mehaffy, M.W., Salingaros, NA: A vision for architecture as more than the sum of its parts (2011) 27. A. Art of service, pp. 9–14 (2018)

Metropolitan Cities and Territorial Dynamics. Rules, Governance, Economy, Society

Sustainable Planning: The Carrying Capacity Approach Alessandro Sgobbo(&) Department of Architecture, University of Naples Federico II, Naples, Italy [email protected]

Abstract. The housing need forecast that has to be adopted in local housing policy and land use zoning is today the subject of significant disputes that intersect urban planning and sociological, demographic and geographical aspects. The main contrast is between those who propose a limiting approach based on the need to guarantee the sustainability of urban settlements and those who, conversely, believe that this policy is the cause of significant gentrification, especially in areas where tourist pressure is added to the housing one. A more coherent approach provides for the definition of the territorial carrying capacity on the basis of an adequate number of convenience indicators whose number and characteristics depend on both objectives set and context in which it operates. The thesis of a Research Project carried out at the Department of Architecture of the Federico II University of Naples is that this approach, applied to degraded Mediterranean metropolitan suburbs, allows substantial improvements in the ecological and social qualities of urban settlements, transforming the anthropic pressure from detractor into driver for increasing urban sustainability. This paper illustrates the results of the Research Project achieved with the application of the carrying capacity approach in the town plan project of a medium-small municipality in the metropolitan suburbs of Naples. Keywords: Carrying capacity


Sustainability
Gentrification

1 Housing: Issue and Policies The housing need forecast that has to be adopted in local housing policy and land use zoning is today the subject of significant disputes that intersect urban planning and sociological, demographic and geographical aspects [1, 2]. Usually it happens that local communities ask for generous forecast in terms of new houses number and size; vice versa regional authorities argue for a more conservative and tighter forecast. Scientific literature and analysis of European urban renewal best practices highlight an increased growth in product offering aimed at urban regeneration [3–5]. They particularly look for social, ecological and environmental quality and resilience improvement. However, although some public authorities have tried to replicate these virtuous experiences, in the Mediterranean metropolitan areas the conflictual dimension prevails, causing a depletion of the innovative drives [6, 7]. Regional and metropolitan authorities try to impose their ecological and cultural objectives with a coercive constraining approach, which often collides with the concrete needs and expectations of © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 633–642, 2021. https://doi.org/10.1007/978-3-030-48279-4_59

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citizens. In this way, stakeholders develop a distorted perception according to which public and private interests appear as naturally conflicting elements: the protection of the one must necessarily result in mortification of the other [8, 9]. The main negativity is gentrifying effect resulting from limitation in new housing production, especially when accompanied by long periods of economic crisis. A correct housing need assessment presupposes to distinguish its value from that of housing demand, which is confronted with the real estate market offer. The demand represents the number of houses that economic subjects are willing to buy in exchange for money; on the contrary, housing need is the number of new homes that are considered suitable to meet the legitimate needs of community members [10]. The demand is mostly generated by a well-heeled population that could afford to pay for a convenient house and that usually, is already living in satisfactory housing conditions; the housing need belongs to the most economically disadvantaged people, for which the home product is often too expensive compared with both their poor financial possibilities and the low urban and building qualities offered [11]. A rather unexpected, however frequently observed, effect of residential real estate market is the anti-cyclical nature of price trend of lower quality houses and, consequently, of housing needs. In Italy, many researches and analysis of the market value trends recorded by the annual OMI Real Estate Report (2007–2014) have shown that periods of economic contraction have a coherent impact on the price scale of houses belonging to the medium-high quality segment and on the vivacity of construction market; the same effects, even if delayed, can be read in the medium and medium-low segment appreciation; opposite effects are observed in the low-cost segment [12–15]. In fact, the purchasing power loss forces the middle class to direct its choices towards less favorable housing conditions, increasing the demand of low-cost housing. The result is a stagnant demand which goes hand in hand with a sustained growth in housing needs, especially in metropolitan suburbs. This generalized condition coexists with the increased rigidity of current building legislation and with the rigor utilized against illegal constructions. Ecological footprint reduction, climate change, mitigation and avoiding land take are all essential requirements which, however, are opposite to the expansive approach that guided housing policies in the last century [16, 17]. In Western countries, the assessment of expected average household size at the forecast horizon of the planning process is a fundamental step of housing need projection. The statistical data collected during the Research Project reveal a clear reduction trend of the household size, with the consequence of a significant increase of their number even with a small variation in the overall population size. The phenomenon affects all European countries and it is concentrated in metropolitan areas. As noted by some scholars, it is also strongly influenced by economic cycles [18–20] because there is a direct relationship between fertility trend and unemployment rates [21, 22]. Referring to the Italian case, from 1971 to 2011 the households number increased by 54% against a population growth of about 10%. At the time, in fact, a family was on average composed of 3.3 people, while it fell to 2.4 in 2011, on the national basis. It is the very structure of households that is changing: there is an evolution towards alternative forms of cohabitation to which the national guidelines on urban planning have not yet been adapted. Single-member families are about one in three with a significant

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increase compared to the 2001 census and their number is particularly high in some regions. In the opposite direction is the trend of families with 5 or more components that now are less than 6% of the total. Furthermore, the number of couples made up of individuals belonging to the same sex is increasing; the same for the number of families of immigrants that increases because of the close relative reunification, the new unions and the formation of mixed couples [23, 24]. The growth of web platforms for short-term housing leases has opened up a further crisis front, especially in areas of significant tourist pressure. Also in this case, the demand is concentrated on little houses and, mainly affecting the historical centers of big cities, it gives a boost to the peripheralization process of the less wealthy [25, 26]. Ultimately, the population is stable but the need for houses is growing, with the consequence of a significant gentrification of urban centers.

2 The Carrying Capacity Approach A need-based quantification of the housing supply to be foreseen in town planning can be misleading for many reasons. First of all, it would confirm the observed trends. Therefore, it should start from the analysis of the drivers behind these trends, to finally state their compatibility with the actual boundary conditions. Furthermore, it should be coherent with the principles of environmental, ecological and social sustainability and housing security, which characterize the strategies underlying the current planning practices. In Mediterranean metropolitan areas, this is a precondition hardly acceptable [27]. It implies the acceptance of outgoing migratory flows only as a consequence of spontaneous choices of resident population without considering them as the result of local market disparities, which may have influenced the need to move away [28]. A more coherent approach provides for the definition of settlement density on the basis of an adequate number of convenience indicators whose number and characteristics depend on the objectives set and on the context in which it operates [29–31]. Once the minimum mandatory level of benefits to be provided to citizens has been set, the assessment scales to be built will concern at least the following groups of indicators: health and housing safety; ecological footprint; operating costs; accessibility and availability of services; life quality; land take; protection of cultural and landscape values [32–35]. In addition, indicators of infrastructure services are very important. Each existing infrastructure, sewers, supply networks, communication networks, has its own service capacity, a limit beyond which expansion or modernization is necessary and which therefore corresponds to a sudden increase in settlement costs. Each of these groups of indicators has specific thresholds beyond which the intervention is not acceptable. In this way, the carrying capacity of the territory is determined as a limit value of new activities and homes that can be accepted, defined in the form of a structural quality of the context [36–39]. This capacity can be both positive, highlighting the opportunity for a densification action, and negative, where the current condition is such as to require a reduction in anthropic pressure. It is also determined based on the knowledge and technologies available at the time of observation and, therefore, subject to periodic adjustments. Consistent with the carrying capacity, the housing offer of municipalities could follow principles of political opportunity and

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territorial competition in order to encourage local administrators towards attractive actions based on qualities of urban life. The thesis of a Research Project carried out at the Department of Architecture of the Federico II University of Naples is that this approach, applied to degraded Mediterranean metropolitan suburbs, allows substantial improvements in the ecological and social qualities of urban settlements, transforming the anthropic pressure from detractor into driver for increasing urban sustainability.

3 Research Methodology An extensive review of scientific literature and best practices have shown a good maturity, in quantitative and qualitative terms, in the offer of both products aimed at improving urban sustainability and ecological, social and economic indicators for the definition, through a suitable combination of these, of territorial carrying capacity. The Research Project therefore focused mainly on procedural aspects and evaluation of the effects: to encourage the use of virtuous urban solutions in degraded Mediterranean metropolitan suburbs; to measure the achieved sustainability gradient. Once the combination of indicators to be used was established and assuming the interest of the local administration in maximizing the number of new housing units to be built, two alternative plan prototypes were built for each municipality tested: the first developed on the basis of the limiting approach; the second with a carrying capacity approach. The prototypes were evaluated: with respect to ecological effects, using the methodologies referred to in Tenuta’s research [40] and using urban-scale indicators whose main references were found in the Monitor Urban Renewal [41]; with respect to social implications, referring to the theory of the capacity approach as reworked by Nussbaum [42]: not in terms of synthetic indicators of well-being but of the number, quality and extensiveness of the opportunities actually available to citizens for individual inclusion and social development. From an ecological point of view, the indicators are grouped into land take and climate change themes. For land take we have assessed: urban density (UD): the ratio between inhabitants and urbanized area (the higher the better); urbanization (UR): the ratio between urbanized land extension and municipal territory (the lower the better); urban greening (UG): the ratio between the amount of public green urban areas and urbanized land extension (the higher the better). For climate change we referred to: evapotranspiration (ET): the ratio between the amount of unsealed urban areas and urbanized land extension (the higher the better); energy efficiency (EE): the ratio between energy consumption per capita after and before the Urban Plan actions (the lower the better). From a social point of view, indicators are grouped into housing supply, citizen services and urban quality. For the first group we measured the lowincome housing indicator (LIH): the ratio between low-income housing supplied and the overall offer of new housing. For services, the efficiency of forecasting public equipment and their degree of accessibility were measured. We referred to: CUx indices: the percentage of actual use of areas intended for public services; CPx indices: the ratio between the gross floor area of buildings intended for public services measured in the prototype and the one measured in the main town of the metropolitan area.

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For urban quality aspects, reference was made to research by Mboup et al. [43] as part of the United Nations Human Settlements Program which demonstrated the close relationship between the prosperity of urban settlements and the Composite Street Connectivity Indexes CSC1 and CSC2: CSC1 ¼

Sp St

CSC2 ¼

Sp P

where Sp is the area intended for roads and open public spaces, St the territorial area of the municipality and P the expected population.

4 Case Study: The Town Plan of Crispano Crispano is a medium-small town in the northern suburbs of the Metropolitan City of Naples (12,326 inhab.; Territorial area 2.25 sq km). Among the case studies developed during the research, it is of interest because a new Town Plan has recently been approved, particularly emblematic as designed by one of Campania’s most appreciated planners with relevant attention to social and ecological aspects. It is, therefore, an excellent opportunity avoiding that comparison with the research prototype could be conditioned by the poor design quality instead found in other local experiences. The estimated housing needs based on demographic and households’ dynamics amounts to about 1,200 new homes. However, because of a long dispute with the Metropolitan City of Naples’ authorities the number was reduced to just 419 units. The carrying capacity analysis developed in the Research Project instead estimated the number of new households that could have effectively been settled in the Municipality where the limitation to the new housing had been based on compliance with established ecological performances and public services supply. In particular, this value is obtained by comparing the growth curve of the urbanization cost with that of housing prices: it was estimated that the growth in urbanization and construction costs, necessary to keep the planned transformations within the set performance limits, was acceptable as long as the achievable business profit was at least 25% of the investment capital [44, 45]. In this way, the structural capacity of the area was estimated at around 2,800 new homes. Considering the forthcoming construction of a tram-train connecting the Frattamaggiore railway station with the Pascarola Industrial Development Area, the prototype plan envisaged that the entire carrying capacity should be developed in a new high density neighborhood placed near this infrastructure. To this end, some areas originally intended for public low-income housing that have remained partially empty were used, implementing, at the same time, an intense regeneration of the adjacent urban fabric, mostly consisting of low single or two-family buildings. The plan was expected to be implemented in two phases: the first involves the densification of the urbanized area by filling the frequent voids resulting from extemporaneous urbanization in the 80 s and 90 s of the last century; the second phase, taking advantage of the increase in real estate values resulting from the completion of the first, involves the progressive replacement of existing buildings in accordance with alignments and construction and morphological qualities provided for in the plan.

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The result was a dense and compact neighborhood but intensely dotted with public and pedestrian spaces where the mobility system was imagined with a clear separation of the driveway from the pedestrian one (Fig. 1).

Fig. 1. The prototype P1 (phase 1 and phase 2). Source: own work with R. D’Orsi, C. Ferrante and A. Generali, 2018

5 Results Analysis The evaluation of ecological and social qualities of the prototype built for Research (P1) compared to the recently approved plan (P0) is developed with respect to results of the indicators chosen in the two cases. The values recorded are shown in Table 1. The possibility, offered in the P1 design prototype, of creating high density settlements allows to double the offer in terms of low-income housing. In the same way, the greater financial availability and the multifunctional character of the solutions implemented in the designing of public spaces determines a significant increase in the use of areas intended for services which, in the case of equipped green areas and leisure areas, reaches almost complete use. Finally, the accessibility index to services, in prototype P1, brings the municipality to a level comparable with the offer of the metropolitan capital. These results are further confirmed by the measurement of the Composite Street Connectivity Indexes which highlights the creation of a significant amount of open public spaces available to citizens for socialization and leisure. It is, however, from the ecological point of view that best results are obtained. Per capita land take in P1 is reduced by 40% compared to the initial condition. The result is mainly attributable to the higher density achieved thanks to the carrying capacity

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Table 1. The results of the experiments conducted in the city of Crispano Indicator UD UR UG ET EE LIH CU/CP CU/CP CU/CP CU/CP CSC1 CSC2

Initial conditions 52 0.38 0.03 0.21 1 0.04 Schools and educational facilities 0.85/0.60 Parking lots 0.27/0.84 Green, sport and leisure areas 0.11/0.38 Community facilities 0.08/0.21 0.05 3.86

Prototype P0 58 0.45 0.11 0.35 0.98 0.08 0.92/0.65 0.65/0.87 0.71/0.69 0.52/0.44 0.09 9.60

Prototype P1 95 0.41 0.12 0.37 0.72 0.15 0.92/0.65 0.53/0.85 0.83/0.72 0.64/0.52 0.11 16.83

approach. Furthermore, a significant improvement in air quality follows the incentive for the use of collective public transport offered by the tram-train and the complete separation of vehicular traffic from spaces intended for pedestrian mobility. Finally, the urban greening index benefits from the urban-scale implementation of infiltration areas, necessary to maintain the levels of ecological performance within the limits imposed, that are characterized by an intrinsic evapo-transpiration attitude. During the numerous meetings organized to share the project hypothesis with administrators and non-professional stakeholders, the in-depth interviews, with the CATWOE method [46, 47], showed that, in the P1 prototype, the direct and tangible qualities achieved in terms of services, social and public spaces support the commitment to environmental issues. In the case of P0, in fact, the induced ecological sensitivity is reduced because of the individual sacrifices due to the greater limitations imposed on private construction activity.

6 Conclusions Results obtained in the experiments conducted in the degraded suburbs of the Metropolitan City of Naples support the thesis where they demonstrate that the carrying capacity approach, in defining the new housing forecast, allows reaching settlements where ecological qualities do not conflict with the needs for economic and social development of the community. It also allows you to make more efficient use of the scarce economic resources available thanks to the implementation of multiscale and multifunctional products [48–50] with benefits that go far beyond what can be obtained from sectoral and specialist investments. Benefits of the carrying capacity approach are particularly evident in terms of contrasting gentrification where the overall greater availability of housing and the

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intensive exploitation of urbanized land allows administrators to impose higher rates of housing intended for low-income families [51, 52]. In addition, the high quantity and quality of public spaces resulting from high-density building typologies allows the formation of an inclusive urban environment with a high concentration of services. The consensus aroused in non-professional users supports the political decisionmaker in the implementation of eco-friendly approaches where the higher environmental quality achieved is a reason for increasing the exploitation of the territory.

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Development of a Land Take Evaluation for a Recreative Park in Northern Italy Vanessa Assumma(&)

, Marta Bottero and Elisa Zanetta

, Giulio Mondini

,

Interuniversity Department of Regional and Urban Studies and Planning, Politecnico di Torino, 10125 Turin, Italy {vanessa.assumma,marta.bottero, giulio.mondini}@polito.it, [email protected]

Abstract. The paper considers the procedure for the development of the land take evaluation for a recreative park located in Northern Italy. The paper gives a normative overview at European, national and regional levels, highlighting the need to define a common glossary on land take to lead the spatial planning to more sustainable actions, according to the Global Agenda targets. The analysis investigates the land cover changes over time, as basis for the calculation of a synthetic index of Land Take (LTI). Moreover, the research experiments the use of this synthetic index as parameter of a mathematical model to simulate the possible dynamical evolutions over time in terms of ecological quality. The coupling of the land take analysis and the mathematical model may help the actors and stakeholders to investigate the possible effects of future transformations, as well as to aid the decision-making process to identify suitable compensatory actions, according to the sustainable development paradigm. Keywords: Land take


Decision-making process
Mathematical modeling

1 Introduction In this Urban Century [1], the anthropogenic activities are shrinking natural resources. Among the natural resources, the soil plays a very important role for the environment and its living beings in terms of functions and services. The increasing of soil sealing is closely related to the impacts of the anthropogenic activities and socio-economic dynamics, such as the economic attractiveness that influences the people flows from a place to another, the development of new transport infrastructures for cities always more interconnected, the localization of Gross Leasable Areas (GLAs), thus ignoring the existing and disused building heritage. The natural soil detains multiple functions able to deliver different benefits to community that live in a given city or territory. In this sense, we can consider multiple dimensions of the soil value, w.r.t. the intrinsic, economic, social facets [2]. Over the last years, in light of the urgent need to preserve and enhance the natural soil for the future generations, the land take has become a focal issue for the communitarian policies [3], environmental assessment procedures, and more in general for the spatial planning [4]. In fact, the health of the soil is conditioned by endogenous © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 643–651, 2021. https://doi.org/10.1007/978-3-030-48279-4_60

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variables (e.g. land use) either by exogenous variables (e.g. extreme events) that may cause the ecosystem degradation and thus an effective land take and loss of soil ecosystem services [5]. In 2015, the Global Development Agenda on Sustainable Development [4], introduced 17 Sustainable Development Goals (SDGs) to be achieved by the country members until 2050 and there are specific targets on land take: guaranteeing that soil consumption will not exceed the demographic growth; ensuring the accessibility to all, in terms of public spaces, inclusiveness and security. These targets must be monitored for the SD Goals achievement, by employing a system of key performance indicators. The Italian normative context (Table 1) has not yet introduced a framework law in the field and the gap derives from the lack of an EU directive on soil resource. Furthermore, in Italy the regions introduced regional laws on land take even if a national framework law lacks at national level for giving a shared definition of land take to the regions and the subordinate entities. The paper, focuses on a study area in Piedmont and for which the land take analysis follows the “Monitoring of Land Take in Piedmont Region” [6], that was born as a technical tool and thanks to the Regional Deliberation no. 34-1915 2015, it has received juridical efficacy. This tool conceives the land take as the set of land uses that causes a loss of natural resources, passing from natural conditions to artificial conditions. In this sense, the land use is here distinguished for the monitoring into three typologies: • Land take by transport infrastructures: it refers to the soil transformed for constructing new infrastructures at the expense of agriculture and natural destinations; • Land take by urban areas: it considers the agricultural and natural soils transformed for urban and territorial interventions; • Other types of land take: it refers to the soil transformed from agriculture and natural uses to destinations that modify the soil texture without determining an effective soil sealing (e.g. quarries, photovoltaic systems). Table 1. Main normative references providing prescriptions on soil resource and land take used in the research [8–17]. Year 1987 2000 2001 2001 2010 2012 2006 2013 2014 2015 2018

Normative references Directive 87/CEE – European Environmental Assessment (EIA) European Landscape Convention (ELC) Directive 2001/42/CE – Strategic Environmental Assessment (SEA) Reform Title V - Italian Constitution Directive 2010/75/EU – Industrial emissions EU Guidelines - Soil D.lgs 152/2006 – T.U. Ambiente L.R. Piedmont 3/2013 (modification of the L.U.R. 56/77) D.lgs 46/2014 – Execution Directive 2010/75/EU Deliberation no. 34-1915 of 27th July 2015 DDL-R Piedmont 302/2018

Level European European European National European European National Regional National Regional Regional

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The latest report by SNPA (Sistema Nazionale per la Protezione dell’Ambiente) [4] on land consumption, territorial dynamics and ecosystem services is considered a reliable reference tool to lead spatial planning challenges. In light of this panorama, the paper develops a land take analysis tested on a real case study in Northern Italy, with the aim at evaluating the land use changes by calculating a synthetic index of land take for predicting possible evolution scenarios. In this sense, this evaluation procedure may be considered a suitable decision tool of environmental compatibility analysis in the definition of sustainable policies, as well as in the identification of compensatory actions.

2 Methodology It has to be noticed that in literature, the land take analysis is generally employed for calculating synthetic indicators at regional and provincial scales [7, 18], for exploring uncontrolled urbanization of systems of regions [19]; investigating the quantification of housing needs in relation to the municipal planning and people dynamics [20, 21] analyzing peri-urban and urban systems [22, 23]; evaluating the land cover changes in terrestrial protected areas [24, 25]. Moreover, from an economic point of view, the soil resource may be effectively considered an environmental good because generates multiple benefits for the present and future generations. In this sense, the soil could be evaluated through the Total Economic Value (TEV) and having the possibility to use various estimation methods that may be classified as monetary and non-monetary [26, 27]. We have chosen to focus on the non-monetary evaluation by calculating a synthetic index of Land Take. The main innovation carried by this paper is the employment of the land take analysis within a SEA evaluation procedure on a recreative park that extends for over 250000 sqm in Northern Italy. The land take analysis has been developed according to three main stages: 1) analysis of historical maps in GIS environment and measurement of the land take according to the classification given by Regione Piemonte [6, 17]; 2) calculation of a synthetic index, namely Land Take index (LTI) in order to evaluate the land take of the state of the art of the recreative area (T0); 3) integration of the LTI index as parameter of a mathematical model that aims at predicting the possible future evolutions of the study area in ecological terms (T1). 2.1

Analysis of Historical Cartographies in GIS Environment

In Table 2 are listed the historical cartographies that have been collected by considering relevant data sources. All cartographies have been georeferenced in GIS environment, in order to explore the past dynamics in the study area (Fig. 1). The overlay mapping reveals that since 1880 the study area was an agriculture area, characterized by some rural paths and by a stream that was used for the irrigation of the land. These conditions were preserved until 1960. Between 1979 and 2005, the private owners transformed this agriculture area in a system of quarry lakes and after the 2007, these have been converted in a recreative park.

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Table 2. Land take evolution recorded in the study area by considering the land take classification by Regione Piemonte. Year

Type of cartography

Source

Land take by Land take by Other types Urban transport of Land areas_sqm infrastructures_sqm Take_sqm (a) (b) (c)

1880

IGM

L.A.R.T.U.

0

10.218

1950

IGM

L.A.R.T.U.

0

10.363

1960

IGM

L.A.R.T.U.

0

1979

Satellite Map

L.A.R.T.U.

1990

Satellite Map

2000 2005 2007 2010

Overall Land Take_sqm (d= a+b+c)

Agriculture areas_sqm

0

10.218

259.722

0

10.363

259.577

10.363

0

10.363

259.577

46.235

32.484

4.992

83.711

186.229

SNPA Geoportal

49.635

36.449

15.319

101.403

168.537

Satellite Map

Google Earth

52.090

40.726

8.587

101.403

168.537

Satellite Map

Google Earth

63.070

40.726

36.522

140.319

129.621

Satellite Map

Google Earth

63.380

42.121

34.817

140.319

129.621

Satellite

SNPA Geoportal

69.710

44.481

40.721

154.913

115.027

2015

Satellite Map

L.A.R.T.U.

69.865

44.481

88.044

202.391

67.549

2017

Satellite Map

Google Earth

2018

Satellite Map

Google Earth

74.205 74.515

94.346 95.426

33.839 32.449

202.391 202.391

67.549 67.549

Fig. 1. The land take evolution by considering the time series 1880–2018.

2.2

Calculation of Land Take Index (LTI)

Once having measured the surfaces according to the classification already mentioned, we have calculated a synthetic index of Land Take (LTI) by using the following formula: LTI ¼

Land take 2018  Land take 1880 Land take 1880

ð1Þ

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When LTI is equal or greater than 1, it labels a critical state, whereas when LTI is less than 1, it labels a non-critical state of the study area. For this analysis we have retained to calculate the LTI index in definite time ranges of the time series 1880–2018, in order to understand when the relevant land take has occurred (Fig. 2). The LTI that considers the time range 1880–2018 is equal to 18,81 and it represents the total land take occurred over time. The time range 1880–1979 is pair to 7,19 and it is higher than the LTI recorded between 1979–2018 (1,42). It is interesting to notice how the LTI indices calculated between 1979–2007 and 2007–2018 are the lowest with respect to the past transformations (0,68 and 0,44, respectively). Subsequently, the LTI index with time range 1979–2018, has been chosen as parameter of the mathematical model for investigating the possible future ecological scenarios.

Land Take Index (LTI) 20.00 18.00 16.00 14.00 12.00 10.00 8.00 6.00 4.00 2.00 0.00

18.81

12.73

7.19

1.42 LTI (18802018)

LTI (18802007)

LTI (18801979)

LTI (19792018)

0.68

0.44

LTI (19792007)

LTI (20072018)

Fig. 2. Calculation of the LTI index by considering the range series.

2.3

Integration of the Index as Parameter of a Mathematical Model for Predicting Future Evolutions

The aim of this mathematical model is the evaluation of the ecological damages caused by the land take on the study area. The mathematical model considers a set of ecological variables of the current state of the art, that are predicted in the future in terms of possible equilibrium state. Given the equation model: 0

Vi ¼ bi Vi ð1  Vi Þ  ðCi þ Ui ÞVi ;

Vi ðt ¼ 0Þ ¼ Vi0

ð2Þ

where bi is the Biological and Territorial Capacity index (BTC)and measures the biological energy generated by the vegetation within the study area with respect to the maximum biological energy (Bmax) that the study area may produce (6.5 Mcal/sqm year) [28]; Vi is the ratio between the vegetation of high ecological quality and the total

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surface of the study case; Vi0 is the current value of the vegetation of high ecological quality; Ci is the synthetic index calculated through the Eq. (1); Ui is the percentage of built-up areas with respect to the total surface of the study area (5). For more information about the considered parameters and their estimation please see the papers [29, 30]. Once having obtained the set of ecological variables, it is possible to develop the stability analysis of the equilibrium solutions Ve1 and Ve2: • Ve1 = 0 refers to a negative scenario that tends to extinguish the green areas of quality. Ve1 is stable when bi < (Ci + Ui). • Ve2 = (bi – Ci – Ui)/bi > 0 indicates two positive scenarios that indicates in the first case a relative damage caused by the land take and in the second case a lack of damages. Ve2 is stable when bi > (Ci + Ui). Particularly: Second scenario: Ve2 \Vi0 ;

bi ð1  Vi0 Þ\ðCi þ Ui Þ

Third scenario : Ve2 [ Vi0 ;

bi ð1  Vi0 Þ [ ðCi þ Ui Þ

ð3Þ

Once having obtained the parameters of the mathematical model (Table 3), it is possible to affirm that the solution of the Eq. (1) carry to the first scenario. In fact, the stability analysis reveals that Ve1 = 0 is stable, by contrast Ve2 is not stable because it is minor than 0. This scenario reveals at T1 a negative ecological evolution, and thus a deterioration of the current ecological quality.

Table 3. Dataset for calculating the set of ecological variables of the mathematical model. Ci Ui Vio Total surface_sqm Agriculture areas_sqm bi 269940 67549 0,1764 0,44 0,6296 0

3 Discussion of Results and Conclusions Thanks to the subscription to the Global Agenda, countries as Italy have joined to a monitoring process that employs specific indicators on land take, land use and land degradation. Actually, the Italian National Strategy for the Sustainable Development 2017–2030 represents the only tool that is looking toward the achievement of a circular economic model, for arresting the land take and desertification phenomena [3, 4]. In this sense, the definition of a national law on the soil resource could consolidate the adoption of a common glossary, finalized to guide the spatial planning, freelance and academic fields, achieving a shared definition of land take and also orienting the

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market to the urban regeneration, energy and technological efficiency, social integration and security. Nowadays, the national and regional statistics are far from the Global Agenda targets and a negative trend on land take could be occurred until 2030. As stated by SNPA [3], a resetting of the land take could be possible only increasing the natural areas of 309 Km2 or even of 970 Km2 in order to ensure the sustainable development since 2019. The perspective may not be the freezing of the current land uses; it is rather about managing the natural resources in the most efficient and sustainable ways and the soil is one of the main components of life. The paper has provided a suitable decision tool based on the land take analysis by considering a long time period, integrated by a mathematical model for simulating the possible evolution scenarios by maintaining the actual conditions of the recreative park. The results of this application reveal that the most impacting land cover transformations have been occurred before the establishment of the private park, whereas the interventions made after its establishment may be retained not so impacting. These remarks may be useful for the definition of the economic value of the compensatory actions that should be adopted in the recreative park. From a methodological point of view, the coupling of these evaluation tools allows to support the decision-making process with more specific analysis that look to the past, the state of the art (T0) and a potential future (T1). In this sense, the decision-making process may be supported by this methodological proposal for estimating the economic value of compensatory actions and for checking the possibility to claim possible arrears to the private owners. A number of future perspectives will be considered for this work: • The land take evaluation will be focused on the past mining activities in this recreative area, in order to better support the estimation of the economic value of the compensatory measurements that should be provided in the recreative park; • Exploring the soil functions and services delivered by the recreative park by using ecosystem services modeling tools [25, 31]; • The land take analysis will be extended at Municipal level for investigating the trends of land use change on the remaining territory and with respect to urban resilience [32]. Acknowledgements. We acknowledge the Laboratory of Analysis and Urban and Territorial Representations (L.A.R.T.U.) of Politecnico di Torino for having given us the historical cartographies and Professor R. Monaco for the development of the mathematical model.

References 1. Elmqvist, T., Andersson, E., Frantzeskaki, N., et al.: Sustainability and resilience for transformation in the urban century. Nat. Sustainability 2, 267–273 (2019). https://doi.org/ 10.1038/s41893-019-0250-1 2. Report from the commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions. COM/2012/04. The

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Historical-Architectural Components in the Projects Multi-criteria Analysis for the Valorization of Small Towns Emanuela D’Andria(&) , Pierfrancesco Fiore and Antonio Nesticò

,

Department of Civil Engineering, University of Salerno, Fisciano, SA, Italy {emdandria,pfiore,anestico}@unisa.it

Abstract. Small towns are a widespread heritage that needs to be protected and valorized because it preserves identity and community values. The demarginalisation and depopulation phenomena of which they are affected call for rapid actions with effective and organic strategies. Hence the purpose of the work, aimed at characterizing a multi-criteria analysis tool useful to express judgements on economic convenience of small towns valorization projects. Thus, in the light of the sustainable development principles, analysis criteria and sub-criteria are first defined. Evaluation indices are then selected and proposed with regard to the historical-architectural criteria. Research perspectives are in the study conclusions. Keywords: Small towns


Sustainable development
Economic evaluation

1 Introduction The small towns depopulation is an increasingly discussed and current problem. The strong interest in inland areas and small municipalities is motivated by the belief that these territories represent a concrete opportunity for the Countries sustainable development. A new perspective born from the crisis of metropolitan areas and the need to return to a socially shared and healthier lifestyle: «a deep cultural metamorphosis, the result of a long incubation process that took decades, which, through a look inversion, leads to give these territories symbolic significance and values of use completely new, transforming them into spaces of opportunity and potential project for the future» [1]. ‘Slow living’ models, small towns are witnesses of the national identities and preserve unchanged local traditions and historical memories. Thus, protecting and valorising them is of primary importance today. But recovering the individual buildings is not enough, we need large-scale projects, which include not only architectural and urban planning aspects, but also economic, social and environmental ones.

The contribution to this paper is the result of the joint work of the three authors, to which the paper has to be attributed in equal parts. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 652–662, 2021. https://doi.org/10.1007/978-3-030-48279-4_61

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In this sense, the work investigates the valorization of small towns topic in the light of the sustainable development principles, with the aim of clarifying criteria, subcriteria and indicators for the selection of valid investment strategies. In principle, the definition of ‘small town’ is given. Below the importance that valorization interventions have for the re-activation of these realities is highlighted. It follows the need to set up a hierarchical analysis model, based on strict criteria, subcriteria and evaluation indices. The conclusions reveal the elements originality of the work in progress and research perspectives.

2 Literature Review on the Small Town Meaning Clearly outlining the meaning of ‘small town’ is difficult. However, there are two main interpretation keys given by literature: one quantitative, one qualitative. The first considers numerical parameters, such as the residents number; the second considers other aspects, of economic, social, cultural, historical, anthropological order. Chronologically, it is appropriate to start from the Venice Charter’s art. 1 (1964), which expresses a renewed idea of ‘monument’, no longer seen as a single valuable architectural artefact, but as «urban or landscape environment that is the testimony of a particular civilization, of a significant evolution or of a historical event (This notion applies not only to great works, but also to modest works which, over time, have acquired cultural significance)». The new definition embraces, therefore, wide contexts in which the typical realities of the territory are involved, including the small towns with their «spontaneous and vernacular expressions». In 1971, Alberto Predieri illustrates the small towns as urban cores «inserted in rapid development or even stationary cities, originally places of important politicalcultural and economic functions carried out within areas of which they are nodal points, now decayed, but of great historical-artistic-environmental value and possible tourist and cultural interest» [2]. Eight years later, Roberto Di Stefano associates a low number of residents to «small urbanized towns» [3], where Giuseppe Rocchi defines ‘small settlements’ the «agglomerations of demographic weight up to a few thousand inhabitants, often (located) in areas of increasing depopulation, mainly rural or mountainous» [4]. A quantitative definition, mostly limited to the number of residents, comes out. Proof of this is the small towns description that M. A. Chastel gives at the ‘Symposium on the conservation of smaller historic towns’ (1975). In this context, the petites villes are indicated with a maximum number of inhabitants between 2,000 and 20,000. A numerical limit is also present in some Italian regional laws (n. 11/1997 of Marche, n. 37/1999 of Veneto) whose legislative path leads to the n. 158/2017 which allocates European funds to municipalities with a number of inhabitants below 5,000. The aim is to promote the social, economic, cultural and environmental development of these realities. This report shows the importance of a ‘small town’ quantitative definition. But it is equally substantial, as well as interesting, to focus on the small towns-landscape relationship. In this respect, the European Landscape Convention (2000) defines as ‘landscape’ the built heritage harmoniously inserted in the natural context on which it

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depends: «Harmony that refers both to the aesthetics of the built-nature relationship and to the balance between cultural, social, economic and historical components». It is therefore admissible to define small towns as a «‘landscape within the landscape’; as the action of man who, spontaneously, has modified the territory by using local materials and resources, adapting to soil trends, climate and morphological structures. Places where immaterial goods, localism, specificities and shared values are preserved» [5]. Thus, if on the one hand it is evident the impossibility of circumscribing the ‘small town’ to the demographic data only, on the other hand it is clear the need to look also at other factors, social, cultural, anthropological, etc.

3 Valorization Strategies The small towns depopulation promotes the spread of different social dynamics, of territorial relocation and a new lifestyle, marked by different habits than in the past [6]. On the one hand, there is the rapid growth of cities and, on the other, the gradual abandonment of small towns, which are unable to support the modernity needs. In particular, the widespread distance from big urban centres, the lack or inadequacy of infrastructures, the lack or no job opportunities promote the social, cultural and economic isolation of these places. However, something has changed in the last decade. In response to the cities crisis, land consumption and environmental emergency, small towns are looked upon with renewed confidence. Already at the beginning of the nineties of the last century, the American urban planner Richard Levine anticipated the current thinking with his studies: the typical Italian small town is the ideal place in which to live peacefully [7]. There are many reasons for this assertion: the richness of the material and immaterial heritage that these places have, the belief that returning to small towns encourages the improvement of lifestyles, the possibility of limiting land consumption by putting a stop to the demographic decongestion of metropolitan areas, the opportunity to rebuild community and identity links. This shows the indisputable role that effective valorization projects play in relaunching small towns. And more specifically in: a. Recovering tangible and intangible potential; b. Re-proposing productive vocations; c. Inserting local values into a positive knowledge and promotion network. The presented issues are in line with the sustainable development founding principles and it is clear that any intervention must necessarily be consistent with the social, economic, environmental and cultural aspects that govern the progress of a community.

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4 Evaluation Criteria, Sub-criteria and Indicators for the Valorization of Small Towns Given the complexity of the valorization actions, it is essential to provide operational tools to evaluate investment projects for small towns. The multitude of goals to be pursued and the often extra-market nature of the effects to be taken into account, point out the need to adopt multi-criteria analysis models for which it is necessary to establish criteria, sub-criteria and evaluation indicators. These can be rationally structured according to the Analytic Hierarchy Process algorithms [8]. The first step of the study is to identify the evaluation criteria in line with the sustainability principles, which lead to social, economic, environmental and cultural development. For the small towns valorization, in the light of the methodological scheme to be outlined in this research, one criteria specifically concerns the historicalarchitectural aspects. The criteria specialize in several sub-criteria, in light of the small towns recurrent characteristics, i.e. their ‘invariants’: – – – – – – – – – – –

presence of local traditions and identities; lack of services; typical production activities; distance from major cities; lack of adequate infrastructure; environmental quality; insertion in a natural context; limited and compact extension of the built fabric; ‘human scale’ built dimension; quality of the built heritage; typological-constructive characteristics typical of the place.

Table 1 shows the hierarchical organization of all elements. It should be noted that both the environmental and historical-architectural criteria are divided into three distinct levels: territory, urban core, building. This is to facilitate the analysis on several intervention scales. Once the criteria and sub-criteria are specified, the next step is the definition of the evaluation indices. To this purpose, a literature study is carried out to select 15 publications and the corresponding 15 panels of indicators related to topics coherent with the issue of small towns and their valorization. The reference is to matters relating to: urban sustainability, sustainable urban mobility, enhancement of the historical-cultural heritage, territorial cohesion, rural development, landscape [9–11]. The 15 reference studies are in Table 2. For each study the number of evaluation indicators is indicated, for a total of 470.

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E. D’Andria et al. Table 1. Hierarchical scheme with goal, criteria and sub-criteria.

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Table 2. The 15 reference studies. Year 1998

Author(s) Mega V., Pedersen J.

2008

European Commission

2009

Mameli F., Marletto G.

2009 2010

Vallega A. European Environment Agency (EEA) United Nations Economic Commission for Europe (UNECE) Volpiano M.

2011

2011

2012

2013

2013

Confederazione Svizzera, Ufficio Federale dell’Ambiente UFAM European Commission, Directorate-General for Agriculture and Rural Development European Spatial Planning Observation Network (ESPON)

2013

Phillips R. G., Stein J. M.

2013

Valtenbergs V., González A., Piziks R.

2014

European Environment Agency (EEA) UN-Habitat - United Nations Human Settlements Programme Bosch P. et al.

2016

2017 Tot.

Title Urban Sustainability Indicators [12] European Green Capital Award (EGCA) A selection of indicators for monitoring sustainable urban mobility policies [13] Indicatori per il paesaggio [14] EEA Urban Metabolism Framework [15, 16] Transport for sustainable development in the ECE region [17] Indicators for the Assessment of Historic Landscape Features [18] Ufficio Federale dell’Ambiente UFAM – Paesaggio: Indicatori Rural Development in the European Union - Statistical and Economic Information, Report 2013 [19] KITCASP. Key Indicators for Territorial Cohesion and Spatial Planning, Part A, Executive Summary [20] An Indicator Framework for Linking Historic Preservation and Community Economic Development [21] Selecting indicators for sustainable development of small towns: the case of Valmiera municipality [22] Digest of EEA Indicators 2014 Core Set of Indicators (CSI) [23] MEASUREMENT OF CITY PROSPERITY - Methodology and Metadata [24] CITYkeys list of city indicators [25]

No. indicators 16 12 14

37 15 17

12

11

59

20

29

73

42 39

74 470

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5 Historical-Architectural Criteria and Corresponding Evaluation Indicators In the light of the hierarchical scheme in the previous paragraph, with reference to the historical-architectural criteria for the study of the urban valorization project, the evaluation indices corresponding to each of the proposed sub-criteria are defined [26– 30]. The historical-architectural criteria is detailed in sub-criteria according to the three layers in Table 1: territory, urban core, building. The formulation of the indicators set is carried out following principles taken from the sector literature [31–33]. In particular: – – – –

Focus, i.e. select indicators that measure only what you want to measure; Relevance, which requires the selection of the most suitable indicators for the study; Accessibility, with the aim of easily providing access to the necessary data; Clarity, which means taking into account clear indicators, the measurement of which does not give rise to ambiguity of interpretation; – Cost, in the meaning of preferring indicators that require lower data collection expenses; – Frequency, which leads to a preference for the most frequently recurring indicators.

Thus, starting from the dataset to which Table 2 refers, it is possible to obtain the set of 40 indicators in Table 3, where there is a distinction between indicators proposed (in italics) and indicators taken from the literature.

6 Conclusions Small towns are essential to restore the city-countryside relationship and to ‘mend’ territories. Protecting and valorizing them are, therefore, imperative tasks. Hence the importance of having analysis tools aimed at selecting effective investment projects. The current study intends to characterize a multi-criteria model organized according to the Analytic Hierarchy Process structure. To this purpose, evaluation criteria, subcriteria and indicators are prepared. Once the criteria have been defined in the light of the sustainable development pillars, the sub-criteria are organised considering the recurring characteristics of small towns, the ‘invariants’. The results are in Table 1. From the reference literature, 15 studies have been collated (Table 2), which bring a total of 470 evaluation indices. For the historical-architectural criteria, the most suitable indicators are selected from the wide dataset to express the referenced subcriteria. This operation is conducted according to the principles: focus, relevance, accessibility, clarity, cost, frequency. Thus, each sub-criteria is associated with several indicators useful to estimate the capacity of the project to pursue the goal of valorizing small towns. Some indicators are proposed. Table 3 shows the study outcome. Research developments concern the selection of evaluation indicators for social, economic and environmental criteria, with the aim of implementing all the elements in a hierarchical model.

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Table 3. Sub-criteria and evaluation indicators for the historical-architectural criteria. Historical-architectural criteria Layer Sub-criteria Territory Integration with the environment

Urban core

Visual image

Dialogue between the urban fabric and its context

Full/empty relationship and green spaces system

Indicator – Exceptionality of the historical-cultural characteristics of the landscape – Fragility of the historical-cultural characteristics of the landscape – Designation of rural areas – Importance of rural areas – Protected areas and elements – Settlement dispersion – Landscape value of skyline – Injured landscape – Landscape infrastructures (religious itineraries, transhumance routes, protoindustrial architecture paths) – Historic preservation element/plan and integration with community planning – Fragility of the historical-cultural characteristics of the landscape – Significance/typicality of the historical-cultural characteristics of the landscape – Landscape perceived beauty – Landscape value of skyline – Panoramic sites – Parking pressure – Visual interference (or the presence of illegal building and/or architectural artefacts out of scale with respect to the pre-existing built fabric) – Perceived quality of the landscape around the own home – Panoramic sites – Urban morphology (intended as the aggregation mode of settlements that define their form. The elements that structure an urban core are considered: streets, buildings, open spaces, green areas) – Quality of the relationship between the small town and its context – Preservation of relation systems between assets – Accessibility to open public areas – Green, public space and heritage Indicator – Green space access – Public outdoor recreation space – Green space accessibility (continued)

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Historical-architectural criteria Layer Sub-criteria

Building

Formal relationship between building and urban core

Typological-distributive and typological-formal characters

Indicator – The number of green space reconstruction projects – Percentage of green or public spaces and local heritage in need of improvement – Urban pedestrian areas – Valuing of urban public parks and gardens – Revitalisation of historical urban spaces – State of preservation of built heritage with reference to characterizing elements – Historic preservation element/plan and integration with community planning – Historic fabric – Preservation of the assets – Use of historical-cultural heritage – Preservation of cultural heritage – Ground floor usage – Monuments (valuable buildings with historical-artistic significance)

References 1. De Rossi, A.: Riabitare l’Italia. Le aree interne tra abbandoni e riconquiste. Donzelli Editore, Rome (2018) 2. Coletta, T.: I centri storici minori abbandonati della Campania. Conservazione, recupero e valorizzazione. Edizioni Scientifiche Italiane, Naples (2010) 3. Di Stefano, R.: Il recupero dei valori. Centri storici e monumenti. Limiti della conservazione e del restauro. Edizioni Scientifiche Italiane, Naples (1979) 4. Rocchi, G.: Istituzioni di restauro dei beni architettonici e ambientali. Hoepli, Milan (1985) 5. Nesticò, A., D’Andria, E., Fiore, P.: Centri minori e strategie di intervento. In: Fiore, P., D’Andria, E. (eds.) I centri minori…da problema a risorsa, pp. 1397–1404. FrancoAngeli Editore, Milan (2019) 6. Fiore, P.: Valorisation of the abandoned minor centers: analysis, proposals and case study. In: Diagnosis, Conservation and Valorization of Cultural Heritage. AIES, Beni Culturali Naples (2017) 7. Clementi, C., Giordani, M., Poponessi, P.: L’Italia dei borghi. Historica Edizioni, Rome (2017) 8. Nesticò, A., Moffa, R.: Economic analysis and Operational Research tools for estimating productivity levels in off-site construction [Analisi economiche e strumenti di Ricerca Operativa per la stima dei livelli di produttività nell’edilizia off-site]. Valori e Valutazioni, n. 20, pp. 107–126. DEI Tipografia del Genio Civile, Rome (2018). ISSN 2036-2404 9. Della Spina, L.: A multi-level integrated approach to designing complex urban scenarios in support of strategic planning and urban regeneration. Smart Innov. Syst. Technol. 100, 226– 237 (2019). https://doi.org/10.1007/978-3-319-92099-3_27

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10. Fiore, P., Nesticò, A., Macchiaroli, M.: The energy improvement of monumental buildings. An investigation protocol and case studies [La riqualificazione energetica degli edifici monumentali. Un protocollo di intervento e caso studio]. Valori e Valutazioni, n. 16, pp. 45– 55. DEI Tipografia del Genio Civile, Rome (2016). ISSN 2036-2404 11. Bencardino, M., Nesticò, A.: Demographic changes and real estate values. A quantitative model for analyzing the urban-rural linkages. Sustainability 9(4), 536 (2017). https://doi.org/ 10.3390/su9040536 12. Mega, V., Pedersen, J.: Urban Sustainability Indicators. Office for Official Publications of the European Communities, Luxembourg (1998) 13. Mameli, F., Marletto, G.: A selection of indicators for monitoring sustainable urban mobility policies. In: Marletto, G., Musso, E. (eds.) Trasporti, ambiente e territorio. La ricerca di un nuovo equilibrio, pp. 167–174. FrancoAngeli Editore, Milan (2009) 14. Vallega, A.: Indicatori per il paesaggio. FrancoAngeli, Milan (2009) 15. Minx, J., Creutzig, F., Ziegler, T., Owen, A.: Developing a pragmatic approach to assess urban metabolism in Europe. A report to the European Environment Agency. Technische Universität Berlin and Stockholm Environment Institute, Climatecon, Berlin (2010) 16. Directorate-General Environment, European Commission: EEA Urban Metabolism Framework. Science for Environment Policy, IN-DEPTH REPORT: Indicators for Sustainable Cities, issue 12, p. 13. European Union (2018) 17. United Nations Economic Commission For Europe: Transport for sustainable development in the ECE region. UNECE Transport Division (2011) 18. Volpiano, M.: Indicators for the assessment of historic landscape features. In: Cassatella, C., Peano, A. (eds.) Landscape Indicators, pp. 77–104. Springer, Heidelberg (2011) 19. Directorate-General for Agriculture and Rural Development: Rural Development in the European Union Statistical and Economic Information Report 2013, European Union (2013) 20. European Spatial Planning Observation Network (ESPON): KITCASP. Key Indicators for Territorial Cohesion and Spatial Planning, Part A, Executive Summary, European Union (2013) 21. Phillips, R.G., Stein, J.M.: An indicator framework for linking historic preservation and community economic development. Soc. Indic. Res. 113(1), 1–15 (2013) 22. Valtenbergs, V., González, A., Piziks, R.: Selecting indicators for sustainable development of small towns: the case of Valmiera municipality. Procedia Comput. Sci. 26, 21–32 (2013). Special Issue, ICTE in Regional Development 23. European Environment Agency (EEA): Core Set of Indicators (CSI). In: Digest of EEA Indicators 2014, 8, pp. 28–31 (2014) 24. UN-Habitat: Measurement of city prosperity. Methodology and metadata (2016) 25. Bosch, P., Jongeneel, S., Rovers, V., Neumann, H.-M., Airaksinen, M., Huovila, A.: CITYkeys list of city indicators, CITYkeys (2017) 26. Nesticò, A., Morano, P., Sica, F.: A model to support the public administration decisions for the investments selection on historic buildings. J. Cult. Herit. 33, 201–207 (2018). https:// doi.org/10.1016/j.culher.2018.03.008 27. Battisti, F., Campo, O.: A methodology for determining the profitability index of real estate initiatives involving public-private partnerships. A case study: the integrated intervention programs in Rome. Sustainability 11(5), 1371 (2019). https://doi.org/10.3390/su11051371 28. Saaty, T.L., De Paola, P.: Rethinking design and urban planning for the cities of the future. Buildings 7, 76 (2017) 29. Troisi, R., Alfano, G.: Towns as safety organizational fields: an institutional framework in times of emergency. Sustainability 11(24), 7025 (2019). https://doi.org/10.3390/su11247025

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30. Nesticò, A., Maselli, G.: Declining discount rate estimate in the long-term economic evaluation of environmental projects. J. Environ. Account. Manag. 8(1), 93–110 (2020). https://doi.org/10.5890/JEAM.2020.03.007 31. Neely, A., Adams, C., Kennerley, M.: The Performance Prism. Financial Times/Prentice Hall, New Jersey (2002) 32. Nesticò, A., Maselli, G.: Sustainability indicators for the economic evaluation of tourism investments on islands. J. Clean. Prod. 248, 119217 (2020). https://doi.org/10.1016/j.jclepro. 2019.119217 33. Calabrò, F., Mallamace, S., Meduri, T., Tramontana, C.: Unused real estate and enhancement of historic centers: legislative instruments and procedural ideas. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives, ISHT 2018. Smart Innovation, Systems and Technologies – SIST, vol. 101, pp. 464–474. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-92102-0_49

Innovation Systems in the Fourth Industrial Revolution: The Territorial Challenge of the Campania Region Monica Maglio(&) University of Salerno, 84044 Fisciano, SA, Italy [email protected]

Abstract. The cognitive objective of the work is to underline the strategic importance of knowledge and collaboration networks in the Fourth Industrial Revolution. In support of these considerations, the process of innovation in the new technological paradigm will be described, with the aim of highlighting that the better the level of human capital, the greater the chances of increasing competitiveness. The reflection will be followed by the evolution of the concept of the Innovation System, with reference to the actors and the network model, as well as to the policies that help shape a suitable context for the diffusion of the knowledge economy. The systemic approach will be found in the Campania Region, which although not starting from favorable positions in the ranking of the most innovative territories, is striving to face the territorial challenge. Although many parties agree with the need to govern change and the idea that technology should only play a role in supporting and enhancing human activity is making headway, in reality there remains a considerable distance between the declared intentions and the real practices followed in the era of digital transformation. The importance of this study lies in the observation that in the face of the Fourth Industrial Revolution, it is not enough to simply de-linearise the possible impacts of enabling technologies in forecasting terms, but it is necessary to enter into the merits of the paths of change, in order to identify to use the appropriate ways to guide and accompany them, which should be governed by an innovation systems governance that guarantees the participation of all stakeholders. Keywords: Knowledge


Innovation
System
Territory

1 Introduction The clear idea inherited from the past is that knowledge productivity identifies and guides the relationship between resources used by businesses and the results obtained; therefore it is a measure of efficiency strictly connected with the rational use of the former, which are instrumental for the latter. Hence the problem of identifying the means to be taken into consideration and what the results have meant for achieving

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competitiveness in the Fourth Industrial Revolution. In the complexity of this historical period, it is affirming that knowledge1 represents a precious intangible asset, because it guarantees development and productivity in the current globalized socio-economic context, especially if it is shared and spread [1]. This statement is valid when specialist knowledge is used competently for a productive use of knowledge. Hence it depends on two aspects: from the phase of creating knowledge, but also from the methods of transmission and then of its valorisation through the innovative process. Since knowledge, from a simple generative basis of innovation [2], is placed in a relationship of dependence and circularity with innovation [3], one cannot ignore both factors (although concepts are increasingly considered synonyms and the former is often underestimated). It is no coincidence, in fact, that Europe, for more than ten years now, has declared that it intends to invest in the knowledge society and has strengthened the program that promotes the Innovation Union. Investment in knowledge and innovation generates economic growth and development, but it is complex to document empirically; however, there is consolidated evidence that the territories that have invested in the aforementioned factors maintain high economic performance and enjoy competitive advantages and human and social capital capable of increasing attractiveness. Therefore, innovation capacity is an essential factor in responding to the crisis of the beginning of the millennium. Often innovation processes are increasingly the result of interactions between different skills and resources, which cannot be possessed by individual actors, the systemic approach is binding a valid operational model [4]: the responsibility for the commitment to innovation it is increasingly collective as it accumulates businesses, consumers, politicians, research institutions, which must guarantee scientific knowledge, investments, technology and innovation. This explains the approach of the contribution: after briefly presenting the generative context of the Fourth Industrial Revolution, where the diffusion of digital and interconnection is imposing organizational, cultural and social changes, we focus on the increasingly complex evolutionary lines of the innovation system (in terms of roles, actors and relationships) in the current technological paradigm. In recent years this line of study [5] has found so much space in different fields (academic and political) and scientific fields, that it is too large to be dealt with exhaustively here; therefore, attention will be paid to the critical factors to be taken into account: adequate skills, but also efficient institutions and good governance, are more important than industrial processes stricto sensu [6]. As early as 2009, the OECD highlighted that support for innovation was still too concentrated on research and development with the aim of achieving economic convergence between regions, and less on the territorial perspective of science and technology policy, which would help build regional strengths for long-term competitiveness.

1

Reference is made to highly specialized knowledge, focused on results, which in post-capitalist society becomes capital, economic resource, knowledge that can be transformed into performance.

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2 The Generative Context of the Fourth Industrial Revolution From the heart of a long crisis emerges the Fourth Industrial Revolution [7]. Since the beginning of the third millennium, the appeal by scholars, politicians and journalists to this new historical period is increasingly frequent, which imposes numerous challenges on all actors in development. To frame its generative context, we must start from those years in which Information and Communication Technology (ICT) allowed both the development of new production models based on automation and the differentiation of products on the rather quality that on price, in order to deal with the globalization of the economy, competition on increasingly complex markets, despite the great currency instability with rising inflation levels, the compression of wages, the reduction of consumption, as well as the high costs of raw materials. In addition to the automation of the production models crushed by the Fordist method, an alternative model of business organization was starting to grow based on the development of the networks that articulated various specific activities on a territory, united by a new entrepreneur who summarized the role of organizer. of the production cycle in a widespread context: industrial districts will assume more and more value all over the world, together with clusters, networks, milieux innovateurs. Everything that was internalized in the large plant in the past was redistributed over territories that regained the sense of basic unity, in which the quality of the final products, skills and institutions made the difference. ICT was the powerful means of replacing capital at work and of relocating phases with different added value in other countries due to the labor costs offered by different local situations. The phase of political, economic and social transformation, in addition to a phase of general progress, goes up to the first decade of the new century with a more rapid rate of trade and growth, which suggested the remoteness from any possible crisis. Instead, in 2007 everything has a reversal: the deepest crisis since the Second World War has drawn global economies into the vortex and initiated a profound change in production systems. It is revealed as the incubation stage of the new industrial revolution, at the basis of which there is not only the improvement of telecommunications and information technology, which have already characterized the previous phase (i.e. the third industrial revolution, following the long cycle Fordist), but the diffusion and methods of their use to allow the interconnection of relational networks to manage contemporary complexity and to become a determining factor for the development of the territories. The reduction of material exchanges is countered by an increasing exchange of data, therefore of intangible goods, through a continuous interconnection between people, businesses, institutions that far exceeds the already extensive system of telecommunications. The centrality of production is based on the ability to create value through an organization that uses human resources, best applying their skills and that acquires and integrates technologies derived in part from internal experience and in part from an interaction with those structures sciences that generate new knowledge and

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transform it into production tools. The technological change, to which operators are adapting with different speeds2, is causing the decline of consolidated leaders and the emergence of others who know how to take advantage of the technologies available to assert their market power: these bring not only new products but a new competition on previously non-existent needs and on services immediately addressed to the end user. Like all industrial revolutions, there is not only a change of techniques, but also of the transformations of the structures themselves of the subsisting economies, and in particular of the ways and prospects of production, as well as of the ways in which a company reproduces and grows, therefore of the substantial metamorphoses of relationships between people, social groups, institutions, businesses etc. Precisely these metamorphoses if they lead certain subjects/countries to prevail, changing the relations of economic strength and transforming the relations of internal power, they lead others to succumb3 [7]. So, alongside the scientific studies aimed at offering an essentially technologicalproductive reading of the complex transformation process and aimed at knowing the advantages of the technologies considered enabling4 [9], it is necessary to focus on the attention also on the new technological paradigm.

3 The Importance of Innovation Systems in the New Technological Paradigm If neoclassical theories define innovation processes as exogenous to the economic system, as belonging to the scientific world and freely accessible by all companies, they are subsequently considered as endogenous and consequent to orderly and sequential research and development activities. Indeed, Schumpeter defines them as linear and driven by technology (technology-push) or by the market (market-pull) or by demand (need-pull). Following this, Kline and Rosenberg [10] propose an alternative model to the chain, for the numerous feedbacks between the phases: interdependencies and multidirectional flows of knowledge can come from the production and design

2

3

4

According to Scazzieri's interpretation [8], these years of transition could be seen as a crossroads in which technological change has opened up a path taken by only a few, so that growth is not uniform but results at multiple speeds. The same technology, in fact, has been used for different purposes in different geographical contexts - based on the way in which the factors of production have been combined among themselves to obtain output - it has influenced the process of economic growth. Think of the steam-comotiva of the First Industrial Revolution and the different use of the relative technology made by the Kingdom of Naples and England: the first, after the purchase of the lo-comotives, built the railway and started the factory for the maintenance and construction of railway equipment, but afterwards it proved unable to draw the consequences in terms of development and modernization; the second, on the other hand, used them for the transport of coal and fabrics and then to activate public transport, until consolidating the sector and activating competition between designers and companies, which multiplied knowledge and experiments and fueled growth of a new generation of industrialists who became protagonists of change. Internet of things, artificial intelligence, robotics, autonomous vehicles and drones, virtual reality, blockchain, digital traceability, 3D printing are the technologies that characterize Industry 4.0.

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activities, as well as from the market and each ring can generate impacts upstream or downstream of the individual phases. Since 1990 also the chain model has been overcome by the evidence that innovation is not the result of the efforts made by the single company but is the result of the collaboration between numerous actors linked by relationships (formal and in-formal) rooted in an institutional context and cultural shared. There are countless studies and surveys on the processes of acquiring knowledge, skills and know-how or the results of an innovation activity. Between the conceptual models of reference the systemic approach is made, which has as its central characteristic the continuous and reciprocal interaction between the constituent elements, which mutually influence and limit each other [11]. This is where various definitions of the Innovation System [12] spread, but all converge in the common perspective of interdependence relations, stressing that the quality of the reports has a decisive influence on the levels of development and innovation of the individual nodes, which in turn affect the quality of the system in a circular chain of cause-effect [13]. 3.1

Characteristics of the New Technological Paradigm

The relational dimension is even more important in the digital transformation required to face the Fourth Industrial Revolution: the convergence of ICT, while offering the possibility of obtaining new progress in both traditional and emerging sectors, itself obtains advantages in terms of improvement for a continuous self-generation mechanism of the technological system. Companies are therefore faced with a multiplication of the options available to pursue product and process innovation on the one hand and that of business processes on the other. This explosion of opportunities, however, presupposes a diversification of knowledge to operate adequately to the new technological paradigm5. In fact, with the development of ICT, the conditions of: 1, opportunity; 2. appropriability; 3. cumulativity; 4. characteristics of basic knowledge [16]. As for the first, just think of the greater ease of innovation, for the numerous incentives available, for a wide variety of solutions (especially for the current pre-paradigmatic phase), for the high pervasiveness of the application, for the multiplication of the mainly external sources. For the second, if it is true that the possibility of protecting oneself from imitation for the type of organization of the knowledge economy6 and for the attention paid to externalities is decreasing, the continuous innovations increase the means of protection. The new

5

6

The technological paradigm is a set of knowledge, both tacit and codified, including scientific notions, research procedures and operations related to the birth and development of a given technology, and functions as a shared model for a community of practice (engineers, technicians, scientists) involved in solving problems that emerge in the normal progress of a technology [14]. The contrast between trajectory and technological paradigm, introduced by Dosi [15], is omitted here, in analogy to the contrast between paradigm and scientific trajectory supported by Khun. The knowledge-based community, i.e. the network of individuals who produce and circulate new knowledge, normally base their structure on informal rules such as reciprocity and the commitment to disseminate new scientific discoveries or other sometimes confidential information, and who can work for rival organizations.

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conditions of cumultativity refer to the fact that the technologies enabling 4.0 and the current innovative activities are the starting point for operating in the future, tending to the further specificity of the technological trajectories: without an adequate cognitive base it will not be possible to follow the upcoming learning processes that become increasingly qualified. Indeed, the nature of the knowledge required at present: – it is always more specific in the specific application domains; – it is complex in terms of integration between scientific disciplines, the necessary technologies and 4.0 skills; – it is increasingly less isolatable and identifiable within the system. Since this type of knowledge is poorly standardized, codified and independent, in addition to the formal transmission orders, the informal ones that require staff mobility, personalized teaching, knowledge contamination guaranteed by daily observation processes and by the implementation of relationships and collaborations [17]. In order to operate conveniently in the aforementioned paradigm, the innovation systems, aimed at favoring the tuning between institutional structures, multiplicity of actors and dominant technologies, acquire importance. However, the concept of a system is elusive and elusive to empirical analysis because of the difficulty of defining precisely the extension and components. Therefore, we consider the dynamism of the contexts, amply defined, which are in relation to each other’s influence. 3.2

The Main Dynamics of the Innovation System

Innovation systems have the task of accompanying the dynamics of the innovation process and helping to address resolving issues in the Fourth Industrial Revolution: from interdisciplinarity to the link with the territories, from the public/private relationship to the relationships between innovative subjects. Universities, research institutions and companies7, initially identified as “soloists” of a linear process, are looking for new organizational structures8 that enable them to interact with each other efficiently and effectively. The tendency to co-operate for innovation, through formal and informal links, is driven by several factors such as: – the variety of sources from which innovation can originate; – the need for knowledge and skills that go beyond their own technologicalproductive field; 7

8

In fact, there is no company, regardless of size, capable of supporting change in its own right: the large one, operating on the global market, first began the reorganization of the activities related to innovation; small and medium-sized companies are experiencing greater difficulties and hesitations in responding to the new technological paradigm. From the Triple Helix model - scientifically attributed to Etzkovitz and Leydesdorff [18], in which the actors all operated on the same level but each with different motivations (from basic research to the introduction of innovation on the market, passing through research applied) - we move on to the systemic one, capable of bringing out hybrid organizations and multiplications of partners who develop and spread innovation, thanks to the interaction of the various missions, knowledge and skills [19].

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– raising the minimum threshold for knowledge resources and funding to develop and introduce innovation; – the acceleration of the life cycle of innovations. The complexity of the innovation system for roles, numbers and relationships (increasingly international) between the actors is evident: each institution participates with activities that go beyond its own and original (training, fundamental and applied research, technological development); collaborations intensify and constant ties imply flows of financial resources, people and knowledge; new bodies appear to accelerate innovation and its application (for example, incubators, service centers, spin-offs, competence centers). Innovation, in fact, is the result of a process of combination and re-combination of knowledge that is distributed over a plurality of subjects, for a division of labor in the production of knowledge that continuously expands and specializes. The network imposes itself with wide response: a network populated by multiple subjects - such as universities, research centers, technology transfer agencies, training bodies - who work side by side and support each other synergistically in the innovation process. Networks encourage the generation and transfer of innovation, although localized institutional and structural factors can prevent or determine the success of the process. This consideration is based on the evidence that having knowledge does not automatically mean knowing how to use it from an economic point of view, because intellectual capital is enhanced by a “learning by iteration”, that is, through the exchange of knowledge between different systems: each actor (be it a sinolo subject, an enterprise, an institution or a network) is in continuous interaction with the context of reference and can be considered an apprentice in an experimental situation [20]. In the current knowledge economy, confirming the evolutionary approach [21], innovation is conditioned by the territory. The strategic problem lies in the attempt to make a favorable area to welcome value creation activities, supporting a virtuous circle of “cognitive contamination”, indispensable for absorbing new technology. The dimensions (such as education, science, technology, economics) that influence the process interact with each other, while each maintaining relative autonomy: this explains the lack of spatial synchronization of the digital transformation processes. Autonomy and asynchronous coevolution of the dimensions make it possible to understand the possibility of a disharmonious change within an innovation system with local divergences, which however are indispensable to safeguard the variety9. The specificities of some dimensions are not to be considered obstacles but of the resources on which to base the endogenous development. It should not be underestimated that some dimensions exert a greater conditioning force, such as above all the socio-institutional environment in which we operate. The latter with the policies and governance that characterizes it can contribute and enrich

9

“Although each of the five has its own distinctive features and relative autonomy, it is their interdependence and interaction which provides major insights into the processes of “forging ahead”, “catching up” and “falling behind” in economic growth. Positive congruence and interaction between them provides the most fertile soil for growth, while lack of congruence may prevent growth altogether, or slow it down” p. 2 [21].

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the variety of innovation processes, and therefore also delay them. The composition of policies - which address different thematic aspects but which aim to increase knowledge and learning within the innovation system - is a factor of change: policies relating to the formation of human capital (education and training) and to research scientific and experimental constitute the prerequisite for the development of technological innovation in the Fourth Industrial Revolution, which only apparently is generated by the companies themselves. This is why it is necessary to rely on a conscious model of governance that optimizes the aggregate result of the interactions that are established between the actors. In this context, emphasis is placed on the regional scale with the Regional Innovation System (RIS), confirming the importance of the regional vision attributed by Europe, already towards the end of the last century, as the region is the reference unit responsible for coordination. They are considered crucial in the implementation of innovation processes, which depend on the appreciation of the specificities of the different economic, social, institutional components of the territory and on their capacity to make “system”. Given the geographical differences, there are numerous empirical studies that theorize on the plausible choice of factors determining regional innovation [22]; however, there is no commonly accepted definition or unambiguous understanding of the elements of the regional innovation system [23]. Certainly the prospect of profit or the usefulness of the consumer is not sufficient to explain the decisions to innovate or not to innovate: The innovation process is often driven by other factors that are formed and enforced in areas outside the market. Common, therefore, is the opinion that innovation, being a multidimensional complex result, is a collective and interactive process, dependent on the intensity of the relationships between actors belonging to the economic fields, social and institutional, and that the institutions themselves have a pro-active role, with their public policies in the fields of education, higher education, scientific research [24, 25]. For the purpose of this work, it is noted that each perspective examined (sector, sector or technology) provides a satisfactory but not exhaustive interpretation for the understanding of RIS. In the Fourth Industrial Revolution, territory provides the key elements. Contemporary innovative processes do not start automatically but: – they are historically determined; – depend on interaction and feedback between the different economic and institutional components; – trigger cumulative learning processes; – contribute to the training and transmission of tacit and formal knowledge. The territory becomes a relational space where geography matters only if the forces of belonging - shared rules and relational proximity - and of similarity - cognitive proximity and the common heritage of knowledge of the actors rooted in the place act in the territory [26].

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4 The Innovative Ecosystem of Campania: Where Is It? The Campania Region participates in the Fourth Industrial Revolution, starting from an uncompetitive position: in 2019 it is considered by the European Commission as a region with moderate innovation, in the context of the comparative evaluation of the performance of innovation systems. In particular, in the regional ranking for individual indicators it ranks among the last ten Italian regions (Fig. 1), confirming what is also detectable by the regional competitiveness indicator, which sees a drop from −0,53 in 2010, to −0,76 in 2013, to −0,92 in 2016, to −0,91 in 2019. Despite this, there is an improvement compared to 2011, especially in those assets that testify the commitment to work with a networked approach, establishing publicprivate relations; to spread knowledge and raise the level of training; as well as to implement innovation in small and medium-sized enterprises (Fig. 2). The Action Plan for Research & Development, Innovation and ICT (Resolution no. 180 of 29 April 2011), launched with the aim of creating an integrated research system, certainly contributed to achieving these results and innovation, through the development of endogenous human capital, the strengthening of the regional university system and the regional network of research centers, the promotion of innovation and technology transfer. To avoid the fragmentation of the interventions, to systematise research and innovation policies, to develop innovation strategies that enhance the productive areas of excellence, Campania has also adopted the Document Research and Innovation Strategies for Smart Specialization (Burc n. 91, 30.12.2016). The Campania Region has continued to focus on the creation of a Regional Innovation System. Aware that a regional strategy capable of covering the entire innovation cycle - from training, to research, to translation in technology, to industrial and commercial applications - cannot be separated from the territory, it has committed itself to enhancing the conditions of base through programs for the development of creativity, the strengthening of specialist skills and talents, the diffusion of the culture of innovation since the second degree Scholastic Institutions. In fact, if the latter can contribute to the process of change by stimulating the development of digital skills and promoting the use of innovative technologies, the other local actors10 must commit themselves to training and enhancing human capital as well as to consolidate the innovation chain to increase competitiveness in favor of the technological and economic changes of the Region. A regional ecosystem for innovation has therefore become an acceptable model for the socio-economic development of Campania and is constantly referred to in initiatives: both in those aimed at obtaining incentives that oblige to establish agreements and/or targeted collaborations to enhance the ability of the territories to continuously generate new innovative entrepreneurship (Resolution n. 329, 23.10.2019); and those aimed at facilitating the contamination of knowledge, such as the creation of

10

Si fa riferimento a distretti ad alta tecnologia, laboratori pubblico-privati, centri regionali di competenza, PMI e startup innovative, università e centri di trasferimento tecnologico, organismi di ricerca pubblici e privati, agenzie dell'innovazione, associazioni di categoria, incubatori, Industrial Laison Office.

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Innovative SMEs collaborating with others

18

Population with tertiary education

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EPO patent applications

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Public-private co-publications

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Design applications

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Lifelong learning

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R&D expenditure business sector

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Innovation index

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Scientific co-publications

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Trademark applications

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Employment medium and high tech…

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Product or process innovators

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SMEs innovating in-house

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R&D expenditure public sector

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Most cited publications

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Marketing or organisational innovators Sales of new-to-market and new-to-firm… R&D innovation expenditures

9 15 14

Fig. 1. Position of the Campania Region in the national ranking for individual indicators (2019). Source: European Commission [31].

technological platforms conceived as an integrated and coordinated set of training, research, development and innovation actions to encourage the creation of human capital with a scientific and technological profile. The RIS perspective of Campania therefore places emphasis on innovation governed by networks, which confirm the evolution of thought relating to the territoryinnovation relationship: in the Fourth Industrial Revolution, relational proximity in a systemic approach acquires importance. Innovative performances of a region are not so much the result or effect of an ideal government structure but rather the coherence between the territorial context and the diffusion of knowledge. The existence of interactions between different actors playing a role in the innovation process does not imply that relationships are systemic, that there is a conscious model of coordination that can optimise the aggregate result of interactions between components. The RIS is the result of a process of emerging from a chaotic and embryonic context. Innovation policy should be able to increase the region’s capacity to increase the effectiveness of accumulated knowledge and to promote technology based on the local specificities and characteristics of the innovation model already present in the region [27]. It becomes essential to frame RIS in the regional specificity that still presents:

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2013 2015 Most-cited publications between

2017 2019 SMEs innvoating in-house

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Innovation index

Lifelong learning

Population with tertiary education

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Product or process innovators

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Fig. 2. The trend of some innovation indicators of Campania Region (2011–2019). Source: European Commission [32].

– scarce diffusion among the actors of an adequate maturity to encourage collective learning processes; – lack of propensity for cooperation, which goes beyond the opportunistic dimension of innovation processes; – inadequacy of communication mechanisms, which generates insufficient flows of knowledge; – modest number of innovative companies, which does not reach a critical mass threshold capable of triggering dynamic development mechanisms; – poor absorption capacity due to an inhomogeneous cognitive proximity, which sterilizes the spillovers of academic knowledge and makes investments in public research inefficient; – difficulties in dialogue between the technology transfer agencies and the recipients which does not allow the unspoken demand for innovation to be intercepted. Based on the classification of Tödtling and Trippl [28], it is therefore confirmed that the Campania Region is currently a peripheral region in the Fourth Industrial Revolution.

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5 Conclusions The systemic approach represents a theoretical advance in the study of innovation and constitutes an opportunity to face the new technological paradigm in the Fourth Industrial Revolution, but it is very complex to find its adoption by the regions: on the empirical side, neither grasp the relational aspects between the units involved (which have multiplied and are not easily detectable), nor to evaluate the relative effects on innovative performance. In this historical period, the increase in the number of subjects participating in the innovative process and the diversification of input sources increase the aforementioned scientific limit. Certainly, however, the accumulation of knowledge on the new technological paradigm, as well as the ability to collaborate in a defined governance framework, determine the conditions for improving the position of a territory in the competitive arena: in an advanced RIS the presence of actors is needed with innovative skills and the permanence of networks of relationships for exchanges of knowledge [29]. The idea that universal recipes do not exist and that the effectiveness of regional innovation policies depend significantly on the characteristics and the phase of the development cycle through which a region crosses is well founded [30]: some critical factors must be kept in mind when designing initiatives. At present, given the commitment of the Campania Region in this direction, it can be intuitively supported that it will be able to actively participate in the Fourth Industrial Revolution, but will have to encourage the transition of innovation policies from a traditional perspective centered on business innovation to a systemic approach: alongside technological capital it is essential to encourage the formation of intellectual capital and social capital through the development of relationships between the actors of the system. In light of this new orientation, future research topics may focus on methods for measuring the relationships between the subjects involved and indicators for assessing the impacts of the systemic initiatives adopted.

References 1. Memoli, R. (ed.): Interazioni tra discipline. Elaborare concetti per la ricerca sociale. Franco Angeli, Milano (2014) 2. Nonaka, I., Takeuchi, H.: The Knowledge Creating Company. University Press, Oxford (1995) 3. Rullani, E.: Economia della conoscenza. Creatività e valore nel capitalismo delle reti, Giappichelli, Roma (2008) 4. Parente, R.: Co-evoluzione e cluster tecnologici. Aracne, Roma (2008) 5. Lundvall, B.A.: National Systems of Innovation: Towards a Theory of Innovation and Interactive Learning. Pinter, London (1992) 6. Bounfour, A., Edvinsson, L. (eds.): Intellectual Capital for Communities. Routledge, New York (2005) 7. Bianchi, P.: 4.0 La nuova rivoluzione industriale. Il Mulino, Bologna (2018) 8. Scazzieri, R.: Traverse analysis and methods of economic dynamics. In: Hagemann, H., Scazzieri, R. (eds.) Capital, Time and Transitional Dynamics, pp. 96–132. Routledge, London (2009)

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9. Liao, Y., Deschamps, F., de Freitas Rocha Loures, E., Ramos, L.F.P.: Past, present and future of Industry 4.0 - a systematic literature review and research agenda proposal. Int. J. Prod. Res. 55(12), 3609–3629 (2017) 10. Kline, R., Rosenberg, N.: An overwiew of innovation. In: Landau, R., Rosenberger, N. (eds.) The positive Sum Strategy: Harnessing Technology for Economic Growth, pp. 275–305. National Academy Press, Washington, D.C. (1986) 11. Edquist, C.: Systems of innovation: perspectives and challenges. In: Mowery, D.C., Fagerberg, J. (eds.) The Oxford Handbook of Innovation, pp. 181–208. Oxford University Press, Oxford (2006) 12. Freeman, C.: Technology Policy and Economic Performance: Lessons from Japan. Pinter, London (1987) 13. Golinelli, M.G.: L’approccio sistemico (ASV) al governo dell’impresa. Cedam, Padova (2012) 14. Khun, T.: The Structure of Scientific Revolutions. University of Chicago Press, Chicago (1962) 15. Dosi, G.: Technological paradigms and technological trajectories. Res. Policy 11(3), 147– 162 (1982) 16. Malerba, F., Orsenigo, L.: Regimi tecnologici e pattenr settoriali di innovazione. In: Malerba, F. (ed.) Economia dell’innovazione, pp. 231–253. Carocci, Roma (2000) 17. Celata, F.: Spazi di produzione. Una prospettiva relazionale. Giappichelli, Torino (2009) 18. Etzkowitz, H., Leydesdorff, L.: The triple helix – University-Industry-Government relations: a laboratory for knowledge base economic development. EASST Rev. 14(1), 14–19 (1995) 19. Canal, T. (ed.): L’Italia fra jobs act ed Europa 2020. Rapporto di monitoraggio del mercato del lavoro. ISFOL, Roma (2015) 20. Pace, G. (ed.): Sviluppo, innovazione e conoscenza. Franco Angeli, Milano (2010) 21. Freeman, C.: History, co-evolution and economic growth. IIASA Working Paper. IIASA, Laxenburg, Austria, WP-95-076 (1995) 22. Brenner, T., Greif, S.: The dependence of innovativeness on the local firm population an empirical study of german patents. Ind. Innov. 13(1), 21–39 (2006) 23. Brenner, T., Broekel, T.: Regional factors and innovativeness – an empirical analysis of four German industries. Ann. Reg. Sci. 47, 169–194 (2009) 24. Cooke, P., Uranga, M.G., Etxebarria, G.: Regional innovation systems: institutions and organisational dimensions. Res. Policy 26(4–5), 475–491 (1997) 25. Cooke, P., Heidenreich, M., Braczyk, H.: Regional Innovation Systems. UCL Press, Londra (2003) 26. Izzo, F.: Le politiche regionali per l’innovazione in Europa. Un’analisi critica. Rassegna Economica 1, 11–50 (2009) 27. Camagni, R., Capello, R.: Modelli regionali dell’innovazione. In: Fratesi, U., Pellegrini, G. (eds.) Territorio istituzioni e crescita, pp. 303–336. Franco Angeli, Milano (2013) 28. Tödtling, F., Trippl, M.: One size fits all? Towards a differentiated regional innovation policy approach. Res. Policy 34, 1203–1219 (2005) 29. Rondé, P., Hussler, C.: Innovation in regions: what does really matter? Res. Policy 34, 1150–1172 (2005) 30. Asheim, B.T., Coenen, L.: Knowledge bases and regional innovation systems. Comparing Nordic clusters. Res. Policy 34(8), 1173–1190 (2005) 31. European Commission. https://ec.europa.eu/regional_policy/en/information/maps/regional_ competitiveness/. Accessed 27 Jan 2020 32. European Commission, Regional Innovation Scoreboard. https://ec.europa.eu/commission/ presscorner/detail/en/ip_19_2991. Accessed 27 Jan 2020

Climate Change and Urban Resilience. Preliminary Insights from an Integrated Evaluation Framework Vanessa Assumma, Marta Bottero, Giulia Datola, Alessandro Pezzoli, and Carlotta Quagliolo(&) Interuniversity Department of Urban and Regional Studies and Planning, Politecnico di Torino, 10125 Turin, Italy {vanessa.assumma,marta.bottero,giulia.datola, alessandro.pezzoli,carlotta.quagliolo}@polito.it

Abstract. The present paper deals with the investigation of the effects of climate change in the urban systems. The methodology consists in the employment of an MCDA approach, in the form of a system of multidimensional indicators for calculating a multidimensional index of Urban Vulnerability (UVI) as an indirect measure of the urban resilience. Part of the indicators has been processed through the software RClimdex for investigating climate extremes. The methodology has been tested on a real case study in Piedmont, that is the city of Rivoli, in the Metropolitan Area of Turin. The results reveal a higher vulnerability for Rivoli in respect to the city of Turin. This proposal may be considered a reliable tool to support the definition of guidelines and policy implications in the ambit of Climate adaptation planning and Vulnerability reduction. Keywords: Vulnerability


Urban resilience
MCDA

1 Introduction The current and projected climate change is likely to increase further the frequency and severity of disasters [1]. The high concentration of people, critical infrastructures, buildings and services in urban areas put them at risk of cascading system effects [2, 3]. Moreover, climate instability may determine high exposure to multi-risk affecting the magnitude and spatial distribution of hazardous events [4]. In this context, the relevance of adopting a multi-risk approach for increasing the resilience of the system emerges essentially to provide more effective adaptation measures [5]. For these reasons, this paper aims at showing the important role of the integrated evaluation model in the assessment of complex systems [6]. Specifically, this application illustrates the suitability of these tools in urban resilience assessment, with a specific focus on the effects that can affect urban resilience due to the impacts of climate extremes. In that view, this paper introduces an integrated approach for measuring urban resilience, considering the system intrinsically vulnerable to climate extremes and minimally resilient [7]. In this sense, the vulnerability is counterpoised to resilience even if they act simultaneously, meaning that a resilient system has a few © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 676–685, 2021. https://doi.org/10.1007/978-3-030-48279-4_63

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vulnerable elements [8]. Here, two essential issues of urban studies are analyzed: climate variability and the complexity of the dynamic urban system.

2 Methodology The present methodology develops an integrated approach that considers the Multicriteria Decision Analysis (MCDA) because aid the decision context to solve complex problems that regard the contemporary city and the climate analysis of the temperature and precipitation extremes, which have huge impacts on human health, economic activities, environment and society in general. 2.1

Multicriteria Decision Analysis (MCDA)

The Multicriteria Decision Analysis (MCDA) is generally employed to solve decision problems, where taking a sustainable solution between different interests reveals difficult [9]. In fact, the MCDA allows to evaluate a definite problem concerning a set of criteria and by considering a group of suitable alternatives [10], trying to reach a shared solution between the actors and stakeholders that are involved into the decision-making process. The MCDA is also useful to calculate synthetic indices for evaluating complex phenomena, such as the sustainable cities [11], the ecological-economic evaluation of environmental systems [12], the urban resilience [13, 14], the energy retrofit [15]. The present research work extends a previous work of some of the authors [16] and focuses on a small number of previous works related to climate planning [17–19]. A system of multidimensional indicators has been structured into a decision tree. The final objective is to calculate the Urban Vulnerability Index (UVI) as a result of a weighted mean of all considered indicators. Furthermore, these indicators have been selected to assess the UVI considering the response capacity of the urban system with the final aim to support the decision process in defining action and plans for climate adaptation plan and vulnerability reduction [17]. Particularly, the decision tree assumes the following levels: (i) the goal, that is intended as the evaluation of the urban resilience; (ii) the criteria, that are represented by selected dimensions [18, 20] that have been retained meaningful for evaluating urban resilience, i.e. environment to give an overview about the health of natural elements [19, 21], society to assess the socialeconomic condition of the population [20–25], infrastructure to examine the state of the most important elements in case of emergency [26], governance to verify if the city is moving toward the urban resilience enhancement [27, 28] and climate because it plays a very important role in conditioning the dynamic evolutions of a certain city or territory [29, 30]; (iii) the sub-criteria, that refer to the parameters collected by considering the main data sources (e.g. ISTAT, Arpa); (iv) the alternative is represented by the Municipality of Rivoli in the Metropolitan Area of Turin (Italy). In Table 1 are listed the parameters used in this application.

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Table 1. System of parameters used for calculating an Urban Vulnerability Index (UVI). (Elaboration from, 2019) Parameter Environment Water quality

Description

The indicator refers to the chemical state of the waterways by considering a qualitative scale from very low to very high Air quality It records the passing of PM10 levels for pollution with respect to the daily average recorded by the monitoring stations in the territory Land take It measures the hectares of land take caused by urban areas, infrastructures, and other land take types recorded in the Municipality Contaminated sites It measures the number of contaminated sites by anthropic activities located in the territory Biological and The biopotential territorial capacity means the Territorial Capacity bioenergy produced by the biotopes of the territory (BTC) and that exchange with the neighboring areas Society Migration rate The rate considers the net total of migrants during the period, that is the total number of immigrants less the annual number of emigrants, including both citizens and noncitizens Population with The indicator refers to the number of people with high education high level of education post-degree or post degree A. F.A.M. Non-employment The rate is calculated by dividing the number of nonrate employers with the active population (15 y.o. and 64 y.o.) and multiplied for 100 Average income per It means the average income earned per capita in the capita territory and in a given year Population density It considers the number of inhabitants per Km2 Economy Economic Mixité The Diversity index aims at measuring the economic mixité in terms of economic activities Tourism flows The indicator records the total of tourism arrives and presences recorded in a year in the territory Quarry activities It measures the number of mining activities located in the territory Renewable energy It measures the number of establishments that establishments produce renewable energy (biomass, solar thermal, PV) Differentiate waste It refers to the amount of differentiate waste management produced in a year Infrastructure Redundancy of It measures the kilometers of the main streets in the main streets territory Emergency points It considers the number of emergency point located in the territory ICT business The indicator measures the number of business based on ICT in the territory Energetic It considers the number of energy distributor in the multiplicity territory

um status

n° passing lg/m3 ha

no. Mcal/m2*year

%

no.

%

€ ab/Km2 0;1 no. no. no.

ton Km no. no. no.

(continued)

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Table 1. (continued) Parameter

Description

Waste management points

It considers the number of garbage collection in the no. territory

Railway station Governance

Climate

It refers to the number of railway station in the territory Actors and The indicator calculates the density of relations stakeholders between actors and stakeholders of the territory with respect to urban resilience European financings It refers to the number of financings received from EU to the territory in the period 2014–2020 Climate actions It considers the adoption of climate plans in order to plans reduce the effects of Climate change Community It considers the number of social, cultural, pro loco associations and neighborhood associations Update of It refers to the update of Municipal plans in the last Municipal Plan 10 years as plan performance assessment. Frost days Annual count when daily minimum TN (minimum temperature) < 0° Summer days Annual count when daily maximum TX (maximum temperature) > 25° MinTmin Monthly minimum value of daily TN (minimum temperature) MinTmax Monthly minimum value of daily TX (maximum temperature) Number of heavy Annual count of days when PRCP > 10 mm precipitation days Number of very Annual count of days when PRCP > 20 mm heavy precipitation days

um

n° 0;1

no. 0;1 n° 0;1 days days °C °C days days

The calculation of the UVI index follows this multi-step evaluation procedure: • Construction of a database according to the relevant statistical sources and webGeographical Information System (GIS) databases (e.g. ISTAT Census 2011, ARPA Piemonte) and organization of the parameters according into the decision tree; • Normalization of the parameter that considers the parameters with respect to the maximum value and the standardization in the interval [0;1], where values near to 0 indicate a low vulnerability, whereas values near to 1 label a high vulnerability; • Weighting of the parameters. The evaluation has involved a panel of experts, one for each considered dimension, for investigating the relevance of criteria and subcriteria with respect to the decision problem under investigation. The evaluations of the experts have been recorded in the software ExpertChoice. Figure 1 illustrates the sets of weights given by the panel of experts;

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• Aggregation of the parameters. The normalized parameters have been aggregated into partial indices that refer to the considered dimensions and subsequently, the obtained partial indices have been aggregated into the UVI.

Fig. 1. Set of weights defined by the panel of experts for evaluating the importance of the dimensions (a) and the relative indicators (b).

2.2

RClimDex and Climatic Data

As previously mentioned, the composite index of urban vulnerability explicitly considers the issue of climate change in the assessment of urban resilience. In particular, the climate variability concerns the mean values of the weather variables and their statistical distribution, especially the weather extremes. The analysis on climate change has been developed through the CCI/CLIVAR Expert Team for

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Climate Change Detection Monitoring and Indices (ETCCDI) extreme indices calculation for a coverage period 2005–2018. Daily data of temperature and precipitation for were obtained from the ARPA-Piedmont, considering the weather stations ‘Rivoli la Perosa’ for Rivoli and ‘Torino Giardini Reali’ for Turin. Data quality control and calculation of the selected climate extremes indices have been carried out using the RClimDex Software version 1.9 (http://etccdi.pacificclimate.org/software.shtml). The climate indices calculated (described in Table 1) belong to the categories of threshold indices represented by an annual count of days calculated in relation to a fix threshold value, which are defined as Frost and Summer Days for temperature and precipitation the Number of heavy and very heavy precipitation. The other two indices considered in this analysis, MinTmin and MinTmax, belong to the categories of absolute indices and represent the highest value registered during the month. This typology is particularly relevant because a variation of the index could show significant impacts on the society and environment. 2.3

Study Area: City of Rivoli

The Municipality of Rivoli is located in the Susa Valley in Piedmont (Italy). Rivoli is far from Turin 14 km, and in this sense, it may be considered a natural conglomerate of the metropolitan city. Settlements are mainly distributed along the main streets that provide access to the city of Turin. This high level of accessibility and infrastructures determine the essential role of the industrial area of Rivoli in influencing the nowadays economy of Turin. The orography of Rivoli consists of a flat part that develops mainly in the eastern sectors of the municipal boundaries, and a hilly area coincident with the western moraine extremity. The historical center, which is located along the hill, preserves the medieval testimonies, such as the Rivoli Castle that hosts an important museum of contemporary arts. Located in the bordering area of Turin, Rivoli presents the same meteorological condition characterized by general cool winters and warm summers. The intensification of weather extremes in Turin is also affecting the urban area of Rivoli during this last decade.

3 Application and Results The application of the MCDA for investigating the vulnerability effects on urban resilience of the Municipality of Rivoli with respect to the Municipality of Turin. The indices have been elaborated into a matrix and revealed the following results: • The Environmental dimension has recorded an index equal to 0,4328, showing a medium-low vulnerability, especially if compared with the Turin that reaches the unity, because of the low class of Biological and Territorial Capacity (BTC) and also the bad quality of the air and river water; • The Social dimension has obtained an index of high vulnerability, due to the unemployment rate, the low number of inhabitants with a high education degree,

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and a population density higher than Turin. It is interesting to notice that both Rivoli and Turin reach similar values (0,7757 and 0,8789, respectively); The Economy dimension has recorded a medium vulnerability index equals to 0,5393 and also, in this case, Turin records a similar value (0,6294), despite the differences in terms of tourism flow, economic mixite and so on; For the Infrastructure dimension, Rivoli reveals a vulnerability index (0,8815) that may be critical in the occurrence of extreme events (e.g. floods, fires), such as the low number of emergency points, the low redundancy of the streets, energy distributors, In this case, the Municipality of Turin records the lowest vulnerability (0,1000), thus proving its preparedness in infrastructure terms; The Governance dimension has recorded a high vulnerability (0,9278) because the lack of EU financings, Climate planning and also the obsolete Municipal Plan (more than 10 years), whereas Turin, reveals a very good Governance with values near to 0; For the Climate dimension, both the Municipalities recorded the same high vulnerability to the considered climate variables, for temperature and precipitation extremes (0,9990).

The partial indices have been aggregated into a synthetic Urban Vulnerability Index (UVI) (see Fig. 2), where Rivoli is the most critical Municipality (0,8403), and this means that Rivoli reveals a low urban resilience, whereas Turin has recorded a medium vulnerability index (0,5544), so labelling the ability to absorb and transform itself with respect to internal and external variables.

Urban Vulnerability Index 1.0000 0.8000 0.6000 0.4000 0.2000 0.0000 Rivoli Environment

Society

Turin Economy

Infrastructure

Governance

Climate

Fig. 2. UVI indices of Rivoli and Turin as an indirect measure of urban resilience.

4 Conclusion and Future Perspectives As mentioned in the previous section, this application expands a previous work in the context of urban resilience evaluation frameworks [16] by explicitly incorporating the climate dimension in the assessment model. Indeed, the present paper recalled both the set of indicators and the MCDA used in the previous case study, adding the

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meteorological aspects in urban resilience performance assessment. This improvement has been made to evaluate how the vulnerability related to climate instability can affect and change urban resilience performance. The application demonstrated both the suitability of the integration of MCDA and RClimDex and the ability of the MCDA to consider very different criteria and aspect in the evaluation. The major finding of this investigation is that this kind of analysis and evaluation is very important and suitable in the decision-making process related to urban transformation strategies in urban resilience enhancing field facing to climate change issues. Considering the potentialities of both the integration of the MCDA with RClimDex analysis and the suitability and the recent diffusion of the dynamic models to explore urban and territorial resilience [31], this model could be implemented with the LotkaVolterra and the System Dynamics Model to assess and investigate the urban resilience with the vulnerability also considering the evolution of time and the initial conditions [30]. The main contribution of this further implementation can be supported the decision making through simulation that can return and image of the possible future state of the urban system, within its vulnerability related to climate aspects.

References 1. Aerts, J.C.J.H., Wouter Botzen, W.J., Emanuel, K., Lin, N., de Moel, H., Michel-Kerjan, E. O.: Evaluating flood resilience strategies for coastal megacities. Science 344(6183), 473–475 (2014) 2. Elmqvist, T., Andersson, E., Frantzeskaki, N., McPhearson, T., Gaffney, O., Takeuchi, K., Folke, C.: Sustainability and resilience for transformation in the urban century. Nature Sustain. 2, 267–273 (2019) 3. Dickinson, E., Baker, J.L., Hoornweg, D., Asmita, T.: Urban Risk Assessments: An Approach for Understanding Disasters and Climate Risk in Cities. The World Bank (2012) 4. IPCC: Climate Change 2014: Synthesis Report. Contribution of Working Groups I, II and III to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change [Core Writing Team, R.K. Pachauri and L.A. Meyer (eds.)], Geneva, Switzerland, 151 (2014) 5. Gallina, V., Torresan, S., Critto, A., Sperotto, A., Glade, T., Marcomini, A.: A review of multi-risk methodologies for natural hazards: consequences and challenges for a climate change impact assessment. J. Environ. Manage. 168, 123–132 (2015) 6. Guan, D., Gao, W., Su, W., Li, H., Hokao, K.: Modelling and dynamic assessment of urban economy-resource-environment systems with a coupled system dynamics – geographic information system model. Ecol. Ind. 11(5), 1333–1344 (2011) 7. Folke, C.: Resilience: the emergence of a perspective for social-ecological systems analyses. Glob. Environ. Change 16, 253–267 (2006) 8. Brunetta, G., Salata, S.: Mapping urban resilience for spatial planning – a first attempt to measure the vulnerability of the system. Sustainability 11(8), 2331 (2019) 9. Bottero, M., Mondini, G.: Valutazioni e sostenibilità. Piani, programmi e progetti. Celid, Torino (2009) 10. Saaty, T.L.: How to make a decision: the analytic hierarchy process. Eur. J. Oper. Res. 48, 9–26 (1970)

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Tolerability and Acceptability of the Risk for Projects in the Civil Sector Gabriella Maselli1(&) 1

and Maria Macchiaroli2

Department of Civil Engineering, University of Salerno, Fisciano, SA, Italy [email protected] 2 Department of Industrial Engineering, University of Salerno, Fisciano, SA, Italy [email protected]

Abstract. Assessing the riskiness of the investments is one of the key steps in the decision-making process. However, the lack in the legislative landscape of criteria for the acceptability of investment risk makes it difficult to express judgments of economic convenience based on shared criteria and objective data. In an attempt to overcome this regulatory gap, the aim of the paper is twofold: 1. to define minimum levels of acceptance of investment risk; 2. to outline an approach for the estimation of these threshold values. With reference to the first objective, acceptability and tolerability thresholds of risk are borrowed from the As Low As Reasonably Practicable (ALARP) logic. In accordance with this principle, which is widely used in safety risk, a risk is defined as ALARP if it falls within the above thresholds or if the costs for its mitigation appear disproportionate to the benefits that can be achieved. With regard to the second objective, the theoretical reference is the Capital Asset Pricing Model (CAPM) which defines how to assess the minimum expected return on an investment project with a given risk profile. Thus, the combined use of the CAPM and statistical survey tools makes it possible to estimate specific risk limit values as a function both of investment sector and with respect to the territorial context in which the project is located. Finally, the described approach is validated through an application to the civil enterprise sector in Campania Region (Italy). Keywords: Investment risk
Cost-Benefit Analysis
As low as reasonably practicable principle
Tolerability threshold
Acceptability threshold

1 Introduction The ex ante assessment of the riskiness of civil investment is an essential part of decision-making [1–3]. In fact, when it is not possible to express with certainty predictions on the critical variables of the project, it becomes necessary to take into account the investment risk by evaluating the economic performance indicators in stochastic terms [4–6]. The contribution to this paper is the result of the joint work of both authors, to which the paper has to be attributed in equal parts. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 686–695, 2021. https://doi.org/10.1007/978-3-030-48279-4_64

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The European legislative landscape recognizes the centrality that risk analysis must have in the economic evaluation of projects. In this regard, Regulation no. 1303/2013 specifies that it is required in cases where the exposure to residual risk, i.e. that which remains despite the mitigation strategies undertaken, is still considerable [7]. Nevertheless, the risk analysis can also be done because of the size of the project or in relation to the availability of data needed for the analysis. However, the regulatory guidelines do not provide any indication of the levels of acceptability of the investment risk. In order to overcome this regulatory limit, the purpose of the paper is twofold: 1. To establish shared and objective criteria to assess the acceptability of the risk; 2. To outline a methodology for estimating acceptance limit values. As regards point 1, the novelty concerns the use of the As Low As Reasonably Practicable (ALARP) logic. In accordance with this principle, which is used whenever the risk of loss of human life has to be estimated, the risk assessment is related to two limit thresholds: that of acceptability and that of tolerability. In particular, a risk is defined as ALARP if it falls between these two thresholds, i.e. if the costs for risk mitigation appear to be disproportionate to the achievable benefits. A risk is intolerable if above the acceptability threshold, while it is broadly acceptable if below the acceptability threshold [8–11]. Once the risk acceptance criterion has been established, the crucial step is phase 2 that concerns the definition of a methodology for estimating the limit values of acceptability and tolerability of the design risk. The idea is to use the Capital Asset Pricing Model (CAPM) and statistical survey tools together, thus making it possible to assess risk thresholds based on both the investment sector and the territorial context in which the project is located. The paper is structured as follows. Section 2 describes the key steps of the risk analysis in the economic evaluation of the projects, as well as the main criticalities of techniques generally used in practice. In Sect. 3, we first clarify how the ALARP logic can be integrated into traditional analysis protocols and how it can provide the criteria useful for the acceptance of investment risk; then the methodology for the estimation of the risk thresholds is described. In the following section, the thresholds of acceptability and tolerability of investment risk for civil sector project initiatives in Campania Region (Italy) are estimated. The last section discusses the main research findings, as well as the relevant economic policy implications.

2 The Risk Analysis in the Economic Evaluation of Projects The inability to express cash flows (CFs) deterministically due to the uncertainty related to the sensitive variables of the investment leads the analyst to resort to risk analysis techniques [12]. Three are the key steps of the risk analysis, implemented using probabilistic approaches such as the Montecarlo simulation:

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1. Identification of the system’s sensitive variables, i.e. those that significantly influence the final value of the return on investment indicator. According to the Guide to the Cost-Benefit Analysis of the European Commission [13], the variables for which a variation of ±1% of the estimated value gives rise to a variation of more than ±1% of the Net Present Value (NPV) are defined as “critical”; 2. Stochastic description of the sensitive variables, which consists in identifying the probability distribution of the risky parameters of the analysis, identified in point (1); 3. Estimate of the probability distributions of profitability indicators. This step first concerns the definition of the mathematical equations that correlate the input variables (cash flows) and output variables (performance indicator), then the stochastic description of the profitability indicator. If we consider the Internal Rate of Return (IRR) as an indicator of economic performance, then: n X t¼0

Bt  Ct ¼0 ð1 þ IRRp Þt

ð1Þ

That is n X f ðBp1 ; . . .Bpn ; Bd1 ; . . .Bdn Þ  f ðCp1 ; . . .Cpn ; Cd1 ; . . .Cdn Þ t¼0

ð1 þ IRRp Þt

¼0

ð2Þ

Where: – Bt represents  the benefits at time t and it is function of both probabilistic Bp1 ; . . .Bpn and deterministic ðBd1 ; . . .Bdn Þ terms;   – Ct are the costs at time t, also described both in probabilistic Cp1 ; . . .Cpn and deterministic terms ðCd1 ; . . .Cdn Þ; – IRRp is the Internal Rate of Return that is expressed in terms of the cumulative probability curve. The main criticality of the approach described concerns the absence of objective criteria to establish whether the investment risk and the residual risk, i.e. the risk that remains despite the planned mitigation measures, are acceptable to the investor. The following section discusses how this criticality can be overcome by using the ALARP principle, from which the concepts of acceptability threshold and tolerability threshold of risk are derived.

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3 ALARP Risk Evaluation Criteria. The CAPM to Estimate Risk Thresholds for the Investment Within ALARP, the acceptability of risk is expressed in terms of “social risk”, intended as the frequency with which a certain number of people are subject to a given level of damage following a specific accidental event [14–18]. It should be pointed out that: (a) the acceptability threshold represents the limit value above which the risk is unacceptable and below which it is ALARP; (b) the tolerability threshold, on the other hand, separates the “broadly acceptable” region from the ALARP region. Risk mitigation measures should be considered if the risk falls within the region of unacceptability or the ALARP area. In the latter case, it must be demonstrated that further intervention strategies would have costs disproportionate to the benefits that can be obtained [19–23]. The social risk and the limits of acceptability and tolerability are usually represented in terms of F-N curves, which show in order the expected frequency F that a given accidental event affects more than N dead and in abscissa the number of N fatalities. The F-N graphs and risk acceptance criteria were subsequently used also in different sectors, such as land use planning in the immediate vicinity of industries or dams, landslide risk management and risk assessment of death in gallery [24–28]. However, if so far it has been generally applied to assess the security risk associated with safeguarding human life, the ALARP criterion can be considered “a general thinking way” [29]. For this reason, it can also find original application in the assessment of the riskiness of investments in the civil sector, where a triangular balance must always be made between risk, mitigation costs and achievable benefits [5, 11, 30, 31]. In this case, the crucial step is to estimate acceptability and tolerability thresholds or to define the region where the investment risk for the economic operator is reasonably practicable as ALARP. The investment risk is defined as the probability that the expected value of the economic performance indicator has to be lower than a minimum acceptability threshold. The critical operation is to establish the minimum acceptable return for the investor, which depends on parameters such as the type of project, the risk appetite of the backer, and the specific socio-economic conditions of the area in which the intervention takes place. The objective of this research is to estimate threshold values of investment risk for projects in the civil sector, not yet suggested by any regulatory direction. The theoretical reference is the Capital Asset Pricing Model (CAPM). Indeed, this model makes it possible to estimate the risk-adjusted discount rate r(b), which can be interpreted as the minimum expected return on an investment project with a risk profile b [32–34]. The value of the rate r(b) is expressed by the following formula: rðbÞ ¼ rf þ b
ðrm  rf Þ

ð3Þ

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In which: – rf = risk free rate of return; – b = coefficient which gives a measure of the systematic or non-diversifiable risk of an undertaking; – rm = market rate of return; – rm − rf = market risk premium. With reference to (3), the decisive step is the estimation of the parameter b, which measures the expected percentage change in the excess return of an investment for a 1% change in the excess return of the market portfolio. In other words, beta measures how much the risks affecting the global market are amplified by a given project initiative. It follows that for b < 0, the investment is risky but its level of risk moves “against the general trend”; if b  0 the observed investment is not risky; if 0 < b < 1, the initiative in question is risky but less than the market, and its level of risk moves “in the same direction” as the latter; if b > 1, the risk level of the project still moves “in the same direction” as the market but is higher than the average one. Analytically, b is expressed by the following report: b¼

covðri ; rm Þ var rm

ð4Þ

In which the numerator is given by the covariance between the return on the generic investment ri and the market return rm, while the denominator coincides with the variance of the market return rm. Graphically, b corresponds instead to the inclination of the straight line that best interpolates in a Cartesian diagram x-y the excess returns of the investment compared to the excess returns of the market: ri ¼ a þ b
rm þ e

ð5Þ

With a = (1 − b)
rf and e statistical error measuring the reliability of the estimate made [35–39]. Now, having defined the risk-adjusted discount rate as the minimum return expected from an investment project with risk profile b, the question becomes: how to borrow the two thresholds of acceptability and tolerability of the investment risk for civil projects in a given territorial context? It is here that the combined use of the ALARP principle, statistical survey methods and the Capital Asset Pricing Model makes it possible to estimate these risk thresholds. In particular, we define: – acceptability threshold Ta = r (ba), the minimum expected return of an investment project whose risk profile represents on average that of the sector companies with “worst” returns, i.e. those statistically represented in the first quartile. So, rðba Þ ¼ Ta ¼ rf þ ba
ðrm  rf Þ

ð6Þ

In (6) rf is the risk free rate of return and it is estimated as the average yield on 10year government bonds. ba represents the systematic “acceptable” risk which is a

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function of the return rIq of first quartile companies in a given territory and the return rm of an ideal “market portfolio” represented by the total number of manufacturing companies in a country. In other words, ba corresponds to the slope of the straight line that best interpolates the average excess returns YIQ of first quartile companies with the average excess returns X of the market. In formula, X ¼ rm  rf

ð7Þ

YIQ ¼ rIQ rf

ð8Þ

where rIQ is equal to the average Return of Investment (ROI) of lower quartile companies; – tolerability threshold Tt = r(bt), the minimum expected return on an investment project with a risk profile that is statistically represented in the second quartile. So, rðbt Þ ¼ Tt ¼ rf þ bt
ðrm  rf Þ

ð9Þ

With bt “tolerable” systematic risk, function of the rIIq return of second quartile (or median) companies and market return rm. bt corresponds to the slope of the straight line that best interpolates the average excess returns YIIQ of second quartile companies compared to the average excess returns X of the market. In formula, YIIQ ¼ rIIQ  rf

ð10Þ

rIIQ is equivalent to the average ROI of companies in the second quartile. In the following section, these thresholds of acceptability and tolerability of investment risk are estimated for the “civil engineering” sector with reference to the territorial context of the Campania Region (Italy).

4 Estimate of Risk Thresholds for Investments in the Civil Sector in Campania Region (Italy) Preliminary operation to estimate the thresholds of acceptability and tolerability of investment risk in Campania Region is the definition of the data panel. For the estimation of the terms of (6) and (9) are analysed: • the profitability indexes on invested capital (ROI) of 98 companies operating in Campania Region in the “civil engineering” sector (code ATECO 42) in the decade 2009–2018 (source: Analisi Informatizzata delle Aziende Italiane –AIDA database); • the profitability indexes on invested capital (ROI) of 2095 main Italian companies representing 51% of manufacturing companies’ turnover in the decade 2009–2018 (source: Study Office MEDIOBANCA); • average interest rates on ten-year Treasury bonds (BTPs) over the period 2009– 2018 (source: Ministry of Economy and Finance, Treasury Department).

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Once the dataset is defined, we first estimate the risk-free rate rf, the market rate of return rm and the risk premium X – parameters common to (6) and (9) – then the risk coefficients ba and bt. The risk free rate rf coincides with the rate of return on ten-year Treasury bonds (BTPs) in the 2009–2018 and it is equal to 3.44%. The market rate of return rm is approximated to the average ROI of the main 2095 Italian manufacturing companies in the decade 2009–2018. The analysis shows that rm = 7.76%. Table 1 summarize the results of the processing. Table 1. Estimate of rm, rf and X (sources: Ministry of Economy and Finance, Treasury Department; MEDIOBANCA Studies Office). Year 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 Mean rf (%) 4.32 4.01 5.25 5.65 4.38 3.00 1.70 1.40 2.14 2.54 3.44 rm (%) 8.10 6.70 8.30 7.30 7.40 7.20 8.40 8.10 7.90 8.20 7.76 X (%) 4.32

Next step is the evaluation of ba and bt parameters. It should be specified that rIQ and rIIQ are estimated as the average ROI of ATECO 42 “civil engineering” companies in Campania Region (Italy) belonging to the first and second quartiles respectively. Table 2 gives the values of ba and bt equal to 1.79 and 1.24 respectively.

Table 2. Estimation of ba and bt YIQ (%)

YIIQ (%)

X (%)

4.32

0.77

4.16

3.78

4.01

-1.76

2.84

2.69

8.30

5.25

-2.99

1.61

3.05

5.69

7.30

5.65

-3.99

0.04

1.65

2.01

5.15

7.40

4.38

-2.37

0.77

3.02

2014

4.75

6.13

7.20

3.00

1.75

3.13

4.20

2015

4.31

7.33

8.40

1.70

2.61

5.63

6.70

2016

6.55

7.54

8.10

1.40

5.15

6.14

6.70

2017

6.32

8.71

7.90

2.14

4.18

6.57

5.76

2018

7.72

8.85

8.20

2.54

5.18

6.31

5.66

mean

4.29

7.16

7.76

3.44

0.85

3.72

4.32

COV(X,YIQ)

0.000568705

VAR X

0.000317697

βa

1.79

COV(X,YIIQ)

0.000394387

VAR X

0.000317697

βt

1.24

Year

rIQ (%)

rIIQ (%)

rm (%)

rf (%)

2009

5.09

8.48

8.10

2010

2.25

6.85

6.70

2011

2.26

6.86

2012

1.66

2013

Tolerability and Acceptability of the Risk for Projects

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Finally, by implementing the (6) and (9) you get the final values of Ta and Tt: Ta ¼ rf þ ba  ðrm  rf Þ ¼ 3:44% þ 1:79
ð7:76%  3:44%Þ ¼ 11:17% Tt ¼ rf þ bt  ðrm  rf Þ ¼ 3:44% þ 1:24
ð7:66%  3:44%Þ ¼ 8:80%: The analysis of the results shows that an investment project in the civil sector in Campania has a risk “not tolerable” if its expected return is less than 8.80%; ALARP if its expected return is between 8.80% and 11.2%; “widely acceptable” if its expected return is greater than 11.2%.

5 Conclusions This research aims to define thresholds of acceptability and tolerability of investment risk that can guide the analyst in the financial assessments of civil projects. The idea is to characterize an innovative approach that makes use of the As Low As Reasonably Practicable (ALARP) logic and Capital Asset Pricing Model (CAPM). The ALARP criterion, generally used to assess the risk of loss of human life in industry, is applicable whenever it is necessary to measure the increase/decrease in costs and benefits arising from the planning of risk mitigation strategies. This is why ALARP can be applied to make a judgment on the acceptability and tolerability of investment risk in the civil sector. The Capital Asset Pricing Model (CAPM), on the other hand, represents the theoretical reference for estimating the limit values of risk acceptance. In particular, the acceptability threshold Ta coincides with the minimum expected return on an investment project with a risk profile of the “worst” sector companies in the territory, i.e. those belonging to the lower quartile. The tolerability threshold Tt, on the other hand, is assessed as the minimum expected return on an investment project with a second quartile company risk profile. The statistical analysis of the profitability indices of 98 civil enterprises operating in Campania Region returns limit values of tolerability Tt and acceptability Ta of investment risk respectively equal to 8.80% and 11.2%. It is clear that the comparison between the expected return on an investment project and the risk limit values provides the evaluator a more immediate and consistent assessment of the triangular balance of risks, costs and benefits, making more transparent and rational the decision-making process.

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22. Health and Safety Executive: Reducing risks, protecting people. Her Majesty’s Stationery Office. London, UK (2001) 23. Health and Safety Executive: Principles and Guidelines to Assist HSE in Its Judgements That Dutyholders have Reduced Risk as Low as Reasonably Practicable (2014). http://www. hse.gov.uk/risk/theory/alarp1.htm. Accessed 20 Dec 2019 24. De Blaeij, A.: The value of statistical life in road safety: a meta-analysis. Accid. Anal. Prev. 35(6), 973–986 (2003). https://doi.org/10.1016/S0001-4575(02)00105-7 25. Leroi, E., Bonnard, Ch., Fell, R., McInnes, R.: Risk assessment and management. In: Hungr, O., Fell, R., Couture, R. (eds.) Landslide Risk Management, Proceedings of the International Conference on Landslide Risk Management, Vancouver, Canada (2005) 26. Maciotta, R., Lefsrud, L.: Framework for developing risk to life evaluation criteria associated with landslides in Canada. Geoenviron. Disasters, 5–10 (2018). https://doi.org/10. 1186/s40677-018-0103-7 27. Vanem, E.: Principles for setting risk acceptance criteria for safety critical activities. In: Bérenguer, G., Soares, G. (eds.) Advances in Safety, Reliability and Risk Management, pp. 1741–1751 (2012) 28. Scarlett, L., Linkov, I., Kousky, C.: Risk management practices: cross-agency comparisons with minerals management service. Resources for the Future, 56 (2011) 29. Redmill, F.: ALARP Explored. Computing Science, University of Newcastle upon Tyne. Newcastle upon Tyne, UK (2010) 30. Bencardino, M., Nesticò, A.: Urban sprawl, labor incomes and real estate values. In: Gervasi, O., Murgante, B., Misra, S., Borruso, G., Torre, C., Rocha, A.M., Taniar, D., Apduhan, B. O., Stankova, E., Cuzzocrea, A. (eds.) ICCSA 2017. LNCS, vol. 10405, pp. 17–30. Springer, Cham (2017). https://doi.org/10.1007/978-3-319-62395-5_2 31. Benintendi, R., De Mare, G., Nesticó, A.: Upgrade the ALARP model as a holistic approach to project risk and decision management: a case study. Hydrocarb. Process. 97(7), 77–82 (2018). ISSN 0018-8190 32. Gollier, C.: Pricing the Planet’s Future: The Economics of Discounting in an Uncertain World. Princeton University Press, New Jersey (2011) 33. Nesticò, A., Maselli, G.: Declining discount rate estimate in the long-term economic evaluation of environmental projects. J. Environ. Account. Manag. 8(1), 93–110 (2020). https://doi.org/10.5890/JEAM.2020.03.007 34. Nesticò, A., Maselli, G.: A protocol for the estimate of the social rate of time preference: the case studies of Italy and the USA. J. Econ. Stud. (2020). https://doi.org/10.1108/JES-022019-0081 35. Sharpe, W.F.: Capital asset prices: a theory of market equilibrium under conditions of risk. J. Finance 19, 425–442 (1964). https://doi.org/10.1111/j.1540-6261.1964.tb02865.x 36. Rosenberg, B., Guy, J.: Beta and investment fundamentals. Financial Anal. J. 32, 60–72 (1976). https://doi.org/10.2469/faj.v32.n3.60 37. Black, F.: Beta and return. J. Portf. Manag. 20, 8–18 (1993). https://doi.org/10.3905/jpm. 1993.409462 38. Fama, E.F., French, K.R.: Common risk factors in the returns on stocks and bonds. J. Financ. Econ. 33(1), 3–59 (1993). https://doi.org/10.1016/0304-405X(93)90023-5 39. Lahtinen, K.D., Lawrey, C.M., Hunsader, K.J.: Beta dispersion and portfolio returns. J. Asset Manag. 19, 156–161 (2018). https://doi.org/10.1057/s41260-017-0071-6

Hedonic Price of the Built-Up Area Appraisal in the Market Comparison Approach Francesca Salvo(&), Daniela Tavano, and Manuela De Ruggiero Department of Environmental Engineering, University of Calabria, Via Pietro Bucci, Cubo 46b, 87036 Rende, Italy [email protected], [email protected], [email protected]

Abstract. It is known that the buildings show a concrete dependence between their economic value and the area where they are located. The impact of the area on the formation of the value of the properties takes place through a series of factors which play a fundamental role on the degree of attractiveness of the properties themselves. With reference to an economically indivisible property, consisting of the built-up area and the building, the building component can generally be traced back to an industrial process and be considered free from the influence of the specific location; otherwise the part subject to the positional advantage is certainly the built-up area. The retractable advantage from a favorable position is only an effect of the urban rent characterizing the soils. The essay, through an excursus on the various theories related to rent, offers a review of the characteristics involved in defining the value of building land. The importance of the topic dealt with is connected to the fact that the study of the location impact on the value of the soils could make up for the endemic difficulty of the evaluation process connected to the lack of information typical of a rarefied and fragmented market such as the urban soil market. In fact, this contribution aims to propose an operational methodology to evaluate the marginal price of the built-up areas in the Market Comparison Approach (MCA) through the use of an index capable to express the incidence of the specific area on the property value. The idea was born from the observation that in consolidated urban fabrics, i.e. saturated fabrics in which there is no residual building potential, it is not easy to evaluate the value of the built-up areas. This is due to the shortage conditions of the building soils in these specific fabrics, since the value of the built-up areas must pass through the value of the building areas, as well as the opacity and fragmentation of the land market. Keywords: Built-up area Hedonic prices


Urban income
Market Comparison Approach


1 Introduction Cities are privileged places to host human activities and, in particular, “dense”, as regards functions, services, population and infrastructures [1], located - or locatable - in a certain area. It is clear that this density of functions - and of urban values - [2, 3] tends to decrease as we move from the center towards the peripheral neighborhoods of the © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 696–704, 2021. https://doi.org/10.1007/978-3-030-48279-4_65

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city [4]. The solid presence of infrastructures and public services translates into an increase in well-being and an increase in the benefits enjoyed by citizens. It significantly influences the demand in the real estate market; in fact, in an area where there is a high density of functions and services there is a larger demand for the properties placed there. In such a scenario, it is clear that the value of the real estate cannot be detached from the area where the real estate is located. The impact of the area on the formation of the value of the properties therefore occurs through a series of factors which determine the degree of commercial attractiveness of the properties themselves. It is therefore clear that when the aforementioned extrinsic characteristics of the property vary, the market responds in a different way. Assuming to build a prestigious building with luxury decorations in a peripheral and degraded neighborhood and to put it up for sale at a price even equal to the construction cost, in all probability no buyer would be willing to face a similar expense to live in that area. If, on the contrary, we built the same building in a central district of the city, the appreciation from the demand would increase considerably. While the construction cost and the level of depreciation can be assumed to be constant, the value of the central property is greater than the value of the property in the suburbs [5]. From this extreme example, it is evident the inseparability of each property from the context in which it is located, regardless of the intrinsic characteristics that the property has. This phenomenon is only an effect of the position income. The preferences expressed by potential users of a property establish their willingness to pay for an asset and may depend on: greater or lesser proximity to the center (accessibility), presence of historical factors, presence of aesthetic or panoramic factors, presence weather factors, personal emotional reasons, presence of infrastructures and services in the area (equipment), etc. It is clear that with reference to an economically indivisible property, consisting of the built-up area and the building, the building component can generally be traced back to an industrial process [6] and be considered removed from the influence of the specific location; otherwise the part subject to the positional advantage is certainly the built-up area. On the basis of what has been seen, this contribution intends to propose an operating method suitable to evaluate the marginal price of the built-up areas in the Market Comparison Approach (MCA). The use of this method is envisaged in specific contexts represented by saturated urban fabrics and relates to the use of an index that expresses the impact of the built-up area on the real estate value. In concrete terms, the aim is to adapt the canonical form of the marginal price for built-up areas, proposing a form that involves the use of the average price of building areas expressed by the market. The idea was born from the observation that in consolidated urban fabrics, i.e. saturated fabrics in which there is no residual building potential, it is not possible to derive the prices of building areas, because of the lack of the offer. This is due to the shortage of building soils in these specific fabrics and the opacity and fragmentation of the land market; these aspects avoid to detect the average price of the building areas. Known that the land market is characterized by a price formation mechanism having atypicalities attributable to the characteristics inherent in soils, we want, through the methodology proposed in this article, to exploit the incidence of these characteristics to solve the evaluation complexity of the built-up areas in specific urban contexts.

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2 Literature Review The soil value has always been considered linked to the income that can be perceived with the property and to the incorporated investments [7]. With reference to the market of the building areas, the income consists of the difference between the market price of a potentially building land and its production cost, intended as the cost of urbanization and the entrepreneur’s profit. The value that is attributed to the land resource therefore constitutes the urban property income and this income contributes to the diversification of real estate values within urban areas, emphasizing the advantage that can be retracted from a favorable position. The creation of the actual position income is attributed to the development of a city: “since the value depends on the income, the income on the position, the position on the convenience and the convenience on the proximity, we obtain by eliminating the intermediate steps, that the value of the land depends on proximity” [5]. The values of urban soils are composed in synthesis of values of situations, namely the monetary value of the differential advantages of position, shortage and endowment of public services [5]. The issue of land income has been widely discussed in the models of Ricardo and Von Thünen. In modern economics, according to the theory of Ricardo (1772–1823), the income is that part of the land product that is paid to the owner for the use of the original and indestructible powers of the soil. Ricardo’s model assumes that the intrinsic characteristics of the soil, in particular fertility, determine a more or less high income. According to this model, the income decreases for less fertile soils until it completely cancels out for the sterile ones. While for Ricardo the amount of the land income depends essentially on the fertility of the land, for Von Thünen it depends on its location relative to the market (in other words, on its position). It is thus the distance (and therefore the cost of transporting the goods produced) that clearly differentiates Von Thünen’s theory of income from Ricardo’s one. One of the strengths of Von Thünen’s location model certainly lies in the ability to identify the reason for the different soil income in the distance or accessibility to the center (expressed in transport costs). It is clear that the models of Ricardo and Von Thünen, developed in the first half of the 1800, refer to an agricultural economy. Wanting to adapt the contents of these models to the market segment of building lands, the characteristic that influences the income is not the fertility but the building capacity attributed to a specific area by urban planning tools. By virtue of this, a building plot with a higher building capacity would translate to a higher income. Marx’s theory identifies a dual nature of land income: a differential nature, which arises at the micro-territorial level from the difference in the quality of the different lands and an absolute nature that manifests itself at the macro-territorial level attributable to the particular position that the soil assumes in the urban aggregate. The two components of the income, although deriving from different concepts, are always present in the formation of the soil value and are inextricably linked [6]. In the specific case of building areas, the absolute component of urban income lies in the fact that a land is in a specific urban context or in the fact that some building potential has been attributed to it by urban planning tools. The differential component, on the other hand,

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establishes that a building plot is better than another one on the basis of its best characteristics: intrinsic ones (panoramic view, sunshine, brightness, etc.), accessibility to services and tertiary activities (position income), infrastructure allocation (protection income), etc. [8]. Urban lands present a great variety in quality, given by the different combinations of the aforementioned characteristics. These combinations help to make each land different from all the others, maybe unique; consequently, as regards the urban lands, the differential rent is much higher than the absolute rent. From the observation of the income theories treated here, it follows that a correct valuation of the market value of an urban land cannot refrain from taking into account the multiple characteristics that connote it and that contribute to create its inhomogeneity. Urban plans, through the indication of the intended land use, undoubtedly affect the formation of the value of urban areas and its variation over time. The “construction cost” remains - cèteris pàribus - practically unchanged with respect to the place where it will be built [9]. The realization of urbanization works, their quantity and quality, also affect the value of urban areas and contribute to increase the attractiveness of each area. Literature review shows many applications for land hedonic prices appraisal through the Hedonic Valuation Model which has been widely used to evaluate the economic values of various landscape, territorial and environmental amenities. These include wetlands and lakes [10], parks and recreation areas [11, 12], alternative land use [13–15], air and noise pollution [16], and scenic views [17]. Important urban economic theories [18–20] and a large body of literature prove that relative location and access externalities are associated with the economic value of various land-uses [19, 21–24]. Basic accessibility concepts and methods have been commonly at the core of previous researches on land-value modelling, particularly in urban areas [25, 26]. The trade-off neoclassic theory [18, 19] constitutes a fundamental basis for land-value and house-price literature [22, 27]. Accessibility is then mainly addressed as proximity to a core business district (CBD) and other location externalities. This kind of approach, based on the application of multiple regression models, requires availability of a consistent number of data, which is difficult to find in atypical markets or in saturated or static markets [28]. In order to avoid this situation, literature suggests also the use of the MCA [29, 30]. Even if a limited amount of data is available, the value of the areas can be reconstructed by applying the estimation criteria. The reference is mainly that of the transformation value so that the value of the built-up areas is reconstructed starting from the value of the building after deducting the demolition costs [5]. Even this approach, however, requires awareness of the building area value that is not always known in the conditions described so far. Starting from this consideration, this paper intends to propose an approach based on the complementary value to determine the marginal price of the built-up areas. This approach is explained in the next paragraph.

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3 Methodology The methodology presented in this work has the purpose of proposing an alternative valuation of the marginal price of the external surface, functional to the MCA, to be applied in the situations in which we operate in urban areas where there is no offer of building areas and the related market. In the MCA, the marginal price of the external surface represents the variation in the total price of the property as the surface changes. This surface concerns the total area of the lot on which the building is located, that is, the built-up area [5]. The marginal price of the external surface, in its classic formula, is evaluated as the transformation value of the built-up area into a building, i.e. subtracting the cost of demolition of the existing building from the value of the building area [5]. This price can be evaluated from the average price of building areas. Let pe be the average price of the building areas, Ee be the building index referring to the comparison soils, E0 be the building index of the property to be evaluated, r be the position ratio and cd be the average unit cost of demolition, the price marginal of the external surface psue is equal to: psue

  E0 ¼ pe
 c d
r Ee

ð1Þ

Although recognizing the theoretical validity of the transformation principle on which the formulation of the aforementioned marginal price is concerned, in some specific situations, this formulation is inapplicable. In fact, in consolidated urban fabrics, i.e. saturated fabrics in which there is no residual building potential, it is not possible to have the prices of building land, lacking, in fact, the offer of these areas. Considering the considerable difficulty in finding a sufficient quantity of prices and real estate values referring to building land, such as to cover all possible situations in terms of location, we need an operating method which is able to make up for the typical lack of information of some urban areas. It is necessary to clarify that the market value of the areas is a function of multiple variables, both technical and relative to the territorial location (for example: location, accessibility, urban destination, level of infrastructure, etc.) [8], discriminating the degree of attractiveness of an urban area for residential use. In light of this assertion, the market value of built-up areas is therefore a function of the intrinsic and extrinsic characteristics possessed by the goods. The present research, starting from the knowledge of an index capable to express the incidence of the specific area on the property value, proposes an alternative formula for the valuation of the marginal prices of the built-up areas to be used in the cases in which it operates in urban fabrics saturated in which it is not possible to actually have prices referable to building areas. Considering the general report according to which the market value of a property is equal to the sum between the value of the built-up area and the value of the building [31]:

Hedonic Price of the Built-Up Area Appraisal

Vproperty ¼ Vbuiltup area þ Vbuilding

701

ð2Þ

It is possible to express the incidence of the built-up area on the value of a property defining an index i which represents the relationship of complementarity between the area and the complex property. This index can be calculated as the ratio between the value of the built-up area and the value of the property: i¼

Vbuiltup area Vproperty

ð3Þ

The index i can assume, obviously, values between 0 and 1 and expresses the influence that the technical and positional characteristics of the area have on the value of a property. It represents the appreciation degree that the market attributes to the good according to its position characteristics, and of the technical characteristics that connote the good (surface, manufacturability index, etc.). Given that the value of the built-up area is equal to the difference between the market value of the property and the market value of the building, the (3) can be reformulated in the following way: i¼1

Vbuilding Vproperty

ð4Þ

The market value of the building is equal to the reconstruction cost C less the depreciation D, from which: i¼1

CD Vproperty

ð5Þ

From the inverse formula, the market value of the property is obtained in the following way: Vproperty ¼

CD 1i

ð6Þ

Substituting it in (2) and isolating the value of the built-up area we obtain: Vbuiltup area ¼

i
ðC  D Þ 1i

ð7Þ

From an operational point of view, in order to measure the incidence of the built-up area, it is necessary to record the prices of the built-up areas and the prices of the buildings. So, indicating with i the incidence of the built-up area, with pl the average unit price of the built-up area with pb the average unit price of the building and with pp the average unit price of the property, (3) and (4) can be reformulated as follows:

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i¼

pl pb ¼1 pp pp

ð8Þ

The average unit price of the building pb can be set equal to the average unit cost of reconstruction cr less the depreciation d, from which: i¼1

cr  d pp

ð9Þ

Known the index i and assuming that the marginal price of the external surface is only the part of the total price relating to the built-up area, from (7) we arrive at the formulation of the marginal price of the external surface psue as follows: psue ¼

i
ð cr  d Þ 1i

ð10Þ

On a methodological level, this formulation of the marginal price of the external surface passes through the direct use of the complementarity relationship between the value of the built-up area and the total value of the property.

4 Conclusions In this article, we have examined the different theories concerning land income and urban income. What has emerged is that precisely this income contributes to the diversification of real estate values within urban areas. It has emerged that a correct valuation of the market value of an urban land must take into account all the characteristics that contribute to its diversification. The market value of an urban area, therefore, depends substantially on the urban destination, on the location or on the extrinsic and intrinsic characteristics that distinguish it. Being able to quantify the impact of these characteristics on the market value of an urban area, could solve a “hot” problem connected to the appraisal practice. Since the prices of the building areas cannot be found within the saturated fabrics, the transformation value to valuation of the built-up areas cannot be applied. This has led to an alternative formulation to the valuation of built-up areas which is based on the complementary value and which exploits the cost of reconstruction of the building. In the future, it would be interesting to implement a GIS model, based on maps representing spatial distribution of the properties’ characteristics and the values of the properties, and to use it to simulate space distribution of changes in property value induced by changes in characteristics. The possibility of mapping the real estate characteristics and values would allow verification of their coherence and widens the possibility of application.

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References 1. Alonso, W.: A theory of the urban land market. Papers and Proceedings of the Regional Science Association, vol. 6, pp. 149–157 (1960) 2. Knos, D.S.: Distribution and land values in Topeka, Kansas. Bureau of Business and Economic Research, Lawrence (1962) 3. Haggett, P.: Geography: A Global Synthesis. Pearson Education, Harlow (2000) 4. Battaglia, F., Borruso, G., Porceddu, A.: Sistemi Informativi Territoriali e analisi spaziale per l’analisi dei valori immobiliari. Un caso applicato alla città di Swindon (UK). Territorio Italia (2012) 5. Simonotti, M.: Metodi di stima immobiliare. Dario Flaccovio Editore, Palermo (2006) 6. Micelli, E.: Introduzione alla rendita fondiaria e alla genesi del valore immobiliare. In: Stanghellini, S. (a cura di). Valutare per la trasformazione urbana. Satura, Venezia (1997) 7. Rosato, P.: Il valore dei suoli edificabili in Italia. Territorio Italia (2014) 8. Bisulli, M.: Processi di pianificazione, conformazione della proprietà, valutazione: un modello per la stima ai fini fiscali delle aree edificabili. Tesi di dottorato. Università degli Studi di Padova (2014) 9. D’Agostino, A.: La disciplina dell’estimo territoriale e la valutazione delle aree edificabili tra urbanistica, mercato, economia, finanza (2014) 10. Doss, C.R., Taff, S.J.: The influence of wetland type and wetland proximity on residential property values. J. Agr. Resour. Econ. 21(1), 120–129 (1996) 11. Vaughn, R.J.: The value of urban open space. Res. Urban Econ. 1, 103–130 (1981) 12. Palmquist, R.B.: Valuing localized externalities. J. Urban Econ. 31(1), 59–68 (1992) 13. Judd, D.G.: The effects of zoning on single family residential property values: Charlotte, North Carolina. Land Econ. 56(2), 142–154 (1980) 14. Speyrer, J.F.: The effect of land-use restrictions on market values of single-family homes in Houston. J. Real Estate Econ. Finance 2(2), 117–130 (1989) 15. Geoghegan, J., Wainger, L.A., Bockstael, N.E.: Spatial landscape indices hedonic framework: an ecological economics analysis using GIS. Ecol. Econ. 23, 251–264 (1997) 16. Li, M., Brown, J.: Micro-neighborhood externalities and hedonic housing prices. Land Econ. 56(2), 125–141 (1980) 17. Benson, E.D., Hansen, J.L., Schwartz, A.L., Smersh, G.T.: Pricing residential amenities: the value of a view. J. Real Estate Econ. Finance 16(1), 55–73 (1998) 18. Alonso, W.: Location and Land Use: Towards a General Theory of Land Rent. Harvard University Press, Cambridge (1964) 19. Evans, A.W.: Urban Economics: An Introduction. Blackwell, Oxford (1987) 20. Muth, R.F.: Cities and Housing, the Spatial Pattern of Urban Residential Land Use. University of Chicago Press, Chicago (1969) 21. Dale-Johnson, D., Brzeski, W.J.: Land value functions and land price indexes in Cracow, 1993–1999. J. Hous. Econ. 10, 307–334 (2001) 22. Kivell, P.: Land and the City: Patterns and Processes of Urban Change. Routledge, London (1993) 23. Liu, Y., Zheng, B., Turkstra, J., Huang, L.: A hedonic model comparison for residential land value analysis. Int. J. Appl. Earth Obs. Geoinf. 12, S181–S193 (2010) 24. Peiser, R.B.: The determinants of nonresidential urban land values. J. Urban Econ. 22, 340– 360 (1987) 25. Iacono, M., Levinson, D.: Accessibility dynamics and location premia: do land values follow accessibility changes? Urban Stud. 54, 364–381 (2015)

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26. Saeid, A.: Space Syntax as a tool to assess land value. In: Sietchiping, R. (ed.) Innovative Land and Property Taxation. UN-HABITAT, Nairoby (2011) 27. Ahlfeldt, G.M., Wendland, N.: Fifty years of urban accessibility: the impact of the urban railway network on the land gradient in Berlin 1890–1936. Reg. Sci. Urban Econ. 41, 77–88 (2011) 28. Ciuna, M., De Ruggiero, M., Manganelli, B., Salvo, F., Simonotti, M.: Automated valuation methods in atypical real estate markets using the mono-parametric approach. In: Computational Science and Its Applications – ICCSA (2017) 29. IVSC: International valuation standard. IVSC, London (2005) 30. Simonotti, M., Salvo, F., Ciuna, M., De Ruggiero, M.: Measurements of rationality for a scientific approach to the market-oriented methods. J. Real Estate Lit. 24(2), 403–427 (2016) 31. Simonotti, M.: Valutazione immobiliare standard. Nuovi metodi. STIMATRIX (2019)

An Economic Model for Selecting Urban-Scale Projects Antonio Nesticò(&)

and Cristina Elia

Department of Civil Engineering, University of Salerno, Fisciano, SA, Italy [email protected]

Abstract. The evaluation of alternative scenarios of urban and territorial transformation is complex decision problem, the resolution of which requires the simultaneous consideration of issues not only technical, but also social, cultural and environmental, based on a pluralistic and systemic vision of the problem. The Multi-Criteria Analysis (MCA) techniques offer an effective help in this direction, which provide a rational methodology of choice capable of taking into account multiple objectives to be pursued. The aim of the paper is to define a multi-criteria evaluation model useful for selecting the best compromise combination of projects that must make up an integrated urban regeneration program. The novelty of the research consists in combining the Analytical Network Process (ANP) with the Zero-One Goal Programming (ZOGP), where the ANP allows to express the interdependence relations between the criteria, as well as between criteria and projects, while the ZOGP allows to consider requirements and constraints of the reference system. The actual application of the model may have repercussions on the processes of allocating public resources, thus constituting an economic policy tool. Keywords: Urban growth model
Territorial planning
Economic evaluation
Multi-criteria model

1 The Selection of Projects for Urban Investment Programs: A Complex Decision-Making Process Spatial planning aims at addressing and controlling the transformations of the territory. Consequently, after having examined the relationships and the network of interdependencies, the planning is aimed at all the activities capable of directly or indirectly causing changes to the territory, to guide its evolution towards the pre-established objectives. Territorial planning has recently seen the expansion of its reference domain, having to contemplate and reconcile an ever greater variety of interests in its choices. Faced with the social, economic and cultural changes underway, the Public Administration is called upon to modify and reorganize urban centers on the basis of

The contribution to this paper is the result of the joint work of both authors, to which the paper has to be attributed in equal parts. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 705–715, 2021. https://doi.org/10.1007/978-3-030-48279-4_66

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new principles and new development logics. In this regard, urban regeneration is now a very recurrent theme in the public debate [1–4]. Urban regeneration interventions are aimed at the pre-existing building heritage [5– 7], limiting soil consumption and safeguarding the landscape and the environment [8], with a view to sustainability and participation [9]. In this context, the assessment takes on a complex connotation, as it involves multiple interests, characterized by a multidimensional nature. The multitude of dimensions that characterize the system of objectives obliges us not to limit the field of investigation exclusively to one dimension, for example the economic one, but also to take into account all those interests that are not monetized or monetizable, otherwise excluded from the analysis [10–14]. The definition of an urban regeneration program involves the selection of the group of projects that best pursues the aims sought. The selection is configured as a multicriterion decision problem, because it involves multiple subjects, carriers of multiple interests [15, 16]. These interests represent the objectives of the decision-making process itself. The criteria, on the other hand, constitute the operational translation of the objectives, that is a way to estimate the ability to pursue the objectives so as to compare the alternatives with each other. The elements of the decision-making process are strongly interrelated, on an urban scale. In particular, the criteria are not only dependent on each other, but are also influenced by the characteristics of the projects in question [17–20]. Selection is also a multi-criteria decision problem of multi-objective type, as it is to be framed within a system with a large number of variables, the solution of which is to be found among continuous and non-enumerable alternatives. The objectives are manifold and in general also conflicting with each other, in the sense that the achievement of one objective may involve the simultaneous departure from another. Therefore, the evaluation is expressed in relative terms, finding the “best compromise” solution among infinite alternatives, while respecting the constraints placed by the operator.

2 An Integrated Approach for Solving the Decision Problem An approach to the selection problem presented must: 1. To consider the relationships of interdependence between the elements of the system; 2. To pursue optimization objectives in the presence of constraints. The two aspects are addressed using respectively the Analytical Network Process (ANP) and the Zero-One Goal Programming (ZOGP), whose theoretical foundations are summarized below [21–24]. 2.1

ANP for Interdependence Relations Between the Elements of the System

The Analytic Network Process is characterized as a generalized development of the simpler Analytic Hierarchy Process. In fact, the ANP is configured as a particularly useful tool to face a complex decision problem, difficult to represent through a

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hierarchical scheme precisely because of the relationships between elements [25]. In order to model a problem, both with the AHP and with the ANP, it is necessary to resort to a representation of the decision-making system (see Fig. 1).

AHP

ANP (for urban problems)

Goal

Goal w1

Criteria (C)

Alternatives (A1, A2, A3...)

economic cluster environmental cluster social cluster cultural cluster

W3 Criteria (C)

Alternatives (A1, A2, A3...) W4

Fig. 1. AHP hierarchical structure and ANP interdependence network

The AHP uses a linear hierarchy, which develops from top to bottom. It starts from a goal, continues with the criteria and ends with the alternatives. In this way, the AHP expresses a multi-criterion problem through a hierarchy of elements, with the absence of relations between the elements of the same level and with unidirectional dependency relations between the upper and the immediately lower level. However, the decisionmaking problem of selecting projects for an urban regeneration program is characterized by interdependence relationships between elements. It happens, for example, if the public operator has to choose between different projects based on three criteria: initial cost, environmental improvement and increase in employment. However, the ANP allows us to consider the interdependence between the criteria. In particular, if greater environmental improvement or greater employment growth could be obtained at a higher initial cost, the ANP would take this into account. In

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addition, in the ANP schemes, the criteria may be influenced by the characteristics of the projects under analysis: if all projects have a high level of environmental sustainability, the importance of environmental improvement as a criterion would be reduced [26, 27]. Therefore, it is clear that, in urban regeneration, it can happen that not only the importance of criteria determines the importance of alternatives, as in a hierarchy, but also the importance of alternatives determines that of criteria, as in a network. Definitely, the application of the AHP can cause excessive simplification, which is not the case with the ANP. The latter technique, in fact, uses a network, also characterized by relations of bidirectional dependence between levels and interdependence between elements of the same level. The output of the PA is made up of the weights of the projects, which constitute discrete and finite alternatives. The algorithm for calculating the ANP model is carried out in seven steps, as in Table 1 [21, 22].

Table 1. ANP: calculation algorithm Step Description 1 Assuming criteria independence, determination of the weight vector w1; the sum of weights must be equal to 1 2 Assuming projects independence, determination of the weight vectors w2 C1, w2 C2, w2 C3, …, w2 Cn of projects against criteria (c) 3 Assuming interdependence relationships between criteria (c), definition of weight vectors w3,C1; w3,C2; w3,C3; …, w3,Cn of criterion interdipendence 4 Assuming interdependence relationships between projects with reference to each criterion (c), definition of the weight matrices W4 C1, W4 C2, W4 C3, …, W4 Cn of interdependence between projects 5 The priority vector wc of interdependencies of the criteria (c) is determined according to the formula: wc = W3  w1 6 Determination of the WP = (wP C1, wP C2, wP C3, …, wP Cn) priority matrix of the projects (p), with wP C = W4 C  w2 C 7 The measurement of the aggregate priorities wANP of the projects through the formula: wANP = WP  wc

Result w1 w2,C1; w2,C2; w2,C3; …, w2,Cn w3,C1; w3,C2; w3,C3; …, w3,Cn W4 C1, W4 … W4 Cn

wc WP wANP

C2,

W4

C3,

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709

Using ZOGP for Optimization in Presence of Constraints

Goal Programming (GP) is able to represent in formal terms the behavior of the decision maker who intends to seek the solution of the best compromise between several conflicting objectives. In particular, the best compromise solution is obtained by minimizing the differences between the admissible solutions of the model and a reference state. The deviations are variables of deviation (deviations) from the established objectives. The sum of these deviations must be minimized [28, 29]. From a formal point of view, with respect to the objectives, the decision maker identifies the reference targets, or the goals yi* (i = 1, 2, …, m). The set of solutions is described by constraints in implicit form, of the type gj(x)  0 (j = 1, 2, …, n). These constraints identify the eligible vectors (x). For each eligible solution, the value can be calculated with respect to each goal, yi = fi(x). Thus, the GP introduces the deviations of each objective function fi(x) with respect to the target (yi*), such that: fi ð xÞ þ di  diþ ¼ yi

ð1Þ

where d−i and d+i express respectively the negative part and the positive part of the deviation (see Fig. 2).

di+ di-

target (yi*)

Fig. 2. Variables d−i and d+i of deviation from goal

In particular: di  0; diþ  0

ð2Þ

di ¼ yi   yi se yi \ yi ; otherwise 0; diþ ¼ yi  yi  se yi [ yi ; otherwise 0 ð3Þ Therefore: diþ
di ¼ 0: The decision maker can choose to assign a weight (wi) to the deviations. The deviations, referred to the objective functions and appropriately weighed by the decision maker, are then minimized.

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It should be noted that according to the GP model, the decision maker can associate priorities (Pk) to each objective function. In this way, the deviations referring to the objective function with higher priority are minimized first and then, in descending order, all the others, without ever changing the value assumed by the previous ones. This means that deviations with a higher priority assume values equal to or close to zero, those with a lower priority can assume values even much higher than zero. Therefore, the model allows us to reflect reality well: in decision-making problems having many objectives, the best compromise solution is the one, in which the main objectives are fully achieved, the secondary ones to a lesser extent. In conclusion, the best compromise solution is obtained from the general formulation [30, 31]: min Z ¼

Xmm i¼1

Pk wi ðyi  fi ð xÞÞ

ð4Þ

Pk wi ðdi  diþ Þ

ð5Þ

That is: min Z ¼

Xm i¼1

It subjects to gj ð xÞ  0ðj ¼ 1; 2; . . .; nÞ; fi ð xÞ þ di  diþ ¼ yi  ; diþ
di ¼ 0; diþ  0; di  0 ð6Þ Goal Programming is therefore used to find the best compromise solution for a decision problem characterized by a large number of variables subject to many constraints. The Zero-One Goal Programming (ZOGP), on the other hand, is specifically suited to solve a problem of selection of investment projects, while presenting the same characteristics of complexity. In fact, in the ZOGP the variables (x) that represent the projects are binary and can take on a value of 0 or 1: 0, if the project is not to be selected; 1, if the project is to be selected.

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The general formulation of the ZOGP takes the form in Table 2. Table 2. ZOGP: calculation algorithm

Min Z = Pk (wj di+, wj di-)

(7)

Binding functions

aij xj + di- - di+ ≤ bi xj + di- = 1

(i = 1, 2, ..., m), (j = 1, 2, ..., n)

(i = m+1, m+2, ..., m+n), (j = 1, 2, ..., n)

(8)

The relationship below is imposed

xj = 0 or 1

∀j

(9)

Z is the function to be minimized. It is a function that adds up the objective functions having the deviations (d) from the goals as variables. These objective functions, for (6) and (7), are carried out by means of only the deviations (d), the sum of which must be minimized. The deviations (d) are among the unknowns of the problem; Pk are the k priorities (P1> P2> ...> Pk) to be assigned to the objective functions having the deviations (d) from the goals as variables. The priorities are equal in number to the objectives considered in the model. The priorities rank the objectives in descending order of importance. In a solver software, the priorities are given only and exclusively by ordering the binding functions, i.e. the goals (i) to which the sum function (Z) is subject. The order given to the binding functions allows to minimize first the deviations (d) referred to the target with higher priority, and then, in descending order, all the others, without ever changing the value assumed by the previous ones; k is the index that represents the number of priorities; wj is the weight attributed to the j-th alternative, or the project, deriving from the ANP method j is the index that expresses the alternative, that is the project; n is the number of projects alternatives; di+ and di- are the deviation variables, or deviations, positive and negative, from the i-th goal; i is the index that represents the binding function to which the sum function (Z) is subject to; m is the number of binding functions to which the sum function (Z) is subject to. It Includes functions that have d and x as variables; xj is the binary variable, which can take the value zero or one for the j-th project. The variables (x) are among the unknowns of the problem; aij is the parameter to be considered for the i-th binding function and for the j-th project; bi is the reference target, i.e. the available resource or the limiting factor for the i-th binding function.

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Fuzzy Delphi Method (FDM) ANP network construction and clarification of the interdependencies

Definition of the evaluation criteria of projects

Analytic Network Process (ANP)

Projects combination which gives the best compromise solution

Weight estimation of each project

Zero-One Goal Programming (ZOGP) Fig. 3. Logical scheme of the integrated model ANP-ZOGP

3 ANP-ZOGP Model 3.1

Methodological Scheme

The work proposes a multi-criterion assessment model capable of selecting the best compromise combination of the projects that make up an integrated urban regeneration program. The methodological scheme is in Fig. 3. 3.2

Calculation Algorithms

According to the sequence in Fig. 3, the Fuzzy Delphi Method (FDM) makes explicit the interdependence relationships between the criteria for the evaluation of the projects. Thus, based on these interdependence relationships, the ANP determines the project weights, according to the calculation algorithm in Table 1. The project weights are then implemented in the ZOGP. The ZOGP algorithm is the centerpiece of the model, as it is able to schematize the entire decision-making process. In fact, the results of the ANP, the project parameters and the operator’s constraints flow into it. For the selection of urban regeneration projects, (7), (8), and (9) take the form in Fig. 4: first priority is the simultaneous fulfillment of all the specific fixed objectives; second priority is the selection of alternatives with the highest ANP weights; third priority is the fulfillment of specific flexible objectives. The specific fixed targets and

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Min di+/- + wANP, j di- + di- + di+

General objectives:

Level of Priority higher

Satisfying all fixed specific goals simultaneously

Selecting the alternatives with higher ANP

Satisfying flexible specific goals

aij xj + di- – di+ = bi

xj + di- = 1

aij xj + di- – di+ = bi

P1

P2

P3

lower

Binding functions: In order to satisfy fixed specific goals

In order to select the alternatives

xj = 0 or 1

In order to satisfy flexible specific

j

Each project is a binary variable

Fig. 4. ANP-ZOGP integrated model: calculation algorithm

the specific flexible targets are respectively “stringent” and “non-stringent” for the public operator.

4 Results and Conclusions The result of the research is the characterization of a model specifically aimed at selecting projects for an integrated urban regeneration program. The decision problem is multi-criterial of type multi-objective. Thus, the selection of projects must consider the relationships of interdependence between the elements of the urban system and must pursue optimization objectives based on the constraints imposed by the Public Administration. The model has as its novelty the integration of the logical structure of the ANP with that of the ZOGP: the ANP considers criteria of economic, environmental and social sustainability, as well as their relationships; the ZOGP pursues the aims of the public operator, of various nature and with different levels of priority, translating them into mathematical relationships that reflect the peculiarities of the case.

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References 1. Dipace, R.: La rigenerazione urbana tra programmazione e pianificazione. In: Rivista giuridica dell’edilizia, vol. 5, pp. 237–260. Giuffrè Editore, Milano (2014) 2. Roberts, P., Sykes, H., Granger, R.: Urban Regeneration. SAGE Publications, London (2016) 3. De Mare, G., Nesticò, A., Tajani, F.: The rational quantification of social housing. In: Murgante, B., Gervasi, O., Misra, S., Nedjah, N., Rocha, A.M.A.C., Taniar, D., Apduhan, B. O. (eds.) ICCSA 2012. LNCS, vol. 7334, pp. 27–43. Springer, Heidelberg (2012). https:// doi.org/10.1007/978-3-642-31075-1_3 4. Della Spina, L.: A multi-level integrated approach to designing complex urban scenarios in support of strategic planning and urban regeneration. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) ISHT 2018. SIST, vol. 100, pp. 226–237. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-92099-3_27 5. Di Ruocco, G., Nesticò, A.: Archaeological site conservation and enhancement: an economic evaluation model for the selection of investment projects. Sustainability 10(11), 3907 (2018). https://doi.org/10.3390/su10113907 6. Tramontana, C., Calabrò, F., Cassalia, G., Rizzuto, M.C.: Economic sustainability in the management of archaeological sites: the case of Bova Marina (Reggio Calabria, Italy). In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) ISHT 2018. SIST, vol. 101, pp. 288–297. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-92102-0_31 7. Ribera, F., Nesticò, A., Cucco, P., Maselli, G.: A multicriteria approach to identify the highest and best use for historical buildings. J. Cult. Heritage. 41, 166–177 (2020). https:// doi.org/10.1016/j.culher.2019.06.004 8. Nesticò, A., Maselli, G.: Declining discount rate estimate in the long-term economic evaluation of environmental projects. J. Environ. Account. Manage. 8(1), 93–110 (2020). https://doi.org/10.5890/JEAM.2020.03.007 9. Troisi, R., Alfano, G.: Towns as safety organizational fields: an institutional framework in times of emergency. Sustainability 11(24), 7025 (2019). https://doi.org/10.3390/su11247025 10. Bottero, M., Mondini, G., Oppio, A.: Decision Support systems for evaluating urban regeneration. Procedia Soc. Behav. Sci. 223, 923–928 (2016) 11. Van den Hove, S.: Between consensus and compromise. Acknowledging the negotiation dimension in participatory approaches. Land Use Policy 23, 10–17 (2006) 12. Zheng, W., Shen, G.Q., Wang, H., Hong, J., Li, Z.: Decision support for sustainable urban renewal: a multi-scale model. Land Use Policy 69, 361–371 (2017) 13. Di Maio, A., Rostirolla, P.: Tecniche e supporti per la selezione dei progetti di investimento. Progetto Nuval. Formez, Ministero dell’Economia e delle Finanze - Dipartimento per le Politiche di Sviluppo e di Coesione, Roma (2003) 14. Esposito, E., Rostirolla, P.: Un approccio multicriterio alla valutazione di un piano con più decisori. Metodi di valutazione nella pianificazione urbana e territoriale. Teoria e casi studio. IRIS-CNR, Bari (1989) 15. Nesticò, A., Sica, F.: The sustainability of urban renewal projects: a model for economic multi-criteria analysis. J. Property Investment Finan. 35(4), 397–409 (2017). https://doi.org/ 10.1108/jpif-01-2017-0003 16. Nesticò, A., Morano, P., Sica, F.: A model to support the public administration decisions for the investments selection on historic buildings. J. Cult. Heritage. 33, 201–207. https://doi. org/10.1016/j.culher.2018.03.008 17. Morano, P., Tajani, F.: Estimative analysis of a segment of the bare ownership market of residential property. In: Murgante, B., Misra, S., Carlini, M., Torre, C.M., Nguyen, H.-Q.,

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Taniar, D., Apduhan, B.O., Gervasi, O. (eds.) ICCSA 2013. LNCS, vol. 7974, pp. 433–443. Springer, Heidelberg (2013). https://doi.org/10.1007/978-3-642-39649-6_31 Battisti, F., Campo, O: A methodology for determining the profitability index of real estate initiatives involving public-private partnerships. A case study: the integrated intervention programs in Rome. Sustainability 11(5), 1371 (2019). https://doi.org/10.3390/su11051371 Del Giudice, V., De Paola, P., Torrieri, F., Nijkamp, P.J., Shapira, A.: Real estate investment choices and decision support systems. Sustainability 11(11), 3110 (2019). https://doi.org/10. 3390/su11113110 Nesticò, A., Maselli, G.: Sustainability indicators for the economic evaluation of tourism investments on islands. J. Cleaner Prod. 248, 119217 (2020). https://doi.org/10.1016/j. jclepro.2019.119217 Wey, W.M., Wu, K.Y.: Using ANP priorities with goal programming in resource allocation in transportation. Math. Comput. Modell. 46, 985–1000 (2007) Wey, W.M., Huang, Y.C.: A study of priority evaluation and resource allocation for revitalization of cultural heritages in the urban development. Int. J. Soc. Behav. Educ. Econ. Bus. Ind. Eng. 7, 2708–2714 (2013) Gür, S., Hamurcu, M., Eren, T.: Using analytic network process and goal programming methods for project selection in the public institution. In: Les Cahiers MECAS, pp. 36–46 (2016) Lee, J.W., Kim, S.H.: Using analytic network process and goal programming for interdependent information system project selection. Comput. Oper. Res. 27, 367–382 (2000) Nesticò, A., Moffa, R.: Economic analysis and operational research tools for estimating productivity levels in off-site construction [Analisi economiche e strumenti di Ricerca Operativa per la stima dei livelli di produttività nell’edilizia off-site]. Valori e Valutazioni, no. 20, pp. 107–126. DEI Tipografia del Genio Civile, Roma (2018) Saaty, T.L.: The Analytic Hierarchy Process. McGraw-Hill, New York (1980) Saaty, T.L.: Decision Making with Dependence and Feedback: The Analytic Network Process. RWS Publications, Pittsburgh (1996) Jadidi, O., Cavalieri, S., Zolfaghari, S.: An improved multi-choice goal programming approach for supplier selection problems. Appl. Math. Modell. 39(14), 4213–4222 (2015) Romero, C.: Handbook of Critical Issues in Goal Programming. Pergamon Press, Oxford (1991) Rehman, H.U.: Goal programming. https://www.slideshare.net/hakeemrehman/goalprogramming-68158871. Accessed 2019 Tiwari, S., Kumar, A.: Comparison between goal programming and other linear programming methods. Int. J. Res. Appl. Sci. Eng. Technol. (IJRASET) 6, 926–929 (2018)

Irrigated Arable Land Values and Socio-economic Characteristics of the Territory Antonio Nesticò1(&) , Massimiliano Bencardino2 and Vincenzo Di Fraia1 1

2

,

Department of Civil Engineering, University of Salerno, Fisciano, SA, Italy [email protected] Department of Political and Communication Sciences, University of Salerno, Fisciano, Italy

Abstract. The making of land values is conditioned not only by the specific soil production capacities, but also by socio-demographic and economic parameters of the territory. The research aims to highlight the logical-dimensional relationships existing between the land values of a cultivated quality widely spread over a large area and the variables population density and average taxable income, representative of the socio-demographic and income conditions of the population. The elaborations are carried out through spatial correlation analysis, which also makes use of Geographic Information Systems (GIS). An application is developed with regard to the average land values of irrigated arable land in the Campania region (Italy). (*) The contribution to this paper is the result of the joint work of the three authors, to which the paper has to be attributed in equal parts. Keywords: Land values
Socio-demographic parameters analysis
Geographic information systems


Regression

1 Introduction and Aim of the Paper The market value of an agricultural land depends on several parameters, also of an extra-agricultural nature. These are macroeconomic, social and demographic variables that influence merchant appreciation even before specific parameters of individual soils, such as fertility and productivity characteristics [1–3]. The effects that economic and socio-demographic variables of the territory generate on the land values of the various crop destinations are not yet fully investigated in quantitative terms [4]. With reference to the most widespread crop destination in the Campania Region (Italy), this study examines the correlation levels existing between the average income capacity of taxpayers, population density and land values of irrigated arable land. Irrigated arable land are the permanently and periodically irrigated soils, with crops ranging from leaf crops (lettuce, spinach etc.) to open-field horticultural crops in the spring-summer cycle (tomatoes, asparagus etc.). The market value of an arable land, greater for irrigation than dry, depends on a series of parameters that can be attributable to geomorphological characteristics, accessibility, fertility and size of the plot. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 716–726, 2021. https://doi.org/10.1007/978-3-030-48279-4_67

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Compared to 13,212,652 ha of Used Agricultural Area (UAA) in Italy, the 5th ISTAT Census of 2000 highlights an area of arable land equal to 7,340,221 ha, just over 55% of the total UAA. Similarly, in 2010 (6th ISTAT Census) the total UAA was 12,856,048 ha, with 7,009,311 destined for arable crops, that is 54%. A significant percentage is also found in the Campania Region, with 549,532 ha of total UAA and 268,101 ha of arable land (about 48%), which explains the idea of conducting an analysis on a large area by referring to the regional territory. From a mercantile point of view, a reference is made to the economic trend of the land market in 2016, the year in which the information useful for conducting the processing is known. The Council for Agricultural Research and Agricultural Economy Analysis (CREA) highlights a slight decrease in the average prices of irrigated arable crops (−0.7%) in Campania, with substantial differences, however, among sub-regional areas. In fact, there is no homogeneous change in prices, which sees contrasted areas in which there are increases, +1.6% in the province of Salerno, and others that show a decline, −3.2% in the province of Benevento [5, 6].

2 Methods of Investigation For the year 2016 and with reference to the entire regional territory of Campania, i.e. for all its 550 municipalities, firstly we proceed to find and process data concerning: population, surface area, total income, average per capita income, income medium taxable, Used Agricultural Area (UAA), area intended for irrigated arable land, land values. These data are merged on an agrarian region scale. According to the ISTAT definition, the agricultural region is made up of: groups of municipalities according to homogeneous territorial continuity rules in relation to certain natural and agricultural characteristics and, subsequently, aggregated by altimetric zone. In relation to the number of incoming information, it is essential to adopt tools capable of managing, aggregating and examining the data on the one hand, and of geo-referencing and representing them graphically on the other. The solution is to use Geographic Information Systems (GIS). The GIS processing requires: 1. cartographic references in the form of georeferenced shape files; 2. basic dataset. As regards the basic cartographic references, starting from the ISTAT shape files, processing in the CAD environment allows you to build the map of the borders of the 47 agricultural regions in Campania (Fig. 1). The basic dataset, useful for GIS implementations, is made up of the following information: – Average land values of irrigated arable land, expressed in k€/ha. These values are provided by the CREA) for the entire Campania Region. The values are net of the added value generated by any improvements, i.e. they refer to bare soil. Furthermore, the values do not take into account the increase in income generated by possible extra-agricultural influences, the effect of which is particularly significant in the vicinity of urban centers; – Number of inhabitants of individual municipalities (by ISTAT). The inclusion of this information in the dataset occurs after aggregation on an agricultural region

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Fig. 1. Provincial division (a), municipal (b) and by agricultural regions (c) in Campania.

scale. If n is the number of municipalities belonging to the agrarian region and Pi is the population of the i-th municipality expressed in number of inhabitants, then the total population of the PRA agricultural region is: PRA ¼

Xn i¼1

Pi

ð1Þ

– Surfaces of agricultural regions (in sq. Km) taken by ISTAT data on a municipal basis. In the following formulas the subscripts resume the meaning of (1): SRA ¼

Xn i¼1

Si

ð2Þ

– Population density d (number of inhabitants per sq. Km) as the ratio between (1) and (2) is: d¼

PRA SRA

ð3Þ

– Taxable income by individual municipality (based on data by the Ministry of Economy and Finance, MEF). These values, representing the total income net of deductions, refer exclusively to the number of taxpayers (2). For the agricultural region, the RRA income is: RRA ¼

Xn i¼1

Ri

ð4Þ

Number of CRA taxpayers in the agricultural region is: CRA ¼

Xn i¼1

Ci

ð5Þ

Irrigated Arable Land Values and Socio-economic Characteristics

719

– Average taxable income of the RMRA agricultural region as a ratio between (4) and (5) is: RMRA ¼

RRA CRA

ð6Þ

Therefore, the analysis is conducted by importing both the basic cartography and the numeric dataset into the GIS environment. Join operations allow you to associate the single numeric information with the graphic data. The result is the formation of themed maps. Figure 2 shows the territorial distribution of land values for irrigated arable land.

Fig. 2. Map of land values for irrigated arable crops in the Campania Region.

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Figure 2 shows that the land values tend to decrease from the coastal agricultural regions to the central ones [7, 8]. A nucleus with higher values is recognized, consisting of: Sele Plan (region no. 47); Coastal Hills of Salerno (no. 43); Nocerino-Sarnese countryside (no. 46). This area appears to be the most fertile and productive in Campania. It should be noted that for some agricultural regions (no. 10, 21, 23, 24, 25 and 33, in white in Fig. 2) there is no data. These areas obviously were not considered in the study to avoid distortion of the statistical distribution. Important considerations also derive from the spatial distribution of the sociodemographic information. Figure 3 shows the maps on: population, population density and average taxable income.

Fig. 3. Distribution of: total population; population density; average taxable income.

First of all, the formation of two regional macro-areas is recognized: a northern macro-area, structured according to a core (rich and densely populated, directly served by the main road routes, coinciding roughly with the metropolitan area of the Coastal Hills of Naples, no. 15, and of the South-western Campania Plan, no. 18) and two progressively less populated and less wealthy rings [9, 10]; a southern macro-area, where the highest values of the variables investigated are recorded along two main lines, the coastal one (which includes Sele Plan and Coastal Hills of Cilento) and the innermost one that runs along the motorway infrastructure (Middle Sele and Hills of di Diano Valley). These two lines include an interstitial area of less populated and less wealthy agrarian regions [11, 12]. It should be noted that the macro-area South presents values on average lower than those of the macro-area North.

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3 Regression Analysis

4500 4000 3500 3000 2500 2000 1500 1000 500 0

y = 27.541x - 198.33 R² = 0.2119

0.0

20.0

40.0

60.0

Irrigate crops Land value

80.0

Average taxable income per tapayer

PopulaƟon density

The evaluation of the correlation between land values of irrigated arable land (dependent variable) and socio-demographic parameters (explanatory variables) is conducted by developing a regression analysis for the Campania Region. This analysis allows to build scatter plots and to measure the determination coefficients R2, with R correlation coefficient. R2 can take values between 0 and 1:0 when the model does not explain the data at all; 1 when the model explains them perfectly. In the case in question, the values of R2 are indicated in Fig. 4 with reference to the trend lines of the data populations.

20000 19000 18000 17000 16000 15000 14000 13000 12000 11000 10000

y = 47.081x + 13043 R² = 0.1345 0.0

20.0

40.0

60.0

80.0

Irrigate crops Land value

Fig. 4. Levels of correlation between land values and: population density (left); average taxable income (right).

The R2 values 0.2119 and 0.1345 explain the poor correlation among the variables on the scale of the entire Campania Region. This is due to dispersed distributions. These dispersed distributions find justification in the fact that the survey considers together macro-areas that are profoundly different from each other, both in economic and socio-demographic terms. It is also to be noted on the one hand the presence of outliers which can alter the statistical series and, on the other hand, the existence of submerged economies that affect the reliability of income tax income. This leads first to a reflection on the outliers, then to an investigation referring to regional sub-areas. For the population density, there is a clear presence of two outliers, or two data that deviate significantly from the set of available observations. These are the two points furthest from the trend line (graph on the left in Fig. 4) and related to the agricultural regions: 1. Coastal Hills of Naples; 2. Southwestern Campania plain (core of the metropolitan area). The distribution obtained net of outliers shows a significant improvement in R2, which goes from 0.2119 to 0.5186, as in Fig. 5.

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PopulaƟon density

2500 y = 23.875 · x - 278.57 R² = 0.5186

2000 1500 1000 500 0 0

10

20

30

40

50

60

70

80

Irrigate crops Land value

Fig. 5. Correlation between land values and population density net of outliers.

Moving on to a field survey, the in-depth analysis is conducted for the macro-area South, more homogeneous and therefore better able to demonstrate the existence of correlations among the parameters involved [13–16]. Figure 6 shows the spatial distribution of: land values, population density, average taxable income. It should be noted that the macro-area South can in turn be broken down into three areas: coastal line (in light blue color in Fig. 7); interstitial area (green); internal line (yellow). In these three areas, as regards the correlations between land value and population density, as well as between land value and average taxable income, the values of R2 are respectively equal to: 0.9619 and 0.9098; 0.7022 and 0.9888; 0.8974 and 0.7881 (Figs. 8, 9 and 10).

Fig. 6. Distribution of: land values (left); population density (in the center); average taxable income (right).

Irrigated Arable Land Values and Socio-economic Characteristics

a. Coastal sub-area (celestial)

b. Interstitial sub-area (green)

723

c. Internal sub-scope (yellow)

Fig. 7. Sub-areas of the South macro-area.

1000.00

20000.00

y = 23.403x - 344.09 R² = 0.9619

Average taxable income per tapayer

PopulaƟon density

1200.00

800.00 600.00 400.00 200.00 0.00 0.0

20.0

40.0

60.0

y = 131.73x + 10793 R² = 0.9098

19000.00 18000.00 17000.00 16000.00 15000.00 14000.00 13000.00 12000.00 11000.00 10000.00

80.0

0.0

Irrigate crops Land value

20.0

40.0

60.0

80.0

Irrigate crops Land value

Fig. 8. Correlation levels for the coastal line.

1800.00 1400.00

Average taxable income per tapayer

Population density

15000.00 y = 34.008x + 12233

y = 19.915x - 250.19 R² = 0.7022

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Fig. 10. Correlation levels for the internal line.

The high R2 values show that the study method implemented, based on the estimation of the correlations among parameters, allows to obtain the perimeter of homogeneous territorial portions in relation to the examined socio-economic characteristics [17–21]. The analysis also explains how land values can summarize in themselves the effects of the multiple variables that characterize a territory [21–27].

4 Conclusion The analysis of correlation between agricultural land values and socio-demographic parameters can return results that are difficult to interpret, with reference to very large territories, such as that of the entire Campania Region in Italy. This is attributable to a substantial lack of homogeneity of the study area, for social, cultural, demographic and economic reasons. Nevertheless, in the face of modest levels of correlation, the examination with Geographic Information Systems (GIS) of the spatial distribution of the reference values allows to delimit portions of territory in which to deepen the research. In these portions, the levels of determination R2 are high, as is the case for the macro-area of Southern Campania. These are R2 deduced by regression between land values and population density, as well as between land values and average taxable income. This shows, on the one hand, that the implemented study method permits to obtain the perimeter of homogeneous areas in relation to the socio-economic characteristics examined; on the other hand, land values are able to summarize in themselves the effects of the many variables that characterize a region.

References 1. Medici, G.: Principi di Estimo, 5th edn. Calderini, Bologna (1977) 2. Orefice, M.: Estimo, 1st edn. UTET, Torino (1984)

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3. Codice delle Valutazioni Immobiliari: Italian Property Valuation Standard. Tecnoborsa (2011) 4. Bencardino, M., Nesticò, A.: Demographic changes and real estate values. A quantitative model for analyzing the urban-rural linkages. Sustainability 9(4), 536 (2017). https://doi.org/ 10.3390/su9040536 5. CREA: L’agricoltura della Campania in cifre (2018) 6. INEA: Il mercato fondiario in Italia (1998) 7. Bencardino, M., Nesticò, A.: Spatial correlation analysis among land values, income levels and population density. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives. ISHT 2018. Smart Innovation, Systems and Technologies, vol. 100, pp. 572–581. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-92099-3_64 8. Bencardino, M., Nesticò, A.: Urban sprawl, labor incomes and real estate values. In: Gervasi, O., et al. (eds.) ICCSA 2017, Part II, LNCS 10405, pp. 17–30. Springer, Cham (2017). https://doi.org/10.1007/978-3-319-62395-5_2 9. Sinclair, R.: Von Thünen and Urban Sprawl. In: Annals of the Association of American Geographers, vol. 57, pp. 72–87. Taylor & Francis (1967) 10. Jones, A.P., McGuire, W.J., Witte, A.D.: A reexamination of some aspects of Von Thünen’s model of spatial location. J. Region. Sci. 18(1), 1–15 (1978) 11. De Matteis, G., Lanza, C., Nano, F., Vanolo, A.: Geografia dell’economia mondiale, 4th edn. UTET, Novara (2010) 12. Conti, S., De Matteis, G., Lanza, C., Nano, F.: Geografia dell’economia mondiale, 2nd edn. UTET, Torino (1993) 13. Gregor, H.F.: Geografia de la Agricoltura. Vieens Vives, Barcelona (1970) 14. Bencardino, M.: Dinamiche demografiche e consumo di suolo negli ambienti insediativi della Regione Campania, 1st edn. Libreriauniversitaria.it Edizioni, Limena PD (2017) 15. Bencardino, M.: An estimate of land take in municipal planning of the Campania Region. In: Gervasi, O., et al. (eds.) ICCSA 2017, LNCS 9158, pp. 73–88. Springer, Cham (2017). https://doi.org/10.1007/978-3-319-62404-4_6 16. Nesticò, A., Maselli, G.: Sustainability indicators for the economic evaluation of tourism investments on islands. J. Cleaner Prod. 248, 119217 (2020). https://doi.org/10.1016/j. jclepro.2019.119217 17. D’Alpaos, C., Marella, G.: Urban planning and option values. Appl. Math. Sci. 8(157–160), 7845–7864 (2014). https://doi.org/10.12988/ams.2014.49744 18. Saaty, T.L., De Paola, P.: Rethinking design and urban planning for the cities of the future. Buildings 7, 76 (2017) 19. Della Spina, L.: A multi-level integrated approach to designing complex urban scenarios in support of strategic planning and urban regeneration. In: Smart Innovation, Systems and Technologies, vol. 100, pp. 226–237. Springer, Cham (2019). https://doi.org/10.1007/978-3319-92099-3_27 20. Nesticò, A., Maselli, G.: Intergenerational discounting in the economic evaluation of projects. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives. ISHT 2018. Smart Innovation, Systems and Technologies 101, 260–268. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-92102-0_28 21. Troisi, R., Alfano, G.: Towns as safety organizational fields: an institutional framework in times of emergency. Sustainability 11(24), 7025 (2019). https://doi.org/10.3390/su11247025 22. Morano, P., Tajani, F.: Estimative analysis of a segment of the bare ownership market of residential property. In: Murgante B. et al. (eds.) ICCSA 2013: 13th International Conference, vol. 7974, pp. 433–443. Springer, Heidelberg (2013). https://doi.org/10.1007/ 978-3-642-39649-6_31

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23. Benintendi, R., De Mare, G., Nesticó, A.: Upgrade the ALARP model as a holistic approach to project risk and decision management: a case study. Hydrocarbon Process. 97(7), 77–82 (2018) 24. Nesticò, A., He, S., De Mare, G., Benintendi, R., Maselli, G.: The ALARP principle in the cost-benefit analysis for the acceptability of investment risk. Sustainability 10(12), 4668 (2018). https://doi.org/10.3390/su10124668 25. Nesticò, A., Moffa, R.: Economic analysis and operational research tools for estimating productivity levels in off-site construction [Analisi economiche e strumenti di Ricerca Operativa per la stima dei livelli di produttività nell’edilizia off-site]. Valori e Valutazioni, vol. 20, pp. 107–126. DEI Tipografia del Genio Civile, Roma (2018) 26. Battisti, F., Campo, O: A methodology for determining the profitability index of real estate initiatives involving public-private partnerships. a case study: the integrated intervention programs in Rome. Sustainability 11(5), 1371 (2019). https://doi.org/10.3390/su11051371 27. Calabrò, F., Tramontana, C., Cassalia, G., Rizzuto, M.C.: Economic Sustainability in the Management of Archaeological Sites: The Case of Bova Marina (Reggio Calabria, Italy). In: Calabrò, F., Della Spina L., Bevilacqua C. (eds.) New Metropolitan Perspectives, ISHT 2018. Smart Innovation, Systems and Technologies, vol. 101, pp. 288–297. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-92102-0_31

The UNESCO Creative Cities Network: A Case Study of City Branding Constanze Gathen1, Wilhelm Skoglund2(&), and Daniel Laven2 1

Universität der Bundeswehr München, 85579 Neubiberg, Germany 2 Mid Sweden University, 83125 Östersund, Sweden [email protected]

Abstract. The importance of the cultural and creative industries (CCI) continues to grow as a result of increasing competitive pressure for cities to attract visitors, skilled labour and investors. Thus, cities must position themselves as creative places, and much of the development of the CCI sector takes place through city networks. Such networks can also support the ways cities position and brand themselves vis-à-vis the cultural and creative sector. An important CCI sector is gastronomy, which has become a key element of urban development plans. This study offers an exploratory perspective on the role of gastronomic city networks in city branding. More specifically, it is a case study of the UNESCO Creative City Network (UCCN) and the member cities of its gastronomy sub category. Sources of data within this case study are qualitative interviews of UCCN member cities, complemented by a document analysis and a webpage review. Insights from the empirical data point out several branding benefits associated with joining the UCCN. The exchange of knowledge, best practices and experiences emerge as the key benefits of UCCN membership. From a branding perspective, national and international recognition, attracting more visitors, investors and creative businesses are stressed. Opportunities for a more distinct brand identity, increased media, and citizen pride are some of the other favorable branding outcomes of UCCN membership. Drawbacks of the network include frustration with the levels of administration and bureaucracy, leading to a deficit in actual creative networking in regards to branding development opportunities. Keywords: Cultural and creative industries


Gastronomy
City branding

1 Introduction During the last decade, an increasing number of cities have labeled themselves as ‘creative’ [1–5]. The concept of the ‘creative city’ was developed in the mid-90s and is a form of urban revitalization or regeneration centered around culture and creativity [1, 6, 7], and is also a common strategy for attracting new investments, developing tourism, and growing new markets [8]. The creative city designation is thought to bring potential benefits such as business development and job creation, and is often associated with the enhancement of a city’s image and branding [9]. Emerging from Great Britain and the United States, the creative city concept has since spread globally [7]. The concept has its roots in the experience economy [10] © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 727–737, 2021. https://doi.org/10.1007/978-3-030-48279-4_68

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along with the creative economy [5, 11, 12]. The core of this discourse is the search for products that stretch beyond low cost, standardization, or plain function. Instead, it is a search for experiential additions, cultural aspects and symbolic value in consumption and lifestyle. Many scholars in the field have highlighted the potential of the sector for promoting local or regional economic growth by attracting new businesses and new labor [e.g. 3, 13–17]. This supports the notion that cities are using culture and creativity to add new value to their ‘outputs’ and to distinguish themselves through their creativity label and branding strategies. Cities use a variety of strategies to become ‘creative cities’, including membership in networks of creative cities. Such networks exist at national as well as international levels and include the UNESCO Creative City Network (UCCN). Joining a creative city network may have various objectives including the exchange of experiences and expertise [18] as well as branding the city through the association with prestigious designations like UNESCO [4]. This study explores how cities use the field of gastronomy associated with creative city networks in order to develop their creative capacities. Specifically, we explore how cities use their membership in creative networks for branding purposes. Previous studies on the role of branding in creative city networks in the gastronomy sector have largely focused on the opportunities associated with using various designations such as the UNESCO Creative Cities Network [e.g. 19, 20]. This paper extends previous research by providing an in-depth case study of the real world experiences by members of the UNESCO Creative Cities Network in the subcategory of gastronomy (UCCNgastronomy). Unlike previous research on this topic, this study utilizes data from multiple cities and offers a model of the branding process along with a critical, comparative discussion in how cities use their UCCN membership for branding purposes.

2 Literature Review Research on branding has typically focused on goods and services, however entities such as countries, regions and cities are now also studied from a branding perspective [19–25]. From a branding perspective, cities are increasingly competing with each other in order to attract investors, tourists, new residents and skilled labor [19, 26]. Riza, Doratli and Fasli [24] also claim that competition between cities has grown as a result of globalization and rapid technological changes. Through their branding efforts, cities seek to create positive and unique images [22, 24, 25, 27, 28], attract economic growth and tourism [29], and to distinguish themselves from other places [25]. However, a city can only create a brand identity when the brand image is defined by what consumers think about the brand, i.e. the city [30]. It is therefore crucial for the city to build a clear brand identity that brings forth the desired associations in the minds of consumers. A city’s brand features will influence this identity. Functional features are aspects like the weather, architecture, culture or language whereas intangible features are the associations that visitors or inhabitants have such as friendly, open or fun [20]. Zenker and Braun [26] pick up on the aspect of associations and define a place brand as a “network of associations in the consumer’s mind based on the visual, verbal, and

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behavioral expression of a place, which is embodied through the aims, communication, values, and the general culture of the place’s stakeholders and the overall place design” (p. 5). According to Camagni [8], cities, like companies, constantly compete and attempt to attract investors and visitors, and to extend the external markets for the output they offer. However, cities are also complementary since they exchange specialized products with each other and are not autonomous [5]. Camagni and Capello [31] therefore conclude that cities “behave like collective actors” (p. 502) and interact with each other in new forms that they call city networks. They define city networks as “systems of relationships and flows, of a mainly horizontal and non-hierarchical nature among complementary or similar centers, providing externalities or economies, respectively, of specialization/complementarity/spatial division of labor and of synergy/cooperation/ innovation” (pp. 512–513). They identify three different types of city networks. Complementarity networks consist of specialized centers that provide each other with complementary assets. In synergy networks, similar centers cooperate in order to attain economies of scale. Innovation networks are more project-oriented and focus on the successful implementation of innovations. Camagni and Capello [31] further stress that the main reason for network behavior is ‘network surplus’, which is achieved through economies of scale and synergy effects. In the following sections of this paper, these types of benefits will be referred to as ‘sharing’. In order for network surplus to occur, cities need to show commitment in participation in network meetings along with openness for organizational change and the adoption of innovation. In general, the benefits of sharing grow with increasing degrees of connectivity and higher levels of participation in the network [31]. Namyślak [18] applies the concept of city networks to the creative industries and states that they are mostly formed by cities with a similar creative profile. Networking in the creative industries has the primary purpose of exchanging experiences and knowhow so that the participating cities can improve their own local policies [18]. From observations made on the UNESCO Creative Cities Network (UCCN), which is currently the best-known creative city network, Rosi [4] concludes that apart from the sharing of knowledge and expertise, networks are also used for purposes of branding cities. This is especially true in the case of UNESCO, which carries a high degree of international prestige, thereby improving a member city’s image and, ultimately, its competitive advantage. Pearson and Pearson [20] examine such branding further from a gastronomy sector perspective. Benefits resulting from membership in the network and the concomitant use of the UNESCO name and logo vary from a higher inflow of tourists and investments to a stronger sense of satisfaction and pride among city residents and businesses. Rosi [4] also highlights that membership may help cities to rise in creative city rankings, which indicates higher levels of attractiveness. However, it is important to note that receiving the designation is not enough. Instead, the city has to actively promote and raise awareness of the brand among residents, potential tourists and businesses [20]. Hankinson [22] observes that this process is carried out more efficiently by a single organization, which in most cases is the city government. In an evaluation report of the UCCN, Landry [32] raises a number of so called “faultlines”, including benefits from the designation as a “badge of honour”, to opportunities from sharing experiences and knowledge with representatives

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from other UCCN cities. Landrys report [32] also elevates some more problematic dimensions of the UCCN. These include the rapid growth of the network, lots of administrative duties, and a bureaucracy designed to deal with nation states, all of which result in a deficit in actual creative networking.

3 Empirical Data: The UCCN Case Study 3.1

Introduction to the Case

Although international networks of creative cities are not very common, they do exist. The most prominent is the UNESCO Creative Cities Network (UCCN) [3, 18] which was established in 2004 and currently comprises 246 member cities [33]. The UCCN provides a platform to encourage the use of creativity as a key element in a city’s social and economic development [18]. To join the network, cities must agree to strengthen the role of cultural activities, make cultural life accessible to everyone, and create opportunities for directly linking creativity, innovation and sustainable development [4, 34]. Pearson and Pearson [20] also note that another important goal of the UCCN is to present a city’s cultural assets on a global level and to establish partnerships with like-minded cities. Finally, it is important to stress that UNESCO also recognizes that culture and creativity can be key drivers for making “cities and human settlements inclusive, safe, resilient and sustainable” which is included in the 2030 Agenda for Sustainable Development [35]. UCCN member cities are designated within one of seven different creative fields (or subcategories): crafts and folk arts, design, film, gastronomy, literature, media arts, and music, [34]. This paper focuses on the gastronomy sub-category. According to UNESCO, creative cities of gastronomy shall exhibit a characteristic urban center that is served by chefs and restaurants that use local ingredients and traditional cooking methods. Creative cities of gastronomy shall also host traditional food markets and gastronomy festivals, while also using their designations to encourage sustainable food practices. Finally, creative cities of gastronomy should also promote good nutrition practices [20]. 3.2

Study Design

This paper utilizes a case study approach to understand creative cities in their realworld context. In this sense, the study is both descriptive as well as explanatory [36]. The ‘typical case sampling’ strategy was used to select the specific UCCN cities (or cases) that were included in the study. Typical case sampling is a form of purposeful sampling where a chosen case “exemplifies a broader category of which it is a member” [37, p. 62]. In this approach, cases are not selected randomly. Instead, cases are selected based on their relevance to the research questions [37–40]. Qualitative, semi-structured interviews were our primary source of data collection [37]. In addition, a document analysis was conducted which included the application materials that member cities submitted to join the UCCN along with the official

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webpages of UCCN member cities. However, some cities refused to make their documents available due to concerns over data protection. This study was conducted between 2016 and 2018 at which time there were 18 cities in the UCCN-gastronomy subcategory. These cities are Belém (Brazil), Bergen (Norway), Burgos (Spain), Chengdu (China), Dénia (Spain), Ensenada (Mexico), Florianópolis (Brazil), Gaziantep (Turkey), Jeonju (South Korea), Parma (Italy), Phuket (Thailand), Popayán (Colombia), Rasht (Iran), Shunde (China), Tsuruoka (Japan), Tucson (USA), Zahlé (Lebanon), and Östersund (Sweden). Each member city has a “focal point” who is responsible for coordinating their city’s UCCN activities. Eight of the member city focal points (Chengdu, Florianópolis, Jeonju, Popayán, Shunde, Tsuruoka, Zahlé, and Östersund) where interwiewed voice-to-voice, whereas the rest of the focal point interviews (Belém, Bergen, Burgos, Dénia, Ensenada, Gaziantep, Parma, Phuket, Rasht, and Tucson) were conducted over email. We approached the contact person stated on the official UCCN website and asked whether they were willing to respond to our questions regarding their membership in the network, and to provide access to the application documents. All of the interviewees were informed of the purpose of the study and were given the option to remain anonymous. 3.3

Findings

The data from the samples were coded into thematic categories according to patterns emerging during the data processing. The divergence of the categories included an iterative process which eventually enabled us to extract four thematic categories summing up our findings. These themes are presented and discussed in relation to Fig. 1, which can be characterized as a further abstraction of the studied landscape [41]. An important point of departure for this study is the acknowledgment that most study participants view the UCCN as a marketing platform. At the same time, the UCCN mission statement states that member cities have to contribute something to the network. Dag Hartman, the Östersund focal point, shared this anecdote from the first UCCN meeting in which Östersund participated. Dag’s reflection captures this tension: We brought a lot of marketing information such as brochures with pictures showing happy children in the snow. And the chairman of the session looked at them and said: “I can see you have a very nice city, that’s good. But what do you give back to the world? This network is not a marketing platform for your city.” (Dag Hartman, Östersund).

While UNESCO tends to downplay the importance of branding, it is obvious that the members strongly value the branding opportunities that come with UCCN designation. Not surprisingly, a number of study participants saw clear value in having the prestigious name of UNESCO associated with their city: Having the logo of the city together with the logo of the UNESCO is a great advantage for the city since it adds the support of the UNESCO to the work that is done to foster gastronomy and tourism. (Elizenia Prado Becker, Florianópolis)

These perspectives are further articulated in Fig. 1, which represents the four themes that emerged from our data. These themes, together with Fig. 1, help to explain how and why UCCN gastronomy cities engage in such branding activities.

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Theme 2 Attractiveness

Theme 1 Presence and recognition

UCCN City Branding

Theme 3 Pride, satisfaction and active participation

Theme 4 Media representation

Fig. 1. UCCN city branding

Theme one highlights the importance of boosting national and international presence and recognition of UCCN member cities. As described in the literature review, cities increasingly compete for a wide range of resources, which makes it necessary for them to be well known and have good reputations. For example, Fang Li from Shunde claims that the designation caused an increase in promotional activities both inside and outside of China, which then led to increased recognition of the city as a gastronomy and cultural destination. Similar observations were reported by t interviewees from Östersund, Popayán, Parma, Dénia and Chengdu: China pays more attention to the creative industries and gives us more support. (Jiao Hui, Chengdu)

This perspective echoes the work of Sevin [25] and Rehan [28] that elevates the importance of branding in cities that strive for recognition – here through the membership in a global gastronomy network. Theme two refers to the notion of attractiveness, in the sense of attracting more visitors, investors and creative businesses. It is difficult to measure exactly how much of this growth is a direct result of the designation. Many of the interviewees did not feel comfortable evaluating the impact of the network on these indicators without precise figures. However, some of our study participants were willing to speculate on the impact of the designation in these terms. In Popayán, for example, there are more national tourists, new restaurants, more employment and slightly more foreign tourists. Also, their gastronomic congress is growing substantially; the congress began with 600 participants in 2002 and rose to about 25,000 people in 2015. According to their focal point, the UNESCO logo is a valuable asset for raising funds and finding sponsors for the congress. A similar tendency was observed at the food festival in Shunde, which has experienced an increase in visitation, business activities and revenues. Even

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international businesses from Singapore, Malaysia and France are keen on participating in the festival. Similarly, Dag Hartman (Östersund) identified a clear link between the contributions of UCCN-gastronomy membership to the attractiveness of the city. According to Dag, membership in the network is part of the entire package that attracts creative businesses to settle down or people to come and work in Östersund. The third theme (pride, satisfaction, and active participation) is about the effects that designation has on the residents and their perception of the place where they live. Pride is a common reaction to the designation as reported by the interviewees from Popayán, Gaziantep and Shunde: Almost every local resident has a great interest in cooking, preparing and tasting our local cuisine. So having this membership, having this international recognition, makes people more proud of their cuisine which they have been proud of for a long time already in China. (Fang Li, Shunde)

This increased pride may also encourage residents to participate actively in activities that are initiated by the government or non-profit organizations in order to promote the city as a gastronomy destination. In their application for the UCCN, the committee from Tsuruoka emphasized that the active involvement of the residents is crucial for the process of becoming a creative city. Finally, the fourth theme highlights how the membership in the UCCN influences a city’s representation in the media. Generally, study participants perceived that member cities receive more media coverage; this perception was confirmed by all the interviewed cities. For example, Fang Li from Shunde reported that prior to designation, media participation in the promotion of their food festival was limited. Since receiving the designation, however, media is more involved and covers such activities to a much larger extent. One reason may be that the media has realized that, due to the network, their audience has increased substantially. Similarly, the city of Tucson lists a selection of articles on their official website that were written about the designation as the first gastronomy city in the United States [42]. Moreover, Jeonju was asked to give interviews in both domestic and foreign television, newspaper and radio [43]. These four themes highlight the key benefits expressed by the focal points that participated in this study. However, many also expressed concerns regarding the UCCN designation and membership status. For example, several of the focal points discuss the fact that support from UNESCO is limited, especially since their own municipal organization consists of just a few people. This means that the network members are, in a sense, left on their own after their designation. Many study participants reported that this can be challenging, especially since each city’s membership status is re-evaluated every other year, Thus, the UCCN may need to develop new forms of cooperation and knowledge sharing that help empower member cities despite the limited resources from UNESCO. Moreover, critique was also delivered at the rapid growth of the network. Such rapid growth has made the network difficult to manage as well as made deep collaboration between cities more difficult. Another critical perspective stated by study participants was the feeling that UNESCO uses the network to engage and cajole as many cities as possible to implement the UN Agenda 2030 sustainability goals (SDGs). Although many of the study participants readily

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acknowledged the importance of sustainability, the focus on SDGs comes at the expense of the creativity dimensions that are the foundation of the UCCN. Finally, some of the interviewees raised the issue that they lack sufficient support to fulfill the objectives that are stated in their applications. The local or regional governmental support seems to be missing in some cases, leading interviewees to express frustration over missed opportunities for sustainable local gastronomic development as well as branding possibilities.

4 Conclusion 4.1

Discussion

The exchange of knowledge, best practices and experiences are important objectives for membership of the gastronomy cities of the UCCN. However, the branding of the city is also of great significance and brings several benefits for member cities. Study participants perceive that they have received more national and international attention as a consequence of their membership in the UCCN. In this manner, visitors, investors and creative businesses are attracted to the city and its creative gastronomy. As noted in the theoretical framework [20] and supported by our empirical data, cultural events such as food festivals have become more attractive as a result of UCCN designation, which results in higher revenues for the sectors that are related to gastronomy. The assumption that membership in a prestigious network can help to create a distinctive brand identity for the city is also important. One key element in this is the more frequent representation of the city in the media, both on local, national and international levels. Finally, it is important to note the perception that residents benefit from UCCN membership and the branding of their city as they feel proud and satisfied to live in that place. Study participants also reflected on the ways that membership fostered appreciation of their local gastronomy. Through their city’s UCCN designation, residents are reminded of their local cuisine and culinary traditions. In addition, residents appear motivated to preserve their traditions in order to maintain their membership through various initiatives and projects. These findings are consistent with those reported by Pearson and Pearson [20], which describe the ways that UCCN membership may foster social capital. Active residents also work to establish partnerships and to share knowledge, however, there is a lack of concrete ideas on how best to do it. Related to this problem are the coordination and transaction costs of network participation, which is a problem associated with most directed networks [31]. For example, it can be very expensive for cities to undertake exchange visits – both in terms of travel and hosting costs. Similar difficulties were observed by Hankinson [22] and Camagni and Capello [31] in their work on studying networks. In addition, the city representatives (or focal points) generally do not receive the encouragement or support needed in order to maximize their involvement in the network. Instead, these actors are often left on their own to develop ideas and models for cultural and creative development. This may represent a significant risk for the network if it ultimately becomes nothing more than just a label.

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Despite these challenges, it is also important to acknowledge that through the UCCN, UNESCO can more easily encourage cities to create strategies on how to use culture and creativity as a tool for sustainable development. Another related, potential benefit is that the cities that receive the UCCN designation also gain access to the UNESCO label, which every study participant acknowledged as being very valuable. However, the focus on sustainability may in fact impede the ability of member cities to achieve the goals outlined in their applications to join the UCCN. Along with the rapid growth of the network, the increasing amounts of administration means drawbacks in terms of the network’s capacity to support the creative networking around branding that many of the cities are aiming for. Reconnecting with the Landry report [32], these critical dimensions correspond with that report’s faultlines which identified the need for more guidance and inspiration, and less administration. In summary, the UCCN membership is an important branding opportunity for designated cities. In the new economy, where creativity is a crucial factor for economic growth, and where cities are increasingly competing in attracting labor, investors and visitors it is important for cities to stand out from their competitors. Membership in a network like the UCCN can help them do so through a distinctive and attractive brand identity (‘branding’). Since the UCCN is a crucial (or exemplar) case, it may be appropriate to assume that analytical generalizations can be made from our findings. In other words, the benefits and challenges identified in this case study are likely to also occur for different cities in comparable networks. Hence, this study has made a theoretical contribution to existing literature on the topic of cultural and creative industries and the conclusions drawn above can be applied to similar contexts within the field of city networks and specifically gastronomy. 4.2

Limitations and Further Research

Even though this study draws on rich data from several interviews and additional material, not all of the UNESCO creative cities were sampled. As a result, important insights from the other UCCN sub categories might be missing. More perspectives – also by the cities that joined the network later on – would be interesting to include in future research. Another limitation of our study is the language barrier. Since not all interviewees were native speakers or fluent in English, language problems might have led to misunderstandings. Also, further research is needed to examine whether effects such as the increased media representation and the elevated number of visitors are longterm changes or just a short-term reactions to the actual designation as a member of the network.

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3. Pratt, A.C.: Creative cities: tensions within and between social, cultural and economic development: a critical reading of the UK experience. City Culture Soc. 1(1), 13–20 (2010) 4. Rosi, M.: Branding or sharing? The dialectics of labeling and cooperation in the UNESCO creative cities network. City Culture Soc. 5(2), 107–110 (2014) 5. Scott, A.J.: Creative cities: conceptual issues and policy questions. J. Urban Aff. 28(1), 1–17 (2006) 6. Černevičiūtė, J.: Mapping vilnius as creative city. Limes Borderland Stud. 4(1), 89–100 (2011) 7. Kong, L.: Transnational mobilities and the making of creative cities. Theo. Culture Soc. 31(7/8), 273–289 (2014) 8. Camagni, R.: On the concept of territorial competitiveness: sound or misleading? Urban Stud. 39(13), 2395–2411 (2002) 9. Lange, B., Kalandides, A., Stöber, B., Mieg, H.A.: Berlin’s creative industries: governing creativity? Ind. Innov. 15(5), 531–548 (2008) 10. Pine II, B.J., Gilmore, J.H.: Welcome to the experience economy. Harvard Bus. Rev. 76(4), 97–105 (1998) 11. Florida, R.: The Rise of the Creative Class…and How it’s Transforming Work, Leisure, Community & Everyday Life. Basic Books, New York (2002) 12. Howkins, J.: The Creative Economy – How People Make Money From Ideas. Penguin Books, London (2007) 13. Hall, S.P.: Creative cities and economic development. Urban Stud. 37(4), 639–649 (2000) 14. Power, D.: The nordic ‘cultural industries’: a cross-national assessment of the place of the cultural industries in Denmark, Finland, Norway and Sweden. Geografiska Annaler, Ser. B Hum. Geogr. 85(3), 167–180 (2003) 15. Rae, D.: Entrepreneurial learning: a practical model from the creative industries. Educ. Train. 46(8–9), 492–500 (2004) 16. Raffo, C., O’Connor, J., Lovatt, A., Banks, M.: Attitudes to formal business training and learning amongst entrepreneurs in the cultural industries: situated business learning through ‘doing with others’. J. Educ. Work 13(2), 215–230 (2000) 17. Skoglund, W., Jonsson, G.: The potential of cultural and creative industries in remote areas. Nordisk kulturpolitisk tidskrift 15(02), 181–191 (2012) 18. Namyślak, B.: Cooperation and forming networks of creative cities: polish experiences. Eur. Plann. Stud. 22(11), 2411–2427 (2014) 19. Khoo, S.L., Badarulzaman, N.: Factors determining george town as a city of gastronomy. Tourism Plann. Develop. 11(4), 371–386 (2014) 20. Pearson, D., Pearson, T.: Branding food culture: UNESCO creative cities of gastronomy. J. Food Prod. Market. 13(3), 1–14 (2017) 21. Blain, C., Levy, S.E., Ritchie, J.R.B.: Destination branding: insights and practices from destination management organizations. J. Travel Res. 43(4), 328–338 (2005) 22. Hankinson, G.: The management of destination brands: Five guiding principles based on recent developments in corporate branding theory. J. Brand Manage. 14(3), 240–254 (2007) 23. Nelson, V.: Place reputation: representing Houston, Texas as a creative destination through culinary culture. Tourism Geographies 17(2), 192–207 (2015) 24. Riza, M., Doratli, N., Fasli, M.: City branding and identity. Procedia Soc. Behav. Sci. 35, 293–300 (2012) 25. Sevin, H.E.: Understanding cities through city brands: city branding as a social and semantic network. Cities 38, 47–56 (2014)

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26. Zenker, S., Braun, E.: Towards an integrated approach for place brand management. In: Presented at the 50th European Regional Science Association Congress, Jönköping, Sweden. http://www.ekf.vsb.cz/export/sites/ekf/projekty/cs/weby/esf-0116/databaze-prispevku/ clanky_ERSA_2010/ERSA2010finalpaper181.pdf. Accessed 07 Apr 2016 27. Cai, L.A.: Cooperative branding for rural destinations. Ann. Tourism Res. 29(3), 720–742 (2002) 28. Rehan, R.M.: Urban branding as an effective sustainability tool in urban development. HBRC J. 10(2), 222–230 (2013) 29. Hankinson, G.: Location branding: a study of the branding practices of 12 English cities. J. Brand Manage. 9(2), 127–142 (2001) 30. Nandan, S.: An exploration of the brand identity–brand image linkage: a communications perspective. J. Brand Manage. 12(4), 264–278 (2005) 31. Camagni, R., Capello, R.: The city network paradigm: theory and empirical evidence. In: Capello R., Nijkamp, P. (eds.) Urban Dynamics and Growth – Advances in Urban Economics, pp. 495–529 (2004) 32. Landry, C.: Maximizing the potential of the creative cities network: reflections and advice. http://charleslandry.com/panel/wp-content/uploads/downloads/2017/07/Maximizing-thePotential-of-the-UNESCO-Creative-Cities-Network.pdf. Accessed 01 Mar 2020 33. UCCN: UNESCO designates 66 new Creative Cities. https://en.unesco.org/creative-cities/ events/unesco-designates-66-new-creative-cities. Accessed 20 Jan 2020 34. UCCN: About us. http://en.unesco.org/creative-cities/content/about-us. Accessed 13 Apr 2016 35. United Nations: Goal 11: Make cities inclusive, safe, resilient and sustainable. https://www. un.org/sustainabledevelopment/cities/. Accessed 20 Jan 2020 36. Yin, R.K.: Applications of Case Study Research, 3rd edn. SAGE, Thousand Oaks (2012) 37. Bryman, A.: Social Research Methods, 5th edn. Oxford University Press, Oxford (2016) 38. Flick, U.: An Introduction to Qualitative Research, 5th edn. SAGE, London (2014) 39. Gerring, J.: Case Study Research – Principles and Practices. Cambridge University Press, New York (2007) 40. Patton, M.Q.: Qualitative Research & Evaluation Methods, 4th edn. SAGE, Thousand Oaks (2015) 41. Merriam, S.B.: Case Study Research in Education. Jossey Bass, San Fransisco (1988) 42. City of Tucson: Tucson, UNESCO City of Gastronomy. https://www.tucsonaz.gov/ integrated-planning/tucson-unesco-city-gastronomy. Accessed 17 May 2016 43. Choi, R.: Interview – Jeonju. http://en.unesco.org/creative-cities/content/interview-jeonju. Accessed 25 Feb 2020

Big Data to Support Sustainable Development Goals (SDGs) Angela Delli Paoli(&) and Felice Addeo Department of Political and Communication Sciences (POLICOM), Territorial Development Observatory (OST), University of Salerno, 84084 Fisciano, SA, Italy [email protected]

Abstract. This paper discusses the importance of research design and indicators’ selection to facilitate the assessment of the Sustainable Development Goals (SDGs). From this perspective, it feeds the discussion on the need of relevant indicators for monitoring SDGs. It provides a starting point of what can be done to strengthen the scientific underpinning of sustainability indicators. It leverages on findings of authors’ previous empirical studies on SDG indicators and composite indexes. These studies call for some shifts in the SGDs agenda in order to avoid the great risk to misallocate development investments. The first shift derives from the incompatibilities of some SGDs indicators. In particular, trade-offs occur across SDGs: progress on one the economic pillar cannot fully offset lack of progress on another (e.g. rising environmental degradation). This misalignment can be explained referring to the level of analysis of sustainability: part of the problem is that sustainability cannot be addressed solely at the national level as complex interactions among political and governmental levels in complex nested subsystems affect it. This implies a reframing of the SDG framework and a conceptualization of it at a local level to make it more locally relevant. Thus, the paper discusses the potential of big data (spatial information inherent in earth observational data, satellite data, mobile and social media data, etc.) to supplement traditional indicators in SDGs assessment by providing disaggregated geographical information. Keywords: Sustainable development


SDGs
Spatial analysis
Big data

1 Sustainable Development Goals (SDGs) Sustainable development is a controversial concept. According to the literature, there are four main approach to the sustainable development: a one-pillar model, a threepillar model [1], a multi-pillar model and an inter-pillar model [2]. The concept of sustainable development was initially developed in the context of environmental concerns in The World Charter for Nature [3], then it was oriented with the aim to reconcile two conflicting paradigms: economic growth and protection of environment and natural resources [4–6]. Thus, at the beginning, the definition of sustainable development gave priority to the environmental dimension that is why this conceptualization is defined as a one-pillar model. Within this perspective, sustainable development calls for a shift toward a more environmentally friendly lifestyle: reducing © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 738–748, 2021. https://doi.org/10.1007/978-3-030-48279-4_69

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production and consumption of harmful substances, minimizing pollution, exploiting valuable resources. In 1995 the World Summit on Social Development in Copenhagen [7] stressed the importance of adding social-economic pillars to the definition of sustainable development. This proposal was also endorsed by the World Summit on Sustainable Development in Johannesburg in 2002 [8]. In the three-pillar model the social dimension clearly emerges from the Rio +20 outcome document “The Future We want” [9], which comprises the mandate to draft a proposal on the SDGs. SDGs follow and expand the United Nations Millennium Development Goals (MDGs) and they are actually the most significant effort to address sustainable development in a comprehensive and global way. The 17 goals and their 169 targets, proposed by UN member nations, identify global development priorities, effectively defining sustainable development through the three pillars [10]. According to this proposal, sustainable development should try to achieve ecological, economic and social goals at the same time [11, 12] (Fig. 1).

Fig. 1. SDGs under the three pillars.

Moving from the assumption that natural capital is becoming a limiting factor for current and future human activities, the ecological pillar aims to face ecological overuse, including loss of biodiversity, climate change, nitrification, stock depletion leading to environmental degradations due to the ecosystems reduced ability to regenerate. The economic pillar aims at maintaining the stocks of human man-made capital, innovativeness and competitiveness required to create income in a moment of growing economic insecurity, mostly due to declined job growth, youth unemployment and low social security. The social pillar is, probably, the most conceptually elusive pillar [13]. While the concept of sustainable development generally refers to achieving a balance among the environmental, economic, and social pillars, the social pillar seems vague in its meaning and in the associated objectives [14, 15]. The conceptual overlaps existing across the pillars of sustainable development make difficult to define in a distinctive and univocal way the social dimension. These overlaps are particularly pronounced between economic and social pillars [13] as there are many issues being relevant to both dimensions (e.g. employment, resources distribution, etc.). The

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concepts of social sustainability [1, 16–20] and social sustainable development have been introduced [21] in order to refine the operational definition of the social pillar. This led to several proposal in the related literature. Littig and Grießler [1] identify three factors of the social dimensions of sustainability: quality of life, social justice and social coherence. Chan and Lee [18] detect the following factors fostering sustainability: social infrastructure, job opportunities, townscape design, preservation of local characteristics, fulfillment of psychological needs. Cuthill [19] states that the following factors promote social sustainability: social capital, social infrastructure, social justice and engaged governance (participatory democracy). According to Dempsey et al. [20], there are two categories of social sustainability: social equity and sustainability of community. Vavik and Keitsch [21] identify inclusion, education and participation as the three main goals of social sustainable development. In an attempt to create a framework for policy analysis, Murphy [2] proposes four social policy concepts: equity, awareness for sustainability, participation and social cohesion. The multi-pillar model has been inspired by a growing concern about the threepillar model considered as overlooking other fundamental pillars, alternatively identified in a cultural-aesthetic [22–24], political-institutional [25, 26] or religious-spiritual dimensions [27, 28]. The cultural-aesthetic pillar is conceived as “cultural vitality”, creativity, innovation [22], shared identities, values, and beliefs [23]. The politicalinstitutional pillar includes norms and formal systems of rules and procedures, and it could be conceived as comprising institutional orientations and mechanisms [26]. Finally, the religious-spiritual pillar is rooted on the ground that ethical and moral values are essential to guide the transitions towards sustainability [27, 28]. The inter-pillar model stems from the need to develop more inter-pillar linkages between the social, economic and environmental pillars; considering these dimensions as nested rather than isolated will lead to reframe the three-pillar model [29–31]. The distinction among the social, economic and environmental is considered problematic because it implies the idea that economy, society and nature are autonomous spheres [32]. It is illusory to think that they have the same weight as the economic dimension overshadows the other two [6, 33]. Each pillar has its own features and logic which are likely to conflict with each other. For example, the linkage between the social and economic pillars is noticeable in fiscal measures to combat climate change (such as carbon taxes) which can affect household income as energy prices increase. Moreover, improving material well-being and conserving natural ecosystems often conflict with each other. The inter-pillar model asks for clarifying, conceptually and operationally, the linkages, trade-offs and synergies among the three pillars to make them compatible and coherent.

2 Gaps in National Scale of SDGs Assessment In previous studies on SDGs [34, 35] we attempted to structure the SDGs indicators into a coherent framework, we content validated the indicators, built a composite SDG index and evaluated its performance in EU Member States (Fig. 2).

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Fig. 2. A composite SDG index

A crucial component of the SDG agenda is the continuing monitoring of progress towards the achievement of the targets. However, data for the different countries show very different quality. Some countries have missing data on some of the dimensions, misclassification and out-of-date assessment. Filling these gaps will require improved metrics that would imply to invest in strengthening data collection and statistical capacity in all countries. Moreover, our studies showed the low validity of some indicators included in the SDG dashboard and the weaknesses of environmental indicators. This can be explained referring to the level of analysis of sustainability: part of the problem is that sustainability cannot be addressed solely at the national level as complex interactions among political and governmental levels in complex nested subsystems affect it. This implies a reframing of the SDG framework to make it more locally related. Previous authors’ studies together with the trade-off among the pillars of sustainability, demonstrated the importance of integrating national findings with local analysis of sustainability. The central role of place and cities in particular in sustainable development is clearly reflected in the United Nations’ SDGs and in the 2030 Agenda for Sustainable Development, which is to “make cities and human settlements inclusive, safe, resilient and sustainable” (SDG Goal 11). However, this key role is not empirically translated and the standard procedure proposed by international organization consists of a set of indicators assessed at country level. The local context is the key dimension to plan and realize sustainability. There are big gaps between risks

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and changes happening at the local level, where the real possibilities for meeting SDGs and implementing policy actions and the processes in place for monitoring progress towards the goals lie. We doubt the universality of such goals and call for a spatial exploration of the local specificity in order to understand place sustainability. Spatially disaggregated measures would be extremely useful for targeting SDGs efforts. Moreover, our previous studies on SDGs assessment demonstrated that the current set of indicators are ultimately affirmative of the current economic, social and ecological status quo rather than transformative. They do not revise the organization of economic development adopting a full capitalist and profit-based rationale which is affirmative of the current social, economic and environmental system. Although SDGs seem to adopt the abstract principles of social, economic and ecological justice, they do not integrate substantive development issues such as a consideration of work conditions and quality of service provision (care for children, for the elderly, for persons with special needs, for migrants and refugees), of governance and institutions, of alternative production and consumption processes, of systematic environmental injustice.

3 Big Data and SDGs High-quality and granular data are critical for transforming the SDGs into useful tools for problem-solving and proper decision-making. The progress in SDGs research and assessment may be supported by big data which by spanning many varied data sources, have the potential to fill data gaps in different ways and complement current sustainability assessment tools and indicators. Big data are unstructured mass data different from traditional data for their velocity (speed of data generation and use), variety (range of data types and sources ranging from text to remote sensing), volume (amount of data) and veracity (issue of data bias) [36, 37]. Due to the variety of formats and sources, what is fundamental, apart from data processing and analysis, is the interpretation of such data. They are not interesting in themselves, but only through a framework that could help the researcher to interpret them; for example, hermeneutics can be used as a tool to collect evidence for knowledge claims. This explains also the diffusion of the concept of data mashups associated to big data which can be defined as the dynamic and creative process of mixing, analyzing and interpreting different types of data together to produce a unified and new output more useful than the analysis of single datasets or data sources [38]. Some SDGs are more than other involved in big data [37] but the applications are very heterogenous ranging from social media data, satellite data, administrative records, call records, citizen science monitoring, selftracking initiatives, and other digital breadcrumbs. The most explored variables include road access, electricity, natural disasters (earthquakes, hurricanes, fires), precipitation, weather, and also biodiversity and air pollution, flooding. This can be attributed to the fact that most satellite sensors are optimized for observation of natural phenomena such as the movement of clouds and the features of the land and sea surface. Particularly, big

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data (earth observations and satellite data) has been mostly used to map surface water in order to infer water turbidity and quality [39, 40], to identify deforestation by assessing changes in forest cover [41], to identify desertification by identifying changes in vegetation [42], to detect electrification through night-time satellite imagery [43], to track the movement of marine vessels in order to identify areas of illegal fishing. Moreover, applications extend to agricultural monitoring and primary crop condition assessments (wheat, maize, rice and soybeans) through monitoring of crop growth and meteorological information and climatic drivers affecting crop conditions. Although fewer applications for satellite data have been developed in the social and economic sciences, also more granular social indicators can be built through big data. For example, big data could provide variables and insights on various dimensions of poverty complementing household survey data. Indeed, with some analysis, big data can be used to estimate income poverty and to provide alternative wealth indicators. An example is the experiments by [44] who built a wealth indicator on the basis of phone credit top-ups and the assumption that poorer people would likely to top up their phone credit with smaller amounts and more frequently than richer people. Similarly, Blumentstock er al [45] attempted to infer wealth from the individual’s mobile consumption patterns. Another example is the nighttime light imagery to model the distribution of income per capita in a more disaggregated way [46, 47]. Satellite data can also be used to estimate building poverty by evaluating object features such as size and type of buildings, building height, roof type at a local scale [48]. At an urban scale, such data can be used to identify urban poverty by detecting slums [49]. Big data has also been used to assess mobility. This has many applications. Firstly, the analysis of global migration trends for example by using IP-addresses to map the geographic locations of people sending e-mail in a given period [50]. Secondly, the analysis of disaster consequences by tracking population outgoing movements after disasters through mobile phone network data [51]. Thirdly, the analysis of population movements for traffic management by identifying population origin-destination flow [52] or by identifying road usage patterns [53]. Other significant insights derive from data bottom-up generated by people through participatory methodologies (citizen reporting and monitoring) which can give depth to the vast array of data gathered through surveys. These examples are not intended to be comprehensive or representative. Instead, they are provided to illustrate the wide range of application of big data to sustainable development goals (Table 1).

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A. Delli Paoli and F. Addeo Table 1. Big data contribution to SDGs.

SDGs

Area Income poverty Urban poverty Hunger Food security

Indicator Wealth measures Nighttime luminosity Infrastructure and housing mapping Agricultural monitoring Drought monitoring

Big data Mobile phone metadata Satellite data Satellite data

Reference [45]

GEOGLAM [54, 55]

[47] [48]

Health

Spread of diseases from mobility patterns

Satellite data Remote sensing Mobile phone metadata

Water quality

Turbidity in water

Satellite data

[39, 40]

Energy

Electrification

Satellite data

[43]

Mobility

Road usage

Mobile phone metadata Mobile phone metadata Mobile phone metadata Satellite data

[53]

Traffic management

[51, 56–58]

[52]

Disaster management Urban poverty

Movements of people after disaster Slums

[59, 60]

Illegal fishing

Movement of marine vessels

Satellite data

[61]

Deforestation Desertification

Changes in forest cover Changes in vegetation

Satellite data Satellite data

[41] [42]

[49]

4 Conclusion In this article we discuss the potential contribution of big data to enrich country level SDGs analysis and overcome the gaps of the current SDG framework pressured by shortcomings in data validity, availability and statistical capacity for its monitoring. Big data set out as a key source of information to service SDG monitoring. Once refined these methodologies may provide useful measures of poverty to complement official statistic at very granular geographic levels. They may resolve and explain the trade-off among pillars emerging at a national scale. Moreover, they have significant potential in identifying environmental, social and economic “hot spots” (i.e. places and locations

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where people and/or places are at particular risk) where innovative interventions can be designed and evaluated to prevent or adapt to SDGs over the long term. Obviously, they cannot be thought of as a panacea for all the issues. Rather their true value lies in complementing traditional measures with untraditional perspective and more granular analysis. However, their use in official statistics is still in its embryonic and pilot stage because they are not without caveats. There is a need to move beyond this by working on their caveats such as privacy, marginalization, calibration and standardization.

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Firms’ Crimes and Land Use in Italy. An Exploratory Data Analysis Roberta Troisi

and Gaetano Alfano(&)

Department of Political and Communication Sciences, Territorial Development Observatory (OST), University of Salerno, Fisciano, Italy {rtroisi,galfano}@unisa.it Abstract. The aim of this analysis is a preliminary understanding of the firms’ illegal land-use dynamics. The paper empirically substantiates whether the firm’s illegal behavior and a set of macro and micro factors can lead to different degree of illegal land use expressed in term of m2. Through a unique data collection drawn from 342 judgments of the Italian court of cassation over the last six years a robust regression with M-estimation was carried out. Findings are interpreted with the idea that any illegal firms’ choice is oriented by a cost/benefit analysis both in case of legal firms and mafia-type organization. Thus the cost of detections as well as the benefits tied to the illegal business are emphasized. Finally, this is a preliminary analysis that has been conducted thanks to the members’ contribution of the Observatory of the territorial development (University of Salerno). Keywords: Firms’ crimes


Land use
Crime opportunity

1 Introduction Land use is one of the most insidious and irreversible forms of land degradation. In recent years, European policies have shown increasing attention on the topic (e.g. COM2006 n. 231), aimed at finding appropriate control means. Thus, it is not surprising that scholars have focused on the devastating and, at the same time, difficult to reverse effects, which excessive use can produce. Nowadays, illegal land use has not been explored, although it is the most harmful form of land use. If the legal consumption produces damages, the illegal one, as off the books activity, by its nature multiplies them. It also adds the damage, irreversible as well, to the credibility and efficiency of legality, which seems to become a fragile obstacle to the transformation of the territory. On the other hand, there is an obvious dearth of data, as well as for the bulk of the illegal phenomenon. Furthermore, the few related works also offer a general picture of illegal use not distinguishing among the main offenders [1, 2]. Unlike previous work, this study shows the preliminary results of firm’s illegal land use. More than one reason lead us to this choice. When compared to the private illegal use one can find sharp differences and this may discourage a generalization. The opportunities for illegal land use seem to be greater. They can follow the whole chain of the production by encompassing the extraction of raw materials, production © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 749–758, 2021. https://doi.org/10.1007/978-3-030-48279-4_70

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waste, instrumental and final goods. The greater the opportunities, the greater the expected quantity of abuse, corresponding to the impact per m2 and, consequently, the impact on the vulnerability of the territory. Finally, firms’ illegal land use distorts the rules of the market competition since everything obtained illegally, totally circumvents the administrative costs related to the economic activities. In sum, when firms are involved in illegal land use they violate a fundamental balance between the economic activities and sustainable growth [3] on one hand, and environmental social and legal requirements on the other. The aim of this analysis is a preliminary understanding of the firms’ illegal land uses dynamics. It has been focused on crimes. Thus, the first key contribution of the paper is to build on the research that has theorized how different combinations of crime characteristics and environmental opportunities lead to different types of crime [4, 5]. In contrast to these contributions, this paper empirically substantiates whether crime and environmental characteristics can lead to different degree of illegal land use expressed in term of m2. To accomplish the aim of this study, a unique dataset drawn from more than 340 judgments from the Italian Court of Cassation concerning cases of Italian firms’ illegal land use over the last six years has been arranged. Italy is an interesting case of study. First, it is ranked third among the European countries for land use. Then, as for its “dark side”, two peculiarities of this country are well known: the widespread phenomenon of illegal building that is about the 17% on the whole real estate assets (Istat, 2008), the role of Mafia-type organizations in the economic activities and consequently in those activities of land transformation more intensive and harmful. Furthermore, in line with the definition of firms’ misbehavior as essentially a norm-deviated phenomenon [4], illegal land use crimes are focused on. Even if the notion of illegal land use does not end with the crimes, they are the most serious means that can be perpetrated for an illegal aim. As consequence definition of illegal land use to which this study refers is that drawn from the Italian penal code. It is about the “carrying out of building, engineering, mining and other operations in, on, over or under the land that turns into significant and measurable damage of large or significant portions of the soil or subsoil of an ecosystem, biodiversity, including agrarian, flora or fauna (423, 426, 434 penal code)”. Investigating the negative and disintegrative side of land use by focusing on firms’ crimes has been framed by the crime-opportunity approach [6]. According to this approach a combination of factors with different nature can make crime possible. This approach does not start from an implicit or explicit theoretical explanation model but from specific factors. The research has in common that certain social, political, organizational or individual factors are highlighted. The variables considered on all possible levels: individual, organizational and societal. Along this line, the research on the influential factors for illegal land use [7, 8] has pointed on the economic development, population growth, and land finance as the important factors that affect illegal land use despite repeated prohibitions in China [9, 10]. Finally, the dependent variable of interest in this study is the illegal use intensity. In contrast to the other studies relied on microdata [11], this study has not emphasized the crime occurrence. Instead, it has leveraged on the amount of m2 resulting from the abuse. A concrete measure of the abuse is both required by the penal code and considered useful for the exposition of the theory, especially with respect to explaining criminal practices [12].

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In investigating on the firms’ illegal use a robust regression with M-estimation was carried out. Findings are interpreted with the idea that any illegal firms’ choice should be oriented by a cost/benefit analysis.

2 Method and Results This section discusses the method and the results of the exploratory analysis performed. The data used for the variable are gathered from judgments of the Italian Cassation Court and from various databases provided by various sources (ISTAT, Minister of economics and finance and Urban Index). In particular, the judgements provide detailed information on the illegal use activities on the whole national territory and other useful information. The kind of variables employed is geographic and socio-economic [13, 14]. They are resumed in Table 1. Table 1. Description of the variable used. Variables Illegal land use intensity Authorization

Building dispersion Population’s density Population’s variation Hydrogeological risk areas Seismic hazard

Description The intensity of the illegal land use in m2

Source Judgements

A dummy about the kind of offence when related to the land use permit expressed in three alternatives: violation, absence and illegal authorization The rate of dispersed buildings on the total number of buildings of a town Population per km2

Judgements

The percentage of variation of the population in the time interval of the illegal activities The percentage of population resident in areas characterized by high hydrogeological risk The seismic hazard level given by Urban Index

Dump’s use

The percentage of city’s garbage diverted in dumps

Entrepreneur income Coastal town

The average income of the entrepreneurs in euros

Type of criminal collusion

A dichotomous variable assuming value 1 if the town is a coastal town, 0 otherwise A dummy with three alternatives: individual action, criminal association or Mafia-Type organizations

Istat Istat Istat Urban index Urban index Urban index Istat Istat Judgements

A detailed analysis of the sample has underlined the presence of outliers and leverage points among the observations. To take into account those values without reducing the sample a robust regression with M-estimation was performed. This model

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was introduced appositely for reduce the OLS sensibility to outliers and can be used in any situation where the OLS is used [15, 16]. Variables have been grouped in macro, whose nature is socio-economic and geographical and those micro, involving personal and crime related factors. As said above, the study preliminarily investigates the impacts of above described variables on the firms’ illegal land use intensity, expressed in m2. Specifically, three models are proposed. The first model takes count of the whole sample of 342 observations comprehensive of illegal built up, quarries and dumps. Successively the model was performed considering two sub-samples. Following the steps of the chain of the production the extraction of raw materials and production of waste are separately considered from instrumental and final goods for their impact respectively on the subsoil and the soil. In particular, the second model considers the 139 cases of illegal dumps and quarries, while the third model considers the 203 cases of build-up construction for economic purposes. All the models can be written synthetically as: Intensity ¼ b0 þ bi ðgeo - demographic variablesÞ þ u

ð1Þ

where bi with i = 1…, 9 are the regression coefficients, representing the change of the dependent variable for a unit change of the corresponding independent variable, keeping all the other variables constant, b0 represents the intercept, the mean value of the dependent variable when all the independent variables are zero, and u is the residual error. The regression results are shown in Table 2.

3 Results The section is organized as follows. i) Macro variables and micro are gathered as for their impact on the illegal land use intensity. ii) Main findings are mainly a matter of firm’s costs and benefits, in terms of opportunities for avoiding the costs of the detection and, at the same time, to benefit from the illegal activity. As for the macro variables, the analysis results show that buildings dispersion has a positive significant impact on the intensity of the illegal land use only in the case of dumps and quarries (hereby dumps). Specifically, large illegal dumps are more likely to be located in more sprawled town. This result is in line with Quesada-Ruiz et al. [17] who argue that urban sprawl is one of the main causes of the proliferation of illegal landfills. In our idea, reasonably related to the opportunity of a low traceability. The density of the population is positively related to the illegal land use intensity in model 1 and 3. The different impact in terms of signs of the two variables (building dispersion and population density) is not counterintuitive. First, they are not statistically related, then it is easy to imagine areas that are densely built-up but little inhabited and vice versa. Larger areas are illegally used in places with higher density of the population and this is particularly true for the build-up. Other studies have emphasized the circumstance that a high density of the population can be considered a factor of the spread of buildings systematically made in an illegal manner [18]. Higher populations density can indicate a higher market demand of new buildings. The construction of large illegal housing estates can represent an alternative supply to the market.

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Furthermore, it can be tied to a low traceability different for the nature of the build-up to that related to the dump. The level of seismic hazard is significant for both model 2 and 3. More specifically, builds up are negatively related to the seismic hazard where in contrast dumps are positively related to the seismic hazard. Regarding the build-up, the likelihood to construct large abusive buildings in less seismic hazardous areas may be coherent with a firm’s cost-benefit analysis mainly focused and the risk of the penalty rather than the control. According to the Italian Penal Code, the firms, even those abusive, may be held responsible for public safety in the event of collapses of buildings (434 penal code). Therefore, with the aim of reducing the risk of penalties, firms can be encouraged to carry out more extended abuses in areas with less seismic hazard. Minor benefits in more vulnerable buildings in a seismic area should not be at stake as for the low perception of risk of earthquake, particularly in some Italian area [13]. Seismic hazard is positively related to the illegal dumps intensity, in our idea, because they do not need to represent a safe supply but something to be hidden with the general aim of reducing the cost of detection. The legal dump’s use is a novelty in this kind of studies. This variable describes a cultural element of the social environment where the crimes took place. It can be seen as a proxy of the propensity of the local population to correctly differentiate, therefore it also intrinsically measures the awareness of the local population towards the natural environment. Substantially a high value expresses low recycling capability. This variable has significance, in terms of positive relation only in the case of illegal buildup intensity (model 3). Then, larger build-ups are more likely to be founded in those areas with a higher percentage of waste sent to landfill. Although it should be further explored it could be considered a matter of benefit. Low building standard in term of sustainability may not be perceived in a contest not sensitive to environmental issues. The regression results show that the intensity of illegal land use is negatively and significantly related to the coastal location of the town in Model 1 and 2. Then, smaller illegal dumps are more likely to be located in the coastal town. This results confirms those of Quesada-Ruiz et al. [19]. In this study on the proliferation of illegal landfills, it has been argued that illegal dumps are more likely to be located in interior zones, especially close to ravines and less steep area. The reason is, intuitively, a matter of costs of control. Finally, the following is the only micro variable that is statistically significant. The analysis results show that, concerning the individual initiative, crimes committed in criminal associations and Mafia-Type organizations have both a significant positive impact on the intensity of the illegal land use. Furthermore, this is true both model 1 and 3. To explain that result one can firstly think about the number of actor involved in the crime, that in the case of criminal association and mafia-type organization increase. A higher number of actors involved usually increase the value of the capital invested in the economic activities, all aimed at to increasing the return of the investment [20], better obtainable through the build-up. Beyond the intuitive result that as people grow the means available, it is interesting to note that the illegal business choices of legal entrepreneurs and mafias move in the same direction. The criminal association carried out by the legal entrepreneurs is that provided in the penal code that shares the same characteristics of stability, long-term criminal plan when compared

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with the Mafia. What changes is only the method (416bis, 110 penal code). Substantially, the outcome of a cost-benefit balance leads to similar profit maximization choices attributes through the same kind of illegal land use.

Table 2. Regression results summary. Heading level

Model 1 Model 2 Model 3 All sample Dumps Build-up (Intercept) 1569.93° 2578.28** 2502.93 (937.51) (907.74) (1542.36) Buildings dispersion 3253.80 4855.79** −2605.02 (2415.01) (1655.90) (4563.41) Population’s density 0.31** −0.05 0.31* (0.11) (0.09) (0.15) Population variation 0.11 9.97 −3.60 (12.13) (10.10) (20.34) Hydrogeological risk areas 0.02 0.03 0.01 (0.03) (0.02) (0.04) Seismic hazard −3888.71 4778.55** −8629.57* (2514.77) (2034.14) (4221.26) Coastal town −1190.99*** −2493.94*** −472.92 (339.61) (328.66) (555.31) Dump’s use 4.54 −3.10 12.43* (3.41) (2.35) (6.39) Entrepreneur income 0.02 0.01 0.02 (0.03) (0.03) (0.05) Un-authorized 141.25 −190.00 −334.99 (437.93) (281.88) (882.74) Illegal authorization 660.70 219.18 545.22 (603.09) (525.32) (1066.04) Criminal association 964.12** −11.71 947.50* (338.75) (279.67) (483.00) Mafia-Type organizations 2326.61*** 319.32 6982.49*** (639.56) (436.00) (1206.71) 2 0.31 0.19 0.19 R Wald test (p-value) 1.4e−06 1.1e−03 3.5e−07 Significance codes: 0 ‘***’ 0.001 ‘**’ 0.01 ‘*’ 0.05 ‘°’ 0.1 ‘’ 1 Standard errors are reported in parenthesis.

4 Geo-Referencing of the Illegal Land Use In this section a geo referencing of the illegal land use is provided (Figs. 1 and 2). The 342 observations were geo-referenced using the information provided by the judgements (i.e. the addresses of the economic build-up and the location for the dumps). Moreover, the geo-referencing through GIS is a powerful tool for detecting

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Fig. 1. Geo referencing of illegal dumps.

aggregations [21]. The aim is to graphically visualize the variable criminal collusion related to the illegal land use intensity. As said above it is the most representative dynamic of the illegal business choice as it deals with the choice about how commit a crime whose benefit have to overweight the cost. This involves both the number of agents and the time. As we said legal firms and mafia type organizations choices go hand in hand. Furthermore, they both focus on the built-up.

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Fig. 2. Geo referencing of illegal build-ups.

Figure 1 shows the geo localization of the dumps, while Fig. 2 shows the location of the build-up on the whole national territory. Figure 1 shows how dumps are present in much of the national territory. The type of criminal collusion was not found significant on dumps intensity. In this line the initiative of the abuse is principally individual in term of occurrence (yellow point). The map further shows how a concentration of illegal dumps is situated in Lombardy, especially near Milan. Differently, Fig. 2 shows how build-ups are majorly located on

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the coastal area of the south and jointly committed. Furthermore, in two districts (Puglia e Calabria) the number of crimes committed in criminal association is major then the number of crime individually committed. In these two districts the number of crimes committed with mafia- type organizations is the highest than in the rest of Italy. This confirms that a certain homogeneity in the business choices is also geographically concentrated. In this direction, the maps are useful to direct future research focusing in the areas were the illegal activities are more concentrated in order to better understand the socio-economic and institutional causes behind the phenomenon.

5 Conclusions This study shows how illegal lands work by emphasizing the impact of micro and macro variables on the illegal land abuse intensity. Findings are interpreted through the idea that any illegal firms’ choice should be oriented by a cost/benefit analysis. Thus, lowering the cost of detection should justify the positive impact of building dispersion in the illegal dumps intensity, as well as the density of population, does on the build-up intensity. Along the same line the low traceability may justify the level of seismic hazard as positively significant on illegal dumps intensity. The negative impact of the seismic hazard on the illegal build-up intensity can be better justified as for the costs of the high penalty provided by penal code in case of collapse. As for the benefits, population density can be further explained for its impact on illegal build-up as alternative supply in a situation of higher market demand. Finally, we show how the maximization of the profits is characterized by the same practises both for legal entrepreneurs than mafia organizations –type. Studies on the topic should be interested in adding institutional factors as further variables useful to understand the dynamics of the illegal land use.

References 1. Tang, W.S., Chung, H.: Rural–urban transition in China: illegal land use and construction. Asia Pac. Viewpoint 43(1), 43–62 (2002) 2. Chen, Z., Wang, Q., Huang, X.: Can land market development suppress illegal land use in China? Habitat Int. 49, 403–412 (2015) 3. Nesticò, A., Maselli, G.: Sustainability indicators for the economic evaluation of tourism investments on islands. J. Cleaner Prod. 248, 119217 (2020). https://doi.org/10.1016/j. jclepro.2019.119217 4. Luo, Y.: An organizational perspective of corruption. Manage. Organ. Rev. 1(1), 119–154 (2005) 5. Graycar, A., Sidebottom, A.: Corruption and control: a corruption reduction approach. J. Financ. Crime 19(4), 384–399 (2012) 6. McKendall, M.A., Wagner III, J.A.: Motive, opportunity, choice, and corporate illegality. Organ. Sci. 8(6), 624–647 (1997)

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7. Liang, C., Penghui, J., Manchun, L., Liyan, W., Yuan, G., Yuzhe, P., Qiuhao, H.: Farmland protection policies and rapid urbanization in China: a case study for Changzhou City. Land Use Policy 48, 552–566 (2015) 8. Zhou, Q., Li, B., Chen, Y.: Remote sensing change detection and process analysis of longterm land use change and human impacts. Ambio 40(7), 807–818 (2011) 9. Lin, G.C., Ho, S.P.: China’s land resources and land-use change: insights from the 1996 land survey. Land Use Policy 20(2), 87–107 (2003) 10. Zhong, T., Mitchell, B., Huang, X.: Success or failure: evaluating the implementation of China’s national general land use plan (1997–2010). Habitat Int. 44, 93–101 (2014) 11. Nese, Annamaria, Troisi, Roberta: Corruption among mayors: evidence from Italian court of cassation judgments. Trends Organized Crime 22(3), 298–323 (2018) 12. Pinto, J., Leana, C.R., Pil, F.K.: Corrupt organizations or organizations of corrupt individuals? Two types of organization-level corruption. Acad. Manage. Rev. 33(3), 685– 709 (2008) 13. Troisi, R., Alfano, G.: Towns as safety organizational fields: an institutional framework in times of emergency. Sustainability 11(24), 7025 (2019) 14. Alfano, G., Troisi, R.: Corrupt political leaders and the failures of the institutional checks. In: ECMLG 2019 15th European Conference on Management, Leadership and Governance, p. 17. Academic Conferences and publishing limited, November 2019 15. Zhang, B., Bi, J., Yuan, Z., Ge, J., Liu, B., Bu, M.: Why do firms engage in environmental management? An empirical study in China. J. Cleaner Prod. 16(10), 1036–1045 (2008). https://doi.org/10.1016/j.jclepro.2007.06.016 16. Nesticò A., Moffa R.: Economic analysis and operational research tools for estimating productivity levels in off-site construction. Valori e Valutazioni no. 20, pp. 107–126. DEI Tipografia del Genio Civile, Roma. (2018). ISSN: 2036-2404 17. Quesada-Ruiz, L.C., Rodriguez-Galiano, V., Jordá-Borrell, R.: Characterization and mapping of illegal landfill potential occurrence in the Canary Islands. Waste Manage. 85, 506–518 (2019) 18. Di Martire, D., De Rosa, M., Pesce, V., Santangelo, M.A., Calcaterra, D.: Landslide hazard and land management in high-density urban areas of Campania region, Italy. Nat. Hazards Earth Syst. Sci. 12(4), 905–926 (2012) 19. Quesada-Ruiz, L.C., Perez, L., Rodriguez-Galiano, V.: Spatiotemporal analysis of the housing bubble’s contribution to the proliferation of illegal landfills–the case of Gran Canaria. Sci. Total Environ. 687, 104–117 (2019) 20. Nanda, V., Narayanan, M.P., Warther, V.A.: Liquidity, investment ability, and mutual fund structure. J. Financ. Econ. 57(3), 417–443 (2000) 21. Amrhein, C., Reynolds, H.: Using spatial statistics to assess aggregation effects. J. Geogr. Syst. 2, 143 (1996)

The Role of Igers in the Territorial Dynamics of Sustainable Tourism-Oriented Destinations Pierluigi Vitale1(&) , Maria Palazzo1 , Agostino Vollero1 Alfonso Siano1 , and Pantea Foroudi2

,

1 Territorial Development Observatory (OST), Department of Political and Communication Sciences (POLICOM), Università degli Studi di Salerno, Fisciano, Italy [email protected] 2 Department of Marketing, Branding and Tourism, Middlesex University London, London, UK

Abstract. The territorial dynamics of tourism destinations are growingly be influenced by the advancement in digital and social media communication. In particular, opinion leaders or influencers in social media play an important role in determining the image and the value perceived by different types of territorial stakeholders. More specifically, the paper explores the role of Instagram influencers (Igers) in shaping destination images of sustainable tourism destination worldwide. A visual analysis of posts on Instagram in a 7-year span (2012– 2019) is carried out to analyze differences in different macro-regions and identify associations of influencers with various destinations. Findings show that engagement level vary at continent level and territorial dynamics are determined by cultural similarities, especially on the West-East axis. Implications and associated research avenues are discussed to develop insights for assessing the value of different types of influencers in affecting territorial dynamics, both in tourism management and in designing the evolution of rural areas towards a sustainable-oriented image. Keywords: Sustainable tourism


Igers
Network visualization

1 Introduction The use of social media, and associated overwhelming creation of user-generated content (UGC) have radically transformed how different territories are perceived by different stakeholders (tourists, potential residents or investors, media, etc.), especially in a tourism marketing perspective [1, 2]. A long line of research in communication and marketing studies has demonstrated that UGC are not equal for their impact on users, being some digital players (namely online opinion leaders) – [3] are looked to for advice by many of their peers, thus exercising influence for the content they transmit to other users due to electronic word-of-mouth

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mechanisms [4]. These digital influencers can be defined as “independent third-party endorser who shapes audience attitudes through blogs, tweets, and the use of other social media” [5] (p. 90). Facebook posts, tweets, images on Instagram, Flickr and Pinterest, have in fact progressively modified the way people form their own images of the different territories and tourist destinations [6, 7]. The number of tourists attracted by a specific image have an influence on territorial dynamics, especially considering both the pros – e.g. inclusive economic growth – and cons (negative aspects of over tourism, natural resource depletion, etc.) of significant variations. The development processes of the territory are certainly complex but communication mechanisms should not be excluded in the overall evaluation to have a full picture of these changing dynamics. And this is more important in a sustainable development perspective of the territories. In our exploratory study, the focus is indeed on the Instagram images of destinations designated as “sustainable tourism”. This study responds to the call for discovering new ways to make more people aware of sustainable tourism [8]. One possible way is to leverage on the rising power of influencers. According to recent statistics [9], 82% of travellers follow influencers on social media or travel blogs, because they trust influencers’ evaluations more than other online reviews and they judge influencers’ reviews and content more accurate that those found on other communication channels. Despite this, to date, there is a lack of research on influencers dynamics, especially in tourism research [10, 11]. The present research addressed thus the need to raise the awareness on how sustainable practices in tourism are represented and how some actors can impact positively on changing perceptions and behaviours of people, especially for younger generations [12].

2 Conceptual Background 2.1

Destination Image and UGC on Social Media

From two decades, a long line of research has discussed the multidimensionality of place destination image, thus approaching it from a variety of perspectives [13]. Different authors concur the image is determined by the knowledge and experience an individual has of a place [14]. Different sources of information thus have a role in shaping users’ perceptions, ranging from traditional DMOs (destination marketing organizations) to traditional mass media and recent digital channels. It is important also to note that while tourists seek for information about their (future) destinations, at the same time they generate online content (comments, reviews, photos) that interfere with their pre-existing images and influence others’ images [15]. “Real” photos taken by “real” tourists have an enormous impact as they tend to replicate their existing perceptions [7]. On the other hand, it must be said that this circumstance is true only within specific contexts, where travellers numbers are small and the pre-existing image is dominant [16].

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This process of image co-creation is similar to that one implemented by stakeholders with companies: they build in their mind an image of an organisation and tend to sustain it according to their interests [17]. Since sustainability is a context-related issue [18], an organisation must be sure that a new image, based on this strategy, corresponds with its stakeholders’ values in a specific situation, if it aims at creating a competitive edge [19]. Therefore, territorial image and sustainability seems to be inextricably bound, but there are few studies on the topic [20]. Even fewer research analyses the link between sustainable tourism and destination images, additionally, they seem to be more focussed on hospitality than on tourism [21]. 2.2

Sustainable Tourism: Which Role for Igers?

A sustainable tourism perspective “takes full account of its [tourism] current and future economic, social and environmental impacts, addressing the needs of visitors, the industry, the environment and host communities” [22] (p. 11–12). The importance of sustainable tourism is ascertained by the United Nations, which called the 2017, the International Year for Sustainable Tourism for Development, pushing public opinion to re-evaluate the strength of tourism sector, and sustaining practices for making tourism a significant player, able to impact on the United Nation’s Sustainable Development Goals (SDG). The United Nations, actually, sets 17 SDG that has re-established a perception of the urgency in tourism to deal with vital matters [23]. In particular, one of these goals – “managing tourism sustainably” (SDG13) – implies: (i) reaching inclusive and sustainable economic growth; (ii) promoting social inclusiveness, creating employment and aiming at poverty reduction; (iii) attaining resource efficiency, endorsing environmental protection and taking under control climate change; (iv) spreading cultural values, sustaining cultural diversity and raising awareness of heritage’s value; (v) providing opportunities for mutual understanding, peace and security, considering tourism as a powerful tool for soft diplomacy. As above mentioned, creating a sustainable tourism destination image means to consider a number of different sources of influence [24, 25]. Digital influencers represent an under-researched topic of analysis despite their potential role to raise the awareness on specific issues and to focus the attention on concrete sustainable aspects in tourism [26, 27]. Having said that the paper’s research questions are: • (RQ1) Which are the most relevant #sustainabletourism topics/categories published on Instagram? • (RQ2) How are the topics/categories presented in the Instagram posts distributed in the different geographical macro-areas? • (RQ3) How are influencers connected with different destinations aside from geographical distance?

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3 Methods and Data Collection The exploration team in this research posits that a mixed method approach, mixing quantitative and embedded qualitative stages, can be employed to analyse the range of topics and destinations, Instagram users related with sustainable tourism, and to find influencers’ kind and their associations with different areas. The mixed method has actually been broadly used both to explore sustainable tourism effects and to study tourism promotion communicated through social media, and particularly on Instagram. The selection of Instagram is due not only to its global dissemination but also to its demographics, mostly made up of millennials, thus making it the perfect background for understanding current trends of sustainable tourism in social media and influencer dynamics. The study crosses quantitative content analysis and visualization techniques to explore a large dataset (>74000 entries) from Instagram’s public pages of posts related to #sustainabletourism hashtag (2012–2019) collected through a custom Python script. Data has been refined (by using reverse-geocoder at https://github.com/thampiman/ reverse-geocoder) to transform the geographic raw data (specific coordinates) in countries (according to ISO 3166-1/alpha-2) and their associated continents and/or macro-areas: North America, Central America, South America, Europe, Asia, Oceania and Africa. The main dataset includes all posts with image, destinations, caption texts, type of users (verified or not) and metrics of engagement (#likes and #comments per post). The last two elements are used as a proxy for identifying influencers. All textual informations were subsequently analyzed to identify sustainable dimensions associated to the hashtag and to classify influencers.

4 Findings and Discussion The analysis identified several ‘sustainable’ dimensions promoted on the selected social media and showed that, based on a quali-quantitative analysis of posts, there are four categories of words associated to the hashtag #sustainabletourism. These categories are: 1. Sustainable tourism (nearly 39%); 2. Tourism-related (26%); 3. Instagramspecific (19%), 4. Experiential tourism (6%) and a residual one (other – 10%). The paper presents for each dimension some examples of pictures published on Instagram (see Fig. 1).

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Category 1 - Sustainable tourism

Category 3 – Instagram-specific

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Category 2 – Tourism-related (generic)

Category 4 – Experiential tourism

Fig. 1. Examples of pictures related to categories in #sustainabletourism posts on Instagram

The first category is related to words that really belong to the real of sustainable tourism such as ecotourism, nature, responsible tourism, sustainable travel, responsible travel, conservation, wildlife, etc. This involves that igers who wrote this content (and published these pictures) were interested in spreading useful information about locations and tourist destinations that have a sincere vocation for sustainable tourism. The second category (2. Tourism-related) is based on topics such as: travel, tourism, world, people, visit, beach, island, mountains, etc. These words are, instead, quite generic and are not able to give a proper idea of what sustainable tourism means to other igers that surf the net in search of places devoted to the development of sustainability through people, planet and profit. The third category is linked with Instagram (specific) issues. In fact, influencers refer to items as: wanderlust, instatravel, travelgram, travelblogger, travelphotography, etc. It is easy to assess, looking at the pictures related to these words, that they are used only to attract the attention of a generic public who is not interested in sustainable tourism, nor in tourism in general, but that simply like to visualize ‘stories’ and photos on the well-known social media.

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Finally, the fourth category shows pictures that are typical of experiential tourism, such as: adventure, experience, explore, luxurytravel, adventuretravel, safari, biking, trekking, lodge, etc. The last category is significant as it shows another face that is usually associated to sustainable tourism: luxury and elitist experience. It must be said that for several influencers being able to find the ‘alternative’ path in tourism means also to being able to spend a huge amount of money and living an exclusive holiday. Then, the paper analyzes how the above-mentioned categories in the Instagram posts are distributed in the different geographical macro-areas. This exploration shows that “Instagram-specific” category prevails in North America, while “Experiential tourism” is more frequent in Africa. For “Sustainable Tourism” and “Tourism generic” average values are higher than other categories (as expected) but quite close among different areas (see Table 1). Table 1. Average presence (range 0–1) of categories per macro-areas Continents

Africa Central America North America South America Asia Europe Oceania Total

Avg. of Experiential Tourism 0.65 0.49

Avg. of Instagramspecific 0.78 0.74

Avg. of Sustainable Tourism 0.98 0.95

Avg. of Tourism generic 0.97 0.95

0.49

0.83

0.88

0.92

0.49

0.65

0.92

0.91

0.43 0.35 0.39 0.45

0.79 0.73 0.79 0.75

0.95 0.91 0.85 0.93

0.95 0.94 0.92 0.94

The paper also tries to connect the role of influencers with different destinations aside from geographical distance. This is the reason why the two-mode graph in Fig. 2 represents the influencers related to the macro-areas they are connected. The colors are useful to distinguish the difference between the two categories of users (verified users: red; common users: blue) and the macro-areas (green). Sizes are stable and not related to the network statistics, this allowed clearer readability. One of the most interesting aspects of this graph is the calculated distance between the macro-areas, based on the sharing rate of influencers. Basing on the geographic configuration, taking Europe as a reference point, the position of the three areas of the America continent is very similar to the geographic one, but the most important aspect is that they are closer than Africa. Also, Asia seems to be in its geographic position too, even if it presents many influencers specific to this area (i.e. not connected with any other destinations). An interesting point of view is also represented by the distance between Oceania, America and Europe.

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Fig. 2. Two-mode graph between destinations (macro-areas) and Igers influencers.

The network seems in fact to reflect the conventional meaning of “cultural west” [28], thus stressing the specificity of social media debate on sustainable tourism both in Asia and in Africa.

5 Implications and Further Research The paper found an accentuated attention on sustainable tourism communication on Instagram. It was highlighted that the main topics related to this specific theme are not always sincerely related to the real meaning of sustainable tourism. In fact, sustainable tourism often seems to be used as an ‘empty container’ where each influencer put its perception on this complex realm. More interestingly, users and influencers on Instagram seem to put more emphasis on different areas - not always mainstream tourist destinations - which can be considered as ‘laboratories’ where social media communication of sustainable tourism seem effective. This could suggest to further analyze in future research how to employ influencers to sustain planner and local policy makers in their efforts to modify tourist decisional behaviours and create tourist demand for services and experiences that meaningfully sustain the responsible face of tourism [29]. It seems moreover that those influencers, who really are interested in inspiring a change, need to work on spreading the adoption of sustainable behaviours without forgetting the practical/economic side of their job. Balancing their requests with public

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policy needs, however, could contribute to generate a virtuous circle for territorial development. Therefore, considering the fact that this paper can be considered as a first step in the analysis of sustainable tourism communication on Instagram, a research agenda can be structured. Thank to further explorations on the topic, future studies could be focussed on: – analyse which are the most cited nations, paying attention if the topic is more spread on coastal or inland areas; – explore influencers’ profiles, including verified and non-verified, users and focus on igers’ personal and professional features; – connect the users with urban and rural destinations aside from geographical distance; – explore a method to determine the economic value of influencers in territorial dynamics.

References 1. Sigala, M., Christou, E., Gretzel, U.: Social Media in Travel, Tourism and Hospitality: Theory, Practice and Cases. Ashgate Publishing Ltd., Farnham (2012) 2. Kavoura, A., Stavrianea, A.: Economic and social aspects from social media’s implementation as a strategic innovative marketing tool in the tourism industry. Procedia Econ. Finan. 14, 303–312 (2014) 3. Vollero, A., Siano, A., Sardanelli, D.: Opinion leaders go online: an empirical study on interpersonal influence on purchase intentions in e-retailing. In: Dixit, S. (ed.) E-Retailing Challenges and Opportunities in the Global Marketplace, pp. 145–166. IGI Global (2016) 4. Jalilvand, M.R.: Word-of-mouth vs. mass media: their contributions to destination image formation. Anatolia 28(2), 151–162 (2017) 5. Freberg, K., Graham, K., McGaughey, K., Freberg, L.A.: Who are the social media influencers? a study of public perceptions of personality. Pub. Relat. Rev. 37(1), 90–92 (2011) 6. Agapito, D., Oom do Valle, P., da Costa Mendes, J.: The cognitive-affective-conative model of destination image: a confirmatory analysis. J. Travel Tourism Mark. 30(5), 471–481 (2013) 7. Stepchenkova, S., Zhan, F.: Visual destination images of Peru: comparative content analysis of DMO and user-generated photography. Tourism Manage. 36, 590–601 (2013) 8. Hall, C.M.: Intervening in academic interventions: framing social marketing’s potential for successful sustainable tourism behavioural change. J. Sustain. Tourism 24(3), 350–375 (2016) 9. Domínguez Vila, E., González, A.: CRM as a key element in online commercialization: analysis of tourism search and metasearch engines. In: Rocha, Á., Abreu, A., de Carvalho, J. V., Liberato, D., González, E.A., Liberato, P. (eds.) Advances in Tourism, Technology and Smart Systems: Proceedings of ICOTTS 2019, vol. 171, Springer Nature (2020) 10. Ge, J., Gretzel, U.: A taxonomy of value co-creation on Weibo – a communication perspective. Int. J. Contemp. Hospitality Manage. 30(4), 2075–2092 (2018) 11. Magno, F., Cassia, F.: The impact of social media influencers in tourism. Anatolia 29(2), 288–290 (2018)

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12. Djafarova, E., Rushworth, C.: Exploring the credibility of online celebrities’ Instagram profiles in influencing the purchase decisions of young female users. Comput. Hum. Behav. 68, 1–7 (2017) 13. Perpiña, L., Camprubí, R., Prats, L.: Destination image versus risk perception. J. Hospitality Tourism Res. 43(1), 3–19 (2019) 14. Ryan, C., Cave, J.: Structuring destination image: a qualitative approach. J. Travel Res. 44 (2), 143–150 (2005) 15. Pan, S., Lee, J., Tsai, H.: Travel photos: motivations, image dimensions, and affective qualities of places. Tourism Manage. 40, 59–69 (2014) 16. Caton, K., Santos, C.A.: Images of the other: selling study abroad in a postcolonial world. J. Travel Res. 48(2), 191–204 (2009) 17. Wu, S.I., Wang, W.H.: Impact of CSR perception on brand image, brand attitude and buying willingness: a study of a global café. Int. J. Mark. Stud. 6(6), 43–56 (2014) 18. Halme, M., Roome, N., Dobers, P.: Corporate responsibility: reflections on context and consequences. Scand. J. Manage. 25(1), 1–9 (2009) 19. Demetriou, M., Papasolomou, I., Vrontis, D.: Cause-related marketing: building the corporate image while supporting worthwhile causes. J. Brand Manage. 17(4), 266–278 (2010) 20. Chung, K.H., Yu, J.E., Choi, M.G., Shin, J.I.: The effects of CSR on customer satisfaction and loyalty in China: the moderating role of corporate image. J. Econ. Bus. Manage. 3(5), 542–547 (2015) 21. Palacios-Florencio, B., Garcíadel Junco, J., Castellanos-Verdugo, M., Rosa-Díaz, I.M.: Trust as mediator of corporate social responsibility, image and loyalty in the hotel sector. J. Sustain. Tourism 26(7), 1273–1289 (2018) 22. UNEP, UNWTO: Making Tourism More Sustainable - A Guide for Policy Makers (2005) 23. UN: The sustainable development goals report 2017 New York, USA, United Nations (UN) (2017) 24. Govers, R., Go, F.M., Kumar, K.: Promoting tourism destination image. J. Travel Res. 46(1), 15–23 (2007) 25. Baloglu, S., McCleary, K.W.: A model of destination image formation. Ann. Tourism Res. 26(4), 868–897 (1999) 26. Gretzel, U.: Influencer marketing in travel and tourism. In: Advances in Social Media for Travel, Tourism and Hospitality, pp. 147–156. Routledge (2017) 27. Ong, Y.X., Ito, N.: “I want to go there too!” evaluating social media influencer marketing effectiveness: a case study of Hokkaido’s DMO. In: Information and Communication Technologies in Tourism 2019, pp. 132–144. Springer, Cham (2019) 28. Lewis, M.W., Wigen, K.E., Wigen, K.: The Myth of Continents: A Critique of Metageography. University of California Press, Berkeley (1997) 29. Leung, D., Law, R., Van Hoof, H., Buhalis, D.: Social media in tourism and hospitality: a literature review. J. Travel Tourism Mark. 30(1–2), 3–22 (2013)

Environmental Health Valuation Through Real Estate Prices Francesca Salvo1, Pierluigi Morano2, Manuela De Ruggiero1(&), and Francesco Tajani3 1

3

Department of Environmental Engineering, University of Calabria, Rende, CS, Italy [email protected], [email protected] 2 Department of Civil Engineering Science and Architecture, Polytechnic University of Bari, Bari, Italy [email protected] Department of Architecture and Design, Sapienza University of Rome, Rome, Italy [email protected]

Abstract. Environmental health studies are a really central topic in the debate about territorial development. Territorial transformation was sometimes characterized by interesting phenomena of enhancement and requalification, sometimes by speculative tensions inattentive to the quality of life systems and to the sustainability of processes by territory itself. This kind of attitude has often caused an environmental health decay and a significant decrease in human quality life. The main obstacle to the possibility of orienting the transformation initiatives of the territory in the perspective of sustainability is to be found in the scarce ability to understand the intrinsic economic value that these operations incorporate. We are now used to thinking exclusively in terms of market and income, so territorial interventions are almost guided exclusively by economic evaluations of and speculative ones. In a transdisciplinary perspective, the appraisal analysis can provide an important interpretation key in the analysis of territorial dynamics, intended to guide urban development policies in the logic of sustainability. This paper intends to study some environmental feedbacks in coastal areas and to demonstrate how real estate prices can be used as a marker of environmental health, examining relationships between real estate prices and environmental variables through the use of the Hedonic Model. The hypothesis has been validated by the application of the proposed methodology to a case study in Fuscaldo, in the south of Italy. The results show a correlation between environmental health and real estate prices, proving that an excessive urbanization and a poor attention to environmental issues lead to a decrease in human quality life. Keywords: Quality of life


Quantity of life
Real estate prices

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 768–778, 2021. https://doi.org/10.1007/978-3-030-48279-4_72

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1 Introduction The territorial development and its transformation were sometimes characterized by interesting phenomena of valorization and requalification, sometimes by speculative tensions inattentive to the quality of life systems and the sustainability of processes by territory itself. This is testified by the great attention paid to the issue of soil consumption, which despite the slowdown in recent years, continues to grow, causing the decline of ecological and environmental potential [1]. The direct consequence is the loss of resources, functions and ecosystem services. And this both in urban areas and in more peripheral and natural ones, including those intended for tourist use. The main obstacle to the possibility to orientate the transformation initiatives towards the perspective of sustainability is to be found in the scarce ability to understand the intrinsic economic value that these operations embody. We are now used to think exclusively in terms of market and income, therefore territorial interventions are almost guided exclusively by economic. In order to let the Anthropocene homo acquire full awareness regarding the importance of the environmental and ecological functions of tangible and intangible assets, it is essential to provide him with quantitative tools and indicators regarding the economic value of environmental resources. It therefore seems essential to quantitatively prove that including environmental valuation in the decision-making produces important benefits, also economic ones; the assessment of the so-called intangible resources can guarantee the community a saving if not an overall gain, which is a real economic savings, quantifiable in monetary terms. The aim of this paper is to demonstrate how an appraisal analysis of the real estate prices and of the related variables can help monitoring environmental health and quality of life, offering tools able to help territorial governance in managing territorial interventions.

2 Background Research We well know that the development of the territory, which involves the production of goods and services to satisfy people’s desires and needs, must be intended to improve the quality of human life, intended as a state of well-being in a condition of environmental health. When defining the concept of human quality life, the importance of the environmental context is recalled. It’s central the idea that human well-being has to be intended not only by a social, economic and educational point of view [2, 3], but also according to relationship between men and their everyday urban environment in terms of air and water quality, housing quality, crowding level, urban congestion, population density, etc. [4]. This means that in planning territorial interventions it should always be kept in mind that the environmental system should be able to support, but above all to endure, all human activities related to social and economic development, without its delicate balance being troubled [5].

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An essential condition for this to happen is that the production of goods and services must not exceed what Nijcamp defines as critical levels [6]. Sometimes it’s used to talk about “carrying capacity”, such as that impassable limit beyond which the further production of goods and services, rather than causing a further increase in wellbeing, produces a reversal of trend and therefore a decline in human quality life [7–10]. The proper planning of landscape territory, which we could define as progress, should therefore be achieved as an effective sum of goods and services (which we could define as Quantity of Life) and well-being (which we could define as Quality of Life). However, this sum of contributions has not always been effective, because the rapid and often disorganized transformation of the landscape, which has often been characterized by an indiscriminate use of land for building purposes, albeit intended for the production of goods and services, has exceeded the critical limits of environmental sustainability. While Quantity of Life increases linearly with the production of goods and services, such as construction of buildings, efficient communication routes, availability of support services, etc. The Quality of Life has a different trend so that, after an initial increase, it begins to decrease when the re-called critical levels are crossed. Qualitative plotting the trend of the progress components, i.e. Quantity of Life QNL and Quality of Life QLLD, we could note that while the first one could be represented by a growing straight line, the second one would be represented by a bell-shaped line, differing from the desirable trend QLL [11] (Fig. 1).

Fig. 1. Human Quality Life evolution in urbanized area [11]

The delta differential between QNL and QLLD increases over time, until the growth of QLLD is no longer proportional to time, and then it begins to decrease. Point P1 represents the excess of environmental use, when negative territorial feedbacks begin to show up. Finally, the inversion point r indicates the threshold for exceeding environmental resilience, so that the quality of life, in correspondence with a further increase in the production of goods and services, rather than increasing further, begins to decrease. A study aimed at assessing the quality of life, and in particular at analyzing environmental variables, recalls for the need to find suitable methods for assessing

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intangible resources, attributable to services and ecosystem functions. Ecosystem function is the ability of natural processes and components to provide goods and services that meet, directly or indirectly, human needs and guarantee the life of all species [12]. As recalled by the Millennium Ecosystem Service (2005), the importance of ecosystem functions in supporting, regulating, provisioning and cultural consulting activities cannot be neglected in the management and territorial planning decisions, in order to create an effective and healthy environment at the same time. Ecosystem services, and more generally environmental components, therefore have a value, which is a real economic value. The appraisal of environmental assets is controversial and subject to not always explicit evaluations. The evaluation of eco-systemic services refers to ecological and cultural values [13, 14] and, more generally, is based on the assessment of the total economic value [15], defined as the sum of the value of all the fluxes of the services that the natural capital generates, suitably updated. There are many values that need to be considered in the economic assessment of the eco-systemic services: use value, related to the utility provided by consumers; option value, related to the will to assure a service in future; existence value, related to the possibility of preserving a service from its destruction; legacy value, that refers to the possibility of using a certain service for future generations. A general analysis of copious literature reveals that over time there have been numerous proposals for assessing quality. In principle, the evaluation of the qualitative values of a resource, be it historical, monumental, artistic, environmental or religious, can be carried out according to two fundamental approaches: the economic approach and the extra-economic approach [16]. The economic approach expresses the value of resources in terms of willingness to pay and market price and takes place in a context that considers real demand and supply. The economic approach for the evaluation of the qualitative values of the architectural-environmental and cultural resources is essentially based on three quantitative procedures aimed at estimating the willingness to pay and the market price. This approach carries out monetary measures of qualitative values These procedures for evaluating environmental resources are: the hedonic price method (HPM), the travel cost method (TVM), the contingent valuation method (CVM). The first two procedures analyze the revealed preferences with the consumption of private goods complementary to the use of the qualitative resource [17, 18], the third procedure instead examines the preferences expressed (stated preferences) in a specially built virtual market [19, 20]. The extra-economic approach is independent of this real context and expresses the value through the analysis of the individual attributes. This approach finds its starting point in the theory of multi-attribute utility. This theory, which is the basis of multicriteria analyzes, is closely connected to the processes of choice and starts from the general idea that in decisions what tends to maximize is not only economic utility but also a set of other elements or criteria. This approach developed for the first time by Lancaster [21] and then by Zeleny [22], Keeney and Raiffa [23], approaches the real way of reasoning and evaluating, when make choices by each individual. In the

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selection processes, the multicriteria analysis relates in particular to the evaluation aimed at planning. The assessment procedures based on multi-criteria analysis are able to simultaneously take into account several objectives and consequently several judgment criteria, without necessarily providing for monetary quantification.

3 Methodology As we know, improvement or worsening of environmental health conditions can determine increasing or reduction in the real estate values [24]. The hypothesis of this work is that environmental health trend monitoring is possible thanks to a transdisciplinary analysis, and in particular by making an appraisal analysis based on the application of the Hedonic Model [25–27]. Hedonic Model identifies price factors according to the premise that price is determined both by internal characteristics of the asset being sold and external factors affecting it. A hedonic pricing model is often used to estimate quantitative values for environmental or ecosystem services that directly affect market prices for homes, isolating with multivariate regression techniques the contribution that the interest attribute makes to the observed price. These traits can also be the so-called intangible resources, such as ecosystem resources and services. The model is able to quantitatively evaluate the differentials of value, positive or negative ones, related to the conditions of improvement or worsening of the environmental conditions. Many studies have been drawn in order to test the Hedonic Model in environmental analysis. Garrod and Willies have used the hedonic price model to appraise the incidence of environmental attributes [28], while Powe et al. have analyzed the value of urban amenities [29]. Other studies have been conducted to valuate the contribution of green spaces [24, 30, 31] and air quality [32]. The idea is that the property price is a quantitative indicator of environmental health, and that, although it isn’t itself corresponding to the quality of life, it can still represent its progress. In fact, price is the result of the way sector operators evaluate the conditions of quality and well-being attributable to the use of the property. In more technical terms, the hypothesis is plausible because property price depends on a multiplicity of conditions and characteristics, the so-called real estate characteristics, among which the most significant is the location – territorial - environmental component, understood as the set of boundary conditions within which the property falls (in terms of services, accessibility, pollution, etc.). The hedonic method, as we said, is based on the use of multiple regression techniques, i.e. techniques used to analyze a series of data consisting of a dependent variable and one or more independent variables. The aim is to estimate a possible functional relationship existing between the dependent variable and the independent ones. In this analysis, the dependent variable is the price, the independent variables are the real estate characteristics and the relationship coefficients are the hedonic prices, which represent the positive and negative value differentials attributable to the presence/absence/amount of characteristics and conditions:

p ¼ b0 þ

Xn i¼1

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pi
x i ;

ð1Þ

where b0 means the location factor, xi are the amounts of the considered variables and pi the correspondent hedonic prices. More interesting and more useful here to see the application of the model to the case study.

4 Case Study The methodology has been tested on a case study, Fuscaldo municipality, in the Province of Cosenza (Italy). Fuscaldo is a tourist town on the sea, located on the Tyrrhenian coast of Calabria, quite next to the province municipality of Cosenza. It is a very popular tourist town. Since the 70s, it has seen a great urban expansion, characterized by the spread of tourist resorts and properties intended for residential tourism. The strong expansion has led Fuscaldo to become practically contiguous to the municipality of Paola, an important urban area for its central location in the national railway system, modifying its own connotation and becoming also a residential suburb. The working method was set in two distinct phases, the first intended to collect data, and then to acquire the observations, the second concretely oriented towards the application of the hedonic regression model and the interpretation of the results. We have acquired 65 sales data belonging to the residential property market segment, for a period between 1973 and 2014 (Source: Database of Observatory of Real Estate Market - Department of Environmental Engineering - University of Calabria). For each data, the following real estate characteristics were noted: – – – – – – –

Sale date (DAT), measured in years; Number of restrooms (SER), measured in n°; Floor level (LIV), measured in n°; Distance from the sea (DIS), measured in meters; Urbanization level (URB), measured by score; Shoreline variation (SHORE), measured by score; Protection systems (PROT), measured by score.

Urbanization level (URB), shoreline variation (SHORE), protection systems (PROT), are measured by a score assigned through a quantitative judgment based on objectively detectable conditions and their corresponding scale level, as reported in Table 1. On the basis of the considered variables, the regression equation may be written as: p ¼b0 þ pDAT
xDAT þ pSER
xSER þ pLIV
xLIV þ pDIS
xDIS þ pURB
xURB þ pSHORE
xSHORE þ pPROT
xPROT Sample statistics are shown in Table 2.

ð2Þ

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F. Salvo et al. Table 1. Nomenclators table

URB (score) 0 1

Percentage change 50%

SHORE (score) −1 1

Nourishment/Erosion Erosion Nourishment

PROT (score) 0 1 2

Presence/absence None Punctual interventions Widspread interventions

Table 2. Sample statistics Price and Characteristics Total Price [€] Average price [€/sqm] Surface [sqm] Restrooms [n°, 1-2-3] Floor Level [n°, 1,2,3] Sea Distance [mt] Urbanization level [0-1-2-3] Shoreline variation [−1, 1] Protection system [0,1,2]

Min 12,000.00 101.69 97.40 1 1 5.00 1 −1 0

Max 80,000.00 775.19 118 2 3 870.00 3 1 2

Average 46,777.78 594.33 102.24 – – 365.00 – – –

Frequency – – – 38-24-3 31-29-5 – 0-16-28-21 43-22 39-24-12

Std. Dev. 27,761.38 272.99 6.57 – – 215.31 – – –

Data about urbanization, evolution of the coast line and existence of coastal protection systems have been acquired by carrying out a diachronic mapping of the case study area with appropriate cartography, using topographical maps such as those of the IGM institute, and uploading them into geographic information systems to evaluate their evolution and changes over time. The application of the hedonic model allows us to build the appraisal function, and therefore to link the unit price to the real estate characteristics. Regression coefficients are shown in Table 3. Table 3. Regression coefficients b (

DAT )

615.23

(

SER ) (

–7.43

LIV ) (

123.76

2.41

URB

DIS ) (

( –1.65

SHORE (

–2.7

PROT (

7.17

6.81

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In particular, the intercept equal to 615.23 (€/sqm) represents the average unitary price in 2014; the other coefficients represent the hedonic prices of the other characteristics. The correlation coefficients R2 shows an appreciable ability to reproduce original data, being equal to 0.89. The change in the amount of features determines a change in the price, so that it is possible to reconnect the value of the properties to the surrounding conditions, but also to monitor, thanks to the presence of the time variable, the trend of prices over time, also attributing it to externalities, through the price index numbers.

5 Results Analyzing regression coefficients lead us to note that coastal erosion and urbanization level can be considered as negative feedbacks while the presence of shoreline protection can be interpreted as a positive one. The negative condition of the environmental health state seems to affect the evolution of real estate prices, producing a decrease. The result obtained by the application of the appraisal function enables to build the value of the average unitary price for each year and to reconstruct the corresponding index numbers, as reported in Fig. 2.

500 400 300 200 100 0 1970

1980

1990

2000

2010

2020

Fig. 2. Trend of index numbers

Once the historical series of market price has been built, it is possible to graphically display its trend, characterized by an almost bell-shaped line. We can note an upward gradient until 2000, with a revaluation of about 345%. In the following years, from 2001 to 2005, market values appear fluctuating, while it follows an important decrease in real estate prices. The decrease in the real estate values is relatable to urban expansion, which against show a progressive increase. Comparing Fig. 1 and Fig. 2, we could notice the correspondence between the trend of the index numbers and that of the quality of life, and between urbanization and the quantity of life.

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This condition led us to prove that, almost for this case study, real estate prices could be used for a quantitative assessment of environmental health state and, at the same time, for a valuation of the human wellbeing.

6 Conclusion The main obstacle to the possibility to orientate urban development towards protection of environmental health can be detected in the lack of comprehension of the intrinsic economic value that ecosistemic functions and services have. Nowadays, we are used to think exclusively in terms of market and real estate income, therefore urban transformations are guided only by economic assessments that fulfil these aspects. This study has intended to show how an inconsistent landscape urbanization and a poor attention to environmental issues can produce significant damage, also in economic terms. The multidisciplinary study has enabled to reconstruct the evolutionary trend of property prices and environmental variables and to detect the relationships between the respective changes over time. Data analysis has enabled to recognize an inversely proportional behavior between the growing urban development of the examined coastal area and the morphological evolution of its coastline and the direct proportionality between property prices and protection system. Data show also an inverse proportionality between real estate prices and environmental health when the carrying capacity of the territory is exceeded and that a little care for the environmental urban development policy negatively conditions quality of life. We have to highlight that a multidisciplinary study regarding the morphological evolution of the territory, the urban development and the property appraisal can allow the temporal reconstruction of the environmental health state. It should be specified that the real estate analysis is quite limited in time, in comparison to natural and antropic events observed, but the obtained results are, however, meaningful. At the same time, the territorial feedback analysis, able to establish the environmental health state, could be greater than those regarded in this present work, orienting future research to consider other environmental variables that might affect Human Quality Life.

References 1. Salvo, F., Zupi, M., De Ruggiero, M.: Land Consumption and urban regeneration. Evaluation principles and choice criteria. In: International Symposium on New Metropolitan Perspectives, pp. 582–589, Springer, Cham (2018) 2. Hills, J.: Inquiry into Income and Wealth, vol. 2. Joseph Rowntree Foundation, York (1995) 3. Benzeval, M., Judge, K., Whitehead, M.: Tackling Inequalities in Health. Kings Fund, London (1995)

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4. Pacione, M.: Urban environmental quality and human wellbeing—a social geographical perspective. Landscape Urban Plan. 65(1–2), 19–30 (2003) 5. Howe, C.H.: 1979 Natural Resource Economics: Issues, Analysis, and Policy. John Wiley & Sons, New York (1979) 6. Nijkamp, P.: Lo sviluppo sostenibile e la valutazione socio economica ed ambientale. In: Girard, L.F. (eds.) Estimo ed economia ambientale: le nuove frontiere nel campo della valutazione, pp. 281–304, FrancoAngeli, Milano (1993) 7. Stankey, G.H.: Carrying capacity in recreational settings: evolution, appraisal, and application. Leis. Sci. 6(4), 453–473 (1984) 8. Romeril, M.: Tourism Planning and the Concept of Carrying Capacity. UNEP, Paris (1990) 9. Butler, R.W.: The concept of carrying capacity for tourism destinations: dead or merely buried? Prog. Tour. Hosp. Res. 2(3, 4), 283–294 (1996) 10. Girard, L.F., 1993. Estimo, economia ambientale e sviluppo sostenibile. In: Girard L.F. (eds.) Estimo ed economia ambientale: le nuove frontiere nel campo della valutazione, pp. 13–43, FrancoAngeli, Milano (1993) 11. Ietto F., Salvo F., Cantasano N.: The quality of life conditioning with reference to the local environmental management. A pattern in Bivona country (Calabria, Southern Italy), Ocean and Coastal Management, vol. 102, pp. 340–349 (2014) 12. De Groot, R., Brander, L., Van Der Ploeg, S., Costanza, R., Bernard, F., Braat, L., Hussain, S., et al.: Global estimates of the value of ecosystems and their services in monetary units. Ecosyst. Serv. 1(1), 50–61 (2012) 13. Gómez-Baggethun, E., Martín-López, B., García-Llorente, M, Montes, C.: Hidden values in ecosystem services. A comparative analysis of preferences outcomes obtained with monetary and non-monetary valuation methods. In: Paper Presented at DIVERSITAS OSC2 Biodiversity and Society: Understanding Connections, Adapting To Change, 12–16 October, Capetown (2009) 14. Christie, M., Fazey, I., Cooper, R., Hyde, T., Kenter, J.O.: An evaluation of monetary and non-monetary techniques for assessing the importance of biodiversity and ecosystem services to people in countries with developing economies. Ecol. Econ. 83, 67–78 (2012) 15. Heal, G.M., Barbier, E., Boyle, K., Covich, A., Gloss, S., Hershner, C., Hoehn, J., Pringle, C., Polasky, S., Segerson, K., Shrader-Frechette, K.: Valuing Ecosystems Services: Toward Better Environmental Decision-making. National Research Council, Washington D.C., US (2005) 16. Stellin, G., Rosato, P.: La valutazione economica dei beni ambientali. UTET, Torino (1998) 17. Campbell, H.F., Brown, R.P.C.: Benefit-Cost Analysis. Financial and Economic Appraisal using Spreadsheets. Cambridge University Press, New York (2003) 18. Garrod, G.D., Willis, K.G.: Valuing goods’ characteristics: an application of the hedonic price method to environmental attributes. J. Environ. Manage. 34(1), 59–76 (1992) 19. Mitchell, R.C., Carson, R.I., Using Surveys to Value Public Good. The Contingent Valuation Method. Resources for the future, Washington, D.C. 20. Cummings, R.J., Brookshire, D.S., Schulze, W.D.: Valuing Environmental Goods. An Assessment of the Contingent Valuation Method. Rowman and Littlefield, Totowa (1986) 21. Lancaster, K.J.: A new approach to consumer theory. J. Polit. Econ. 74(2), 132–157 (1966) 22. Zeleney, M.: Multiple Criteria Decision Making. Mc Graw Hill, New York (1982) 23. Keeney, R.L., Raiffa, H.: Decisions with Multiple Objectives: Preferences and Value Tradeoffs. Cambridge University Press, New York (1993) 24. Howe, C.W.: Le frontiere nella valutazione di risorse prive di mercato: problemi e prospettive. In: Girard L.F. (eds.) Estimo ed economia ambientale: le nuove frontiere nel campo della valutazione, pp. 57–83, FrancoAngeli, Milano (1993) 25. Lancaster, K.J.: A new approach to consumer theory. J. Pol. Econ. 74, 132–157 (1966)

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Building Recovery, Property Values and Demographic Decline After the 2009 Abruzzo Earthquake Sebastiano Carbonara(&)

and Davide Stefano

Department of Architecture, Gabriele d’Annunzio University of Chieti and Pescara, Viale Pindaro 42, 65127 Pescara, Italy {s.carbonara,davide.stefano}@unich.it

Abstract. The dilapidation of building stock that has come to characterise the hillside and mountainous settlements of the region of Abruzzo in recent decades is a sign of forms of economic decline and negative demographic trends. In this situation, it is difficult to imagine occasions for a turn in events triggered by endogenous forces; instead, there is a sense of the need for public intervention and targeted economic-social policies. Indeed, in settlements lacking important resources for tourism and/or infrastructures for winter sports, it is very difficult to imagine their recovery through interventions entrusted solely to the market: often negligible property values suggest the inconvenience of any building requalification project in relation to asset or income-based objectives of valorisation. The reconstruction process put into place after the 2009 earthquake could have been interpreted and implemented within a vaster programme of interventions based on clear and defined strategic capable of guaranteeing prospects for the long-term relaunching and development of damaged areas. The initial idea behind the Reconstruction Plans appeared to confirm a similar approach. In reality, reconstruction is proceeding as a simple programme of building recovery. The paper develops this thesis by attempting to demonstrate how almost a decade after the 2009 earthquake, the funding provided to date has not produced particularly relevant effects on local economics and demographics. Keywords: Building stock
Recovery
Abruzzo earthquake reconstruction Demographic decline
Real estate market




1 A Preliminary Consideration The decades-long desertion of so many of Abruzzo’s hillside and mountainous villages is the result of a complex process linked to forms of economic decline and negative demographic trends. This has produced an extremely high number of abandoned homes and unused public buildings. In this situation it is clear how, long before 2009 (the year of the Abruzzo earthquake) no building recovery project could have been triggered by forces endogenous to local economies. If we exclude those settlements with a greater vocation for tourism (at the gates of national parks and/or dedicated to winter sports), in all others no intervention of real estate valorisation – either asset or income based – would have been © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 779–790, 2021. https://doi.org/10.1007/978-3-030-48279-4_73

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convenient: extraordinary maintenance costs are equivalent to those sustained in towns along the coast and in the plains though with entirely negligible increases in value or expected returns. Aside from considering the total and definitive abandonment of these villages, the only other alternative was State intervention, using not only the tools most commonly adopted in similar situations (fiscal bonuses, incentives, funding, etc.), but also improving the overall conditions of the territory and essential services (schools, healthcare, infrastructures, government, etc.) [1]. A similar action would provide resident populations with more reasons to remain, halting the advancement of a process of anthropic desertification and, in all likelihood, heightening the attractiveness of these villages, what is more often blessed by exceptional landscapes and a wealth of natural resources. This approach appeared to be reinforced by the initial intentions of the Reconstruction Plans for historic centres1, to be developed jointly with the regional and provincial government; an interesting solution that could have helped avoid the errors of the past by not limiting post-earthquake interventions almost exclusively to the reconstruction of buildings [2] (above all private), but instead framing the entire process within a more strategic approach able to ensure the socio-economic recovery of the territories involved2. In other words – at least at the outset – it seemed possible to imagine the realisation of a broad programme of interventions able not only to guarantee the requalification of inhabited areas and the return of evacuated populations, but also to help the city of L’Aquila and the small mountain villages of Abruzzo damaged by the earthquake recover from a condition of economic marginality and demographic decline. Instead, this process evolved in a different direction, as demonstrated not only by the re-dimensioning of the Reconstruction Plans [3], from the outset limited solely to the recovery of buildings, but also and above all, the very relevant drain on available resources entirely to the advantage of private property that, it is worth emphasising, consists primarily of second homes.

2 Introduction Almost ten years after the earthquake that devastated the city of L’Aquila and numerous other villages in the region of Abruzzo, it is perhaps possible to initiate a reflection on the effects of the reconstruction process and the considerable amounts of funding provided, in terms of the revitalisation of these settlements. We can begin with an analysis of demographic dynamics and property values before and after the earthquake. The analysis of demographic dynamics during the twenty-year period spanning the year 2009 may reveal, albeit it indirectly, whether post-earthquake interventions helped generate the preconditions linked to the quantitative-qualitative improvement of essential services [4], sufficient to arrest depopulation and improve the attractiveness of 1 2

Law 24 June 2009, n. 77, art.14, comma 5 bis. Decree issued by the Commissioner Delegated for the Reconstruction n.3 del 9.3.2010, art.5 comma 1.

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these settlements [5]. On the other hand, the cost of real estate can be considered an indicator or proxy that expresses the synthesis between the economic strength of a territory and the quality of a settlement [6]. Urban quality and the quality of buildings, while representing multidimensional concepts that can be interpreted from different vantage points and perspectives, may in any case by defined through the analyses of property values, to some degree a synthesis, effect and comprehensive measure of these phenomena. This leads to the possibility, using market price dynamics, to read an increase (or reduction) in value in relation to the presence of urban functions, the availability of services, economic and cultural resources and employment [7, 8]. The study compared ten towns3 located inside the earthquake ‘crater’ (6 in the province of Pescara and 4 in the province of L’Aquila) with four hillside and mountainous towns only marginally affected by the 2009 earthquake and with a strong vocation of tourism. The city of L’Aquila was not considered: as the administrative, territorial and functional urban centre of reference for the region, it presents particular conditions with respect to the small towns inside the crater. As such, it requires its own specific study.

3 The Costs of Reconstruction to Date To date, the financial resources provided in the wake of the 2009 Abruzzo earthquake total roughly 18 billion euros. There are already plans to provide a further 3 billion, taking the total cost of reconstruction to over 21 billion euros. It is very likely that this number will continue to grow in the coming years. According to the parliamentary report on reconstruction works inside the Abruzzo crater, presented in April 2018 [9], the total amount of funding provided as of December 2016 was just under 9 billion euros; 20% was used during the emergency phase and more than 70% for building recovery. The area of “territorial development” represented only 0.03% (Table 1). Table 1. Summary of funding for reconstruction works as of 31 December 2016 (M euros). Source: Senate of the Italian Republic, XVI Legislature Expenditures Emergency Response and Mandatory Expenses Private Reconstruction Public Reconstruction Territorial Development Other Unassigned Funding TOTAL

3

Approved funding 2,061.4

Transferred funding 2,030.4

8,015.8 2,790.0 470.3 1,734.9 2,784.0 17,856.4

Payments

%

1,838.0

20.23

5340.3 2,393.5 162.6 1,704.9

4,980.6 1,400.1 2.4 863.2

11,631.7

9,084.3

54.83 15.41 0.03 9.50 0.00 100.00

They represent approximately 18% of the comuni within the area of the earthquake crater.

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From this we can infer that the reconstruction was, from the outset, oriented exclusively toward the recovery of existing buildings, ignoring any programming of interventions to valorise territorial resources, either productive or professional, able to create employment or develop industry and, in the end, generate greater wellbeing for local communities and heighten their attractiveness. All conditions hoped for in numerous institutional documents [9]. Based on the data provided by the Special Office for the Reconstruction of L’Aquila (USRA)4, the total amount of funding provided as of February 2019 solely for the reconstruction of the regional capital exceeds 5 billion euros (Table 2). Table 2. Funding provided as of February 2019 for the reconstruction of L’Aquila. Source: USRA. Expenditures Private Reconstruction (works concluded by 4 February 2019) Public Reconstruction (funding paid to 31 October 2019) Costs of land expropriations (to 31 March 2018) TOTAL

Payments % 3,599,038,973 71.0 1,407,157,205 27.7 65,960,131 1.3 5,072,156,309 100.0

On the other hand, the monitoring carried out by the Special Office for the Reconstruction of Settlements Inside the Crater (USRC)5 makes it possible to verify the total amount spent to date for the reconstruction of all of the communities situated inside the perimeter of the crater and those outside of it (Table 3). Table 3. Funding provided from 2009 to the present for the reconstruction of the Towns inside and outside the earthquake crater. Source: USRC Expenditures Private Reconstruction Public Reconstruction (including funding not paid by USRC) Costs of the reconstruction of schools (including funding not paid by USRC) TOTAL

Payments 1,315,525,985 77,497,923 69,445,304

% 90.0 5.3 4.7

1,462,469,212

100.0

Specifically, funding for private reconstruction of the other villages inside and outside the crater amounts for 90% of the relative total. In the aforementioned parliamentary report, the completion of private reconstruction, which includes the

4

5

The USRA was instituted with Legislative Decree n. 83 in 2012, converted with modifications into Law n. 134 from 2012. The USRC, instituted with a Decree-Law in 2012, among its other responsibilities, monitors funding, implements interventions and manages the transmission of relative data to the Ministry of Economy and Finance.

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reparation of 26,000 homes damaged by the earthquake, should amount to a total cost of 4 billion euros. Notable values that, in the forecasts, despite suffering today from a certain delay in the entire process, should in any case lead to the completion of private reconstruction works by the end of 2025. At this point, the real estate of these centres will have been entirely recovered. Thus, it is legitimate to wonder which communities will benefit, and in what economic context it will be utilised. In this regard it is worth mentioning, initially, that the legislative framework regulating the provision of funding for private constructions recognised the integral funding of the costs of repairs or reconstruction solely for properties used as primary homes, in other words inhabited by stable residents. For so-called second homes, a lesser amount was provided and only for one home, in the case of owners of multiple properties. This structure was successively “unhinged” by an element that strongly altered the relationship between funding for primary homes and that for second homes, as initially foreseen. We are speaking of the concept of “common areas” in condominiums or structural aggregations.6 This concept triggered the possibility to include buildings comprised of multiple homes (both primary and non) as part of a single project, eligible for almost total funding [5]. This situation virtually equates primary and second homes in terms of their eligibility for funding and determines, in fact, as already noted [10], a greater amount for private constructions, in the order of 50% or more, with respect to the original estimate. To better comprehend the extent of this choice, it is necessary to consider that primary homes represent a very negligible percentage of the total of residential constructions that, in the best cases, does not exceed 25%, and more frequently is less than this value. Therefore, it was a questionable choice, which has drained resources for investments in infrastructural and environmental works that could have more effectively valorised and supported the territorial system. The analysis of demographic trends and real estate market prices demonstrates that, despite the funding provided in territories affected by the 2009 earthquake, there has been no decisive improvement with respect to previous conditions.

4 The Analysis The study presented here compared trends characteristic of the ten towns located inside the crater (4 in the province of L’Aquila and 6 in the province of Pescara) with those of four other towns situated outside the crater, either unaffected or only damaged during the 2009 earthquake.

6

“The terms structural aggregate refers to a collection of buildings […] which are non-homogeneous, in contact with one another or with a connection, more or less efficacious, which may interact during an earthquake or similar dynamic. A structural aggregate can thus be comprised of a single building, or by multiple buildings with generally diverse structural characteristics. The presence of an efficient seismic joint is the basis for identifying two clearly distinct aggregates.” – Source. USRA Glossary.

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The latter benefit from exceptional natural landscapes and facilities for winter sports, giving them an important position in Abruzzo’s tourism economy. The goal was to compare the dynamics between the two groups, before and after the earthquake, to understand the entity of changes in the two aspects studied. Specifically, the towns inside the crater are: Caporciano, Castelvecchio Subequo, Ofena and Poggio Picenze in the province of L’Aquila, and Brittoli, Bussi Sul Tirino, Civitella Casanova, Cugnoli, Montebello Di Bertona and Popoli in the province of Pescara; outside the crater the study analysed the towns of Alfedena, Rivisondoli, Roccaraso and Villetta Barrea, all in the province of L’Aquila (Fig. 1).

Fig. 1. Location of the towns analysed. Map by the authors

5 Demographic Decline in Towns Affected by the Earthquake The study reconstructed demographic statistics7 for resident populations8 in the towns analysed (Fig. 2), characterised, like almost all of Italy’s small towns9 by a slow and continuous exodus [11]. In Abruzzo, the 2009 earthquake undoubtedly contributed to a rise in this phenomenon, though with diverse effects in different areas.

7 8

9

Source: www.tuttitalia.it, based on ISTAT data. The term resident population refers to the population comprised of people who habitually reside in the settlement begin studied – definition taken from “15th General Census of the Population and Inhabitations”, ISTAT October 2011. Small comuni are defined by Law 6 October 2017 n. 158, art. 1 comma 2.

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Fig. 2. Percentage variation in the resident population between 2001 and 2017. Charts by the authors based on ISTAT data.

Percentage variations in the resident population10 calculated between 2001 and 201711 reveal a progressive diminution in all of the towns, with the exception of Poggio Picenze. It is evident how, since 2001, a process of anthropic desertification can be observed in almost all of the towns studied, albeit with diverse methods. In this regard, it is possible to distinguish between three different situations that more clearly describe the effects generated by the earthquake: negligible, relevant and determinant. The towns of Brittoli and Bussi sul Tirino present an almost constant process of depopulation, regardless of the 2009 earthquake. In these towns, there was a decrease in the number of residents aligned with trends during the previous years (negligible effect). In the towns of Civitella Casanova and Montebello di Bertona, the earthquake surely contributed to a rise in this phenomenon, given the significant variation in demographics during the following years (relevant effect). Finally, the towns of Caporciano, Cugnoli, Ofena and Popoli showed a notable resilience toward the phenomenon of abandonment until 2009–2010; following the earthquake, this relative stability changed. In particular, Ofena and Caporciano have suffered from a population decline in the range of 20% over the past 10 years (determinant effect) (Fig. 3). A separate comment must be made for Poggio Picenze, where the 2009 earthquake had only a “temporary” effect, blocking a rise in the population until 2011, after which its once again continued to grow. It is possible that in this case the effect of abandonment was in part mitigated, if not entirely annulled, by the town’s proximity to the industrial centre of Bazzano and the city of L’Aquila.

10

11

The demographic trend is expressed using the methodology adopted by ISTAT, in other words using the procedure reconstruction - population calculated between censuses of the resident population based both on Censuses made in 2001 and 2011 and by examining demographic movements (births, deaths, migrations) communicated by local governments to the statistics institute. Author's elaborations on National Institute of Statistics (ISTAT) data.

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Fig. 3. Results of the 2009 earthquake on demographic dynamics. Charts by the authors.

In the towns situated outside the crater, the study revealed an inverse trend, with an increase in the resident population. A slight discordance must be noted for the town of Rivisondoli: despite small annual shifts, in some cases negative, the final balance of the resident population during the period analysed is in any case positive (Fig. 4).

Fig. 4. Percentage variation in the resident population from 2001 to the present in the towns of Alfedena, Roccaraso, Rivisondoli and Villetta Barrea. Charts by the authors.

6 Property Values Using data provided by the Italian Revenue Agency’s Osservatorio del Mercato Immobiliare, the study reconstructed the historic series of real estate market prices in historic centres12 from 2006 to the first semester of 2018. The reconstruction of this trend reveals – both for the eight13 towns inside the crater and the four “tourist” destinations – a “parabolic” movement that mirrors a national trend: the movement of prices … since 2012… continues during 2017 [12] (Fig. 5).

12 13

Area: Central; Zone Code: B1; Typology: Civil residences; State of conservation: normal. Excluding the towns of Castelvecchio Subequo and Poggio Picenze for which the available data was insufficient.

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Fig. 5. Average trends in housing prices. Charts by the authors based on data provided by the Italian Revenue Agency’s OMI.

Thus, prices dropped in both groups of towns; this parabola peaked in late 2009early 2012 at an average price of €615/m2 for the towns inside the crater and €2,346/m2 for those in the tourist destinations. In 2018 the two values diminished, respectively, to €591/m2 and €1,620/m2. In percentage terms, the reduction in the tourist destinations was more relevant (−31% compared to −9% inside the crater) reflecting the trend plausibly explained by the aforementioned dynamics (Fig. 6).

Fig. 6. Box-plot of real estate prices (except 2009). Charts by the authors.

For the towns inside the crater, the limited reduction in average prices cannot be interpreted as appreciable, in virtue of its minimum level. In other words, an average unitary price in the range of 550–600 euros per square metre to some degree represents

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an “incompressible” price, below which – also in consideration of the extremely limited number of transactions14- it would be possible to suppose the absence of any balance between demand and supply.

7 Conclusions The elements analysed in this text, the first results of a study that certainly merits further verifications and investigations, tend toward a reductive opinion of the overall results of the reconstruction. Ten years after the earthquake, the notable public funding provided does not appear to have inverted – at least in the ten towns analysed – the negative demographic trend of the past twenty years, nor generated a rise in property values. These two indicators question the quality of the expenditures made and permit the legitimate supposition of a defect in the very structure of the entire process of reconstruction. In the towns located inside the crater, excluding the city of L’Aquila, almost all available public funding was invested in recovering private property [13], for the most part “second homes”. Any other intervention not meeting this definition received no funding. Yet, the ancient and simultaneously innovative idea of proceeding, in the wake of the Abruzzo earthquake, with the development of Reconstruction Plans (to some degree recalling the plans for the reconstruction of homes damaged during the war and defined in Legislative Decree Luogotenenziale n. 154/1945), hinted at other procedures and other choices [14]. For example, modifications to infrastructural and environmental systems. One example is offered by the fate of projects linked to the structure of the territory; some settlements face relevant issues due to the instability of hillsides; the securing of areas affected by or subject to landslides was initially considered in the reconstruction plans, only to be entirely set aside later. By focusing all attention on the recovery of buildings and restoring basic infrastructural networks, the process renounced even fundamental projects for the safety of the population, in other words, those linked to the Minimum Urban Structure, represented by a grouping of buildings, streets and spaces that must be secured in order to guarantee the safety of a population fleeing during an earthquake. The use of resources for the post-earthquake reconstruction in Abruzzo thus raises a number of questions and recalls the serious criticisms expressed at the time by the parliamentary committees that, on more than one occasion, analysed the results of the public funding provided in the wake of the different earthquakes that struck Italy during the second half of the twentieth century: “… flows of funding directed toward … the reconstruction of private homes instead of public works … a model that cascades down into territorial plans, rigidly interconnected from the highest down to the lowest 14

The average value of transactions inside the crater, over the course of twelve years, oscillates between a minimum of 0.8 for the town of Brittoli and 15.4 for the town of Popoli; the other 4 comuni do not exceed 4 transactions/year.

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level …insufficiency of the institutional system commissioned with managing and coordinating the activities … and … controlling the evolution of spending”.15 These considerations confirm once again the necessity to reconsider public intervention in the wake of natural catatrosophes and earthquakes in particular. The solidarity-based approach adopted by the Italian State, which entirely finances the reconstruction of private buildings – in addition to public properties and infrastructures – is, in fact, both ineffective and inefficient. While on the one hand public intervention is reassuring for the populations involved, on the other hand it provides uncertain results, which are manifest in the inadequate relationship between good original intentions and results achieved. The perspective suggested by the investigation presented here recalls the necessity to rethink forms of public intervention in private post-earthquake reconstruction, beginning with the underlying hypothesis of a national fund, based on a mechanism of risk evaluation and structured in accordance with a plan for economic-financial and social sustainability.

References 1. Chen, H., Maki, N., Hayashi, H.: Disaster resilience and population ageing: the 1995 Kobe and 2004 Chuetsu earthquakes in Japan. Disasters 38(2), 291–309 (2014). https://doi.org/10. 1111/disa.12048 2. Markhvida, M., Baker, J.W.: Unification of Seismic Performance Estimation and Real Estate Investment Analysis to Model Post-Earthquake Building Repair Decisions. Earthq. Spectra 34(4), 1787–1808 (2018). https://doi.org/10.1193/030118EQS048M 3. Di Giovanni, G.: Post-earthquake recovery in peripheral areas: The paradox of small municipalities’ reconstruction process in Abruzzo (Italy). Ital. J. Plan. Pract. 6(1), 110–139 (2016) 4. Monaco, F., Tortorella, W.: I Comuni della Strategia Nazionale Aree Interne. Prima edizione - 2015, IFEL Fondazione ANCI, 2015 5. Tramontana, C., Mallamace, S.: Patrimonio edilizio inutilizzato e valorizzazione dei centri storici: strumenti normativi e spunti procedurali. LaborEst 15(1), 5–12 (2017). https://doi. org/10.19254/LaborEst.15.01 6. Mollica, E., Massimo, D.E.: Valutazione degli strumenti del territorio e strumenti GIS. Aestimum 32, 710–757 (2002). https://doi.org/10.13128/aestimum-6782 7. Mollica, E.: La tematica economica nel recupero dei centri storici della Calabria. In: Book La tematica economica nel recupero dei centri storici della Calabria. Series La tematica economica nel recupero dei centri storici della Calabria 1, Editor ed.^eds., Gangemi, 1991, pp. 108–114 8. Garmaise, M.J., Moskowits, T.J.: Catastrophic risk and credit markets. J. Finance 64(2), 657–707 (2009). https://doi.org/10.1111/j.1540-6261.2009.01446.x 9. Finocchiaro, A.: Relazione sullo stato di avanzamento del processo di ricostruzione postsismica nella regione Abruzzo (Aggiornata al 31 dicembre 2016), X.L. Senato della Repubblica (2017)

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Bicameral Committee for Belice, 2000 and Italian Chamber of Deputies, 2009.

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10. Carbonara, S.: La stima dei costi del patrimonio edilizio privato nella ricostruzione postsismica abruzzese: un’analisi critica delle procedure utilizzate. Territorio 70, 119–125 (2014). https://doi.org/10.3280/tr2017-070019 11. Decaro, A: Agenda Controesodo, nuovi assetti e politiche per il sistema locale. In: Proc. XVII Conferenza Nazionale ANCI piccoli Comuni (2017) 12. Guerrieri, G.: Rapporto Immobiliare 2018. Osservatorio Mercato Immobiliare, Agenzia delle Entrate (2018) 13. Carbonara, S., Cerasa, D., Sclocco, T., Spacone, E.: A preliminary estimate of the rebuilding costs for the towns of the Abruzzo region affected by the April 2009 earthquake: An alternate approach to current legislative procedures. Computational Science and Its Applications ICCSA 2015, vol. 9157, 2015, pp. 269–283; https://doi.org/10.1007/978-3-319-21470-2_19 14. Manganelli, B., Vona, M., Tataranna, S.: La piattaforma HBIM per la conservazione e la gestione sostenibile dei centri storici. LaborEst, vol. 19, no. 1 (2019)

Exploratory Data Analysis on Private Crimes Related to Illegal Land Take in Italy Massimiliano Bencardino1(&) 1

and Luigi Valanzano2

Territorial Development Observatory (OST), Department of Political and Communication Sciences, University of Salerno, 84084 Fisciano, SA, Italy [email protected] 2 Department of Cultural Heritage Sciences, University of Salerno, 84084 Fisciano, SA, Italy [email protected]

Abstract. The aggression to the territory, legal or illegal, in Italy assumes a particular importance in the processes of organization of the anthropized space. The present work is a first exploratory analysis of illegal land take, as part of a wider project of the Territorial Development Observatory, aimed at capturing the relationships between crimes recognized by the judgements of the Supreme Court and socio-economic variables provided by various sources (ISTAT, Minister of economics and finance and Urban Index) on the Italian territory. Therefore, the analysis is conducted through statistical regression models and spatial empirical analysis, which also make use of GIS tools. This paper is the result of the joint work of both Authors, to which the paper has to be attributed in equal parts. Keywords: Private crimes information systems


Land take
Territorial planning
Geographic

1 Introduction and Purpose of the Work The aggression to the territory, legal or illegal, assumes a particular relevance in the processes of organization of the anthropized space [1, 2]. A legal land take is associated, particularly in Italy, with different types of illegal land use showing different purposes and nature, being carried out in a widespread way on the national territory both by private citizens and by entrepreneurial subjects [3]. This work is a first exploratory analysis of illegal land take, as part of a wider project of the Territorial Development Observatory, aimed at capturing the relationships between the crimes recognized by the Judgements of the Supreme Court and socio-economic variables provided by various sources on the Italian territory. The analysis starts, therefore, from the data collected by the judgments of the Italian Supreme Court concerning crimes with the purpose of illegal occupation of land. These data, collected over a period ranging from 2013 to 2019, were stored in a database, classified according to certain parameters (such as soil ownership, the seriousness of the crime, the extent of abuse in square meters, etc.) and then geo-referenced. These © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 791–801, 2021. https://doi.org/10.1007/978-3-030-48279-4_74

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data were then related to socio-economic variables taken from various databases provided by National Institutes (National Institute of Statistics, Minister of Economy and Finance and Department for programming and coordinating Economic Policy), in order to identify the territorial variables that most affect the processes of formation of illegal land occupation.

2 Explorative Analysis of Variables This section discusses the method and the results of the explorative analysis performed. This analysis is carried out through regression. A detailed analysis of the sample has underlined the presence of outliers and leverage points among the observations. To take into account those values without reducing the sample a robust regression with Mestimation was performed. This model was introduced appositely for reduce the OLS sensibility to outliers and can be used in any situation where the OLS is used [4, 5]. Differently from other studies [6] which use crime occurrence as dependent variable, this paper uses the illegal use intensity as the amount of m2 resulting from the abuse which is considered a reliable indicator of criminal practices [7]. The study preliminarily investigates the impacts of some demographic variables on the intensity of the land illegal use, in terms of area (square meters) illegally taken by private. The analysis takes into account the whole sample of 248 observation of illegal use of the soil. The regression results are provided in Table 1.

Table 1. Regression results summary. Demographic variables Coefficient Significance code Standard errors Type of soil 104,13 (150,42) Crime in association (art. 110) 94,23 (109,24) Mafia-type organization (art. 416) 2483,09 **** (441,73) Housing dispersion 3794,78 **** (1095,78) Housing crowding index 187,10 * (110,93) Rate of non-use of buildings −5,08 (5,80) Percentage of land use 1,20 (6,53) Percentage of coastal land use 6,34 * (3,34) Population change (2001–2011) −0,32 (7,89) Income from dependent employment −0,07 *** (0,03) Building income 0,15 (0,12) Households living in owned houses 33,30 *** (11,51) Intercept −1442,42 (1018,60) R2 0.32 Wald test (p-value) 8.3e−11 Significance codes: 0 ‘***’ 0.001 ‘**’ 0.01 ‘*’ 0.05 Standard errors are reported in parenthesis.

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The results of the analysis show that the mafia-type crime (as defined by the art. 416 Penal Code) has a significant impact on the intensity of illegal land use: i.e. the extent (in terms of square meters) of the offence increases. In addition, positive correlations, with a high significance code, are shown between the index of housing dispersion and the extent of the offence, i.e. as the dispersion of housing increases, the average value of the area of the offence increases. This may be due both to a natural increase in the availability of space in peri-urban areas and to the urban fabric, but it may also be the result of a sort of active vigilance that the city exercises over the commission of the crime with respect to areas with a thinned population, which are therefore more vulnerable because they are far from the “eyes of the neighbor”. This result is in line with Quesada-Ruiz et al. [8] who argue that urban sprawl is one of the main causes of the proliferation of illegal landfills due to their low traceability. If this is true and it is considered that the data is derived from the analysis of the judgements of the Italian Cassation Court, the crimes detected in the peripheral areas can be a testimony by default of the totality of the illegalities really present on the territory. Equally significant, although with a minor significance code, are the negative correlations with the income from dependent employment, i.e. the surface of the abuse grows in reverse to the average income from dependent employment in the municipality where the crime is committed. The poorest territories therefore have larger areas of abuse and are thus more vulnerable to illegality in land use [9]. Finally, there is also a positive relationship with the territories that have a higher proportion of households in owned housing. The percentages of households living in owned houses are very high in Italy but the distribution of ownership in Italy is quite uneven and follows a decreasing spatial trend from North to South and from rural to urban areas, but finds the lowest values in Palermo, Reggio Calabria and the metropolitan area of Naples. That said, the statistical regression shows that where there is a greater presence of families in owned houses the measure of abuse is greater.

3 Spatial Analysis An initial analysis aimed at representing the spatial distribution of crimes of a private nature in relation to the extent of the offence and the type of conviction shows that the offence of Mafia-Type crime is very residual with respect to crimes in association and individual crimes (Fig. 1). This figure, on the other hand, changes sensitively if it is associated with crimes of an entrepreneurial nature [10]. If we analyze the regional distribution of the data (Table 2) it is immediately evident how the phenomenon assumes, in the analytical range considered, a greater incidence in the southern territory. The regions where more crimes are committed are in fact Lazio, Campania, Puglia, Calabria and Sicilia. From Fig. 1 we can easily deduce the areas with a higher spatial density of crimes: the lower Lazio, the metropolitan area of Naples, the Apulian provinces of Brindisi and Lecce, the Calabrian and Sicilian coasts.

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Fig. 1. Illegal land use intensity by type of crime.

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In three of these areas there are also the very few cases of criminal association offences, namely in the metropolitan area of Naples, in the province of Brindisi and in the province of Reggio Calabria. Campania in particular is the first both in terms of number of crimes and incidence of crimes on the population (10.3 crimes per million inhabitants), followed by Sicilia, Calabria and Puglia, respectively with 9.9, 9.2 and 9.1 crimes per million inhabitants. The Northern region with the highest number of offences is the Liguria Region, with 5.1 offences per million inhabitants. There are no crimes in Molise and Val d’Aosta. For a more detailed analysis, we will now analyze the independent variables that in the regression analysis showed a higher influence on the intensity of illegal land use: the housing dispersion, the average income from dependent employment and the households living in owned houses. The analysis is carried out through thematic cartographies and GIS spatial analysis aimed to detect spatial associations.

Table 2. Crime distribution by Region Region Piemonte Lombardia Trentino Alto Adige Veneto Friuli Venezia Giulia Liguria EmiliaRomagna Toscana Umbria Marche Lazio Abruzzo Campania Puglia Basilicata Calabria Sicilia Sardegna Italia

Mafia-type crime

Crime in association 1 1

Individual crime

1

3

Crimes per million inhabitants 0.2 0.4 0.9

3 1

1 4 1

1

1 1

0.2 0.8

5 1

3 1

8 2

5.1 0.4

2 1

1

3 1 1 36 8 60 37 3 18 50 13 248

0.8 1.1 0.7 6.1 6.1 10.3 9.1 5.3 9.2 9.9 7.9 4.1

1

1 1

Total

21 5 24 22 2 6 30 5 127

1 15 3 35 14 1 11 20 8 118

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Starting from the first of the mentioned variables, it can be observed (in Fig. 2) how there is a positive incidence of housing dispersion on illegal land take with a greater area of abuse in the lower Lazio and Puglia Regions or in the more peripheral areas of the metropolitan area of Naples. Offences are identified in the coastal area (Gaeta or Capilungo), in the urban peripheries of minor centers, such as Rieti, Cassino, Fasano or Francavilla Fontana and in the municipalities of the urban crown of Naples, Orta di Atella and Poggiomarino. Evidence of such correlations, although with lower intensity, can also be found in the peripheral areas of Imperia, Pavia and Bergamo. In the same way, lesser housing dispersions correspond to smaller areas of illegal crimes in the metropolitan areas of Rome, Naples, Palermo, Catania and Reggio Calabria, as well as in the urban areas of Vibo Valentia and Crotone. In relation to the average municipal income from dependent employment, it can be noted that this variable assumes a positive correlation with the extent of the crime and that in areas with a lower average municipal wealth the illegal land take is higher both in terms of quantity and in terms of crime dimension (Fig. 3). We find evidence of this in the urban periphery of Naples, in the Apulian provinces of Brindisi and Lecce, in the province of Crotone and to a lesser extent in lower Lazio and in Rieti. The empirical evidence recorded in Lombardia, on the other hand, appears to be a statistical outlier, in which high average municipal incomes correspond to crimes with large areas of illegal occupation. With reference to the third variable, the measure of the crime is analyzed in relation to the title of occupation of the house by the families, in the municipalities under analysis. Thus, it is found that in the territories with high percentages of families living in owned dwellings there are larger areas of illegal occupation of land. This correspondence is found in the Apulian provinces, in the Lazio provinces of Rieti and Civitavecchia, in the province of Trieste and in Lombardia (Fig. 4). However, this correspondence is not found in the metropolitan area of Naples, Reggio Calabria or Barletta. This may be due to the fact that these areas (in particular the first two) represent territories that historically have an endowment of proprietary houses far below the national average. On the whole, the analysis carried out shows a picture of private illegality in land occupation that mostly affects Southern Italy, which rarely leads to a Mafia-Type crime and which grows in size in the peripheral areas of the country, with low incomes, higher housing dispersion indices and higher property titles. The empirical evidence therefore confirms that illegal land use seems to follow the same dynamics of legal take, which is demonstrated to be higher in small and peripheral municipalities than in larger municipalities [1, 2, 11–13].

Exploratory Data Analysis on Private Crimes

Fig. 2. Illegal land use intensity by housing dispersion.

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Fig. 3. Illegal land use intensity by average income from dependent employment.

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Fig. 4. Illegal land use intensity by type of housing (owned or rent).

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4 Conclusions and Research Perspectives In this work, an attempt was made to investigate the existence of correlations between the crimes associated with illegal land use and socio-economic variables. To do this, a preliminary analysis was carried out between the illegal land use intensity and some socio-economic variables, representative of the contexts where the crime is committed. The analysis has shown how the incidence of the crime (measured in square meters of the occupied surface) grows in the peripheral areas of the country, with low incomes, higher housing dispersion indices and higher pecentage of owned households. It also showed that there is a high regional variability of the phenomenon, and that - in particular for the offenses carried out by private citizens - these are located mainly in the Southern Italy. The research in question is an exploratory investigation of the phenomenon and cannot be said to be over. The dynamics explaining the illegal land take formation are complex and articulated. Therefore, future reflections will primarily concern the search for further socio-demographic variables that broaden the spectrum of investigation, the possibility of analyzing the phenomenon at a different analytical scale given the high regional variability of the same and, finally, the possibility to investigate other dimensions of the phenomenon, such as spatial density, the presence or absence of modern urban planning tools or the influence of the morphology of the territory and the structure of the transport system.

References 1. Bencardino, M.: Dinamiche demografiche e consumo di suolo negli ambienti insediativi della Regione Campania. 1st edn. Libreriauniversitaria.it Edizioni, Limena PD, pp. 20–21 (2017) 2. Bencardino, M.: An estimate of land take in municipal planning of the campania region. In: Gervasi, O., et al. (eds.) ICCSA 2017. LNCS, vol. 10408, pp. 73–88. Springer, Cham (2017). https://doi.org/10.1007/978-3-319-62404-4_6 3. MEF: Documento di Economia e Finanza 2018, Allegato Indicatori di benessere equo e sostenibile, II.12 Indice di abusivismo edilizio, pp. 3–35 (2018) 4. Zhang, B., Bi, J., Yuan, Z., Ge, J., Liu, B., Bu, M.: Why do firms engage in environmental management? An empirical study in China. J. Clean. Prod. 16(10), 1036–1045 (2008). https://doi.org/10.1016/j.jclepro.2007.06.016 5. Nesticò, A., Moffa, R.: Economic analysis and operational research tools for estimating productivity levels in off-site construction, Valori e Valutazioni n. 20, pp. 107–126, ISSN: 2036-2404. DEI Tipografia del Genio Civile, Roma (2018) 6. Nese, A., Troisi, R.: Corruption among mayors: evidence from Italian court of cassation judgments. Trends Org. Crime 22(3), 298–323 (2018). https://doi.org/10.1007/s12117-0189349-4 7. Pinto, J., Leana, C.R., Pil, F.K.: Corrupt organizations or organizations of corrupt individuals? Two types of organization-level corruption. Acad. Manag. Rev. 33(3), 685–709 (2008)

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8. Quesada-Ruiz, L.C., Rodriguez-Galiano, V., Jordá-Borrell, R.: Characterization and mapping of illegal landfill potential occurrence in the Canary Islands. Waste Manage. 85, 506– 518 (2019) 9. Lee, D.R., Neves, B.: Rural poverty and natural resources: improving access and sustainable management ESA Working Paper No. 09-03 (2009) 10. Troisi, R., Alfano, G.: Firms’ crimes and land use in Italy. An exploratory data analysis. In: Proceedings of the New Metropolitan Perspectives 2020, 25/5–30/5, Reggio Calabria (2020) 11. Pileri, P.: La frammentazione amministrativa consuma suolo. In: Convegno ISPRA, CRA e Università La Sapienza, Il Consumo di suolo, lo stato, le cause e gli impatti, 5.02.2013, ISPRA, Roma (2013) 12. Bencardino, M., Nesticò, A.: Urban sprawl, labor incomes and real estate values. In: Gervasi, O., et al. (eds.) ICCSA 2017. LNCS, vol. 10405, pp. 17–30. Springer, Cham (2017). https:// doi.org/10.1007/978-3-319-62395-5_2 13. Bencardino, M., Nesticò, A.: Demographic changes and real estate values. A quantitative model for analyzing the urban-rural linkages. Sustainability 9(4), 536 (2017). https://doi.org/ 10.3390/su9040536. MDPI AG, Basel, Switzerland

Real Estate Values and Ecosystem Services: Correlation Levels Antonio Nesticò1(&) , Francesco Sica2 and Theodore Endreny3 1

2

3

,

Department of Civil Engineering, University of Salerno, Fisciano, SA, Italy [email protected] Doctoral School of Architecture and Construction, Department of Architecture and Design, “Sapienza” University of Rome, Rome, Italy [email protected] Department of Environmental Resources Engineering, SUNY ESF, Syracuse, NY, USA [email protected]

Abstract. The market value of urban property depends not only on its specific characteristics, but also on reference macro-economic variables such as sociodemographic, productive, infrastructural, and environmental quality and associated ecosystem services. The links between urban property real estate values and ecosystem services, particularly those generated by urban forests, are not yet sufficiently investigated and hence are the focus of this research. The study site is the City of Syracuse, New York, USA, with well characterized urban forest ecosystem services and property values. The study correlated real estate values and parameters of economic condition (per-capita income), ecosystem services (carbon sequestration), and urban forestry system (tree canopy area). The median home value correlation with both per capita income had an R2 = 0.8748 and with carbon sequestration it had an R2 = 0.7757. The data was obtained in the online i-Tree Landscape tool. Geographic information systems analysis was used to create maps that support analysis of the correlation levels between the involved variables. Keywords: Real estate value


Ecosystem services
Correlation analysis

1 Introduction and Work Aim The housing market values depend on both intrinsic and extrinsic variables. The intrinsic variables relate to specific characteristics of the property unit. The extrinsic variables relate to the territory in which the building resides, and include: grey infrastructure quality (quality of roads, buildings, squares), green infrastructure quality (public parks and gardens), social and demographic context, public transport, proximity to the central business district (CBD), landscape views, historical significance of the area, and pollution level (air, water, soil) that affect the real estate value [1–3]. A. Nesticò, F. Sica and T. Endreny − Contributed equally to this work. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 802–810, 2021. https://doi.org/10.1007/978-3-030-48279-4_75

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Research studies have found a correlation between Median Home Value (MVH) and extrinsic variables, per capita income of the inhabitants, and population density [4, 5]. Other studies show the link between MVH-distance of the property, both on urban parks and water bodies (lakes, rivers) [6–9] and on mobility services [10–12]. Few examples describe the connection with MVH and factors including the urban heat island, the distribution of greenery, building density and geometry, and air quality [13]. It is known that natural elements, such as aggregated trees in urban forests, generate on average a net $2.25 benefit for each $1 invested due to their provision of valuable ecosystem services [14, 15]. According to the classification provided by the Millennium Ecosystem Assessment (MEA) on ecosystem services, the benefits produced by urban forests are of environmental (e.g. carbon sequestration), economic (e.g. property increase value) and social (e.g. well-being citizens improvement) type [16]. A study of the world’s megacities showed these urban forest ecosystem services could deliver benefits exceeding $500 million per year [17]. In several studies, the existence of a function between tree canopy cover, ecosystem services and neighbourhood socioeconomic characteristics is discussed. In someone, correlation analysis to identify the existing logical-functional dependence is implemented [18–27]. The aim of this work is to investigate the correlation between median home value and per capita income, tree canopy cover, and ecosystem services. Among the ecosystem services the carbon sequestration, which measures the environmental quality of a territory due to existing trees, is considered.

2 Materials and Methods 2.1

Study Area

The analysis focuses on the urban area of City of Syracuse in New York State, USA. The City of Syracuse serves as the major city for many surrounding rural communities in 4 counties (Cayuga, Madison, Onondaga and Oswego), and together this area of 7,892 km2 is the Syracuse Metropolitan Statistical Area (MSA). The City of Syracuse has an area of 66 km2 and a population of about 145,000. The U.S. Census Bureau uses 133 Census Blocks within Syracuse to track economic and social data, each block on average is 0.5 km2. Average household income in Syracuse was $32,704 in 2016 [28]. The City of Syracuse area covered by tree canopy was 33.34% [29]. Nowak and O’Connor (2001), determined the City of Syracuse contains about 890,000 trees, and the largest tree species present are: sugar maple (14.2% of the total tree population), arborvitae (9.8%), European buckthorn (6.8%), boxelder (6.3%) and Norway maple (6.1%). Ecosystem services from this forest in 2017 included a net annual carbon uptake of 3,870 tonnes [29]. The corresponding monetary value was $3,000 million for storage and $71,500 per year for the CO2 sequestration from the atmosphere. In addition to carbon removal, the existing tree population eliminates about 169 tonnes of other pollutants (PM25, NOx) per year for an equivalent of $850,000 [29].

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Data Collection and Map Representations

In order to investigate the correlations between Median Home Value and factors indicative of the socio-economic and environmental features of the territory, the data set is constructed with the values of the variables considered: Median Home Value, Per capita Income, Canopy Cover, Carbon Sequestration. The data refer to the Census Blocks falling within the administrative boundaries of the City of Syracuse. The values of the variables are collected using i-Tree Landscape Tool that gives information on tree cover, land use and basic demographic characteristics of the census areas in United States of America [30]. Canopy Cover data are taken directly from 2011 National Land Cover Data (NLCD), while U.S. Per capita Income and Median Home Value from U.S. Census Bureau data. An excerpt from the dataset referring to the city of Syracuse is in Table 1. A thematic map representative of the corresponding numerical values is constructed for each variable (Fig. 1 and Fig. 2). This is done through Geographical Information Systems (GIS). The realization of such thematic maps allows a first comparison among values, useful to highlight the correlation levels. From the two maps in Fig. 1, it is clearly a marked association between the Median Home Value and Per capita Income variables, especially in the Census Areas near the University. Moreover, it is also possible to notice a low, almost absent, functional link including the two variables in the Census Blocks arranged along the administrative boundaries of the city. On the basis of Fig. 2, it is then visible the strong correspondence with regard to the values of the Tree Cover and those of the Carbon Sequestration. This highlights the expected functional connection of Tree Cover with environmental benefits. The comparison of the cartographies of Fig. 1 with those in Fig. 2, i.e. the comparison between the socio-economic variables (Median Home Value and Per Capita Income) and the environmental-forestry factors of the urban territory synthetically represented by Canopy Cover and Carbon Sequestration, is more complicated. This analysis is conducted according to the statistical approach of the variables linear correlation. The methodology implemented is described in Sect. 2.3, and the related numeric and graphic elaborations are in Sect. 3. 2.3

Data Processing Method for Variables Correlation Analysis

The functional link between variables is expressed mainly by using two statistical methods: the linear regression method and the correlation one. Linear regression method tries to determine the best linear relationship of the variables, while correlation method assesses their association. In both, groups of two or more variables can be considered. In the case of only two elements, the monotonic analysis based on the construction of a linear, crescent or descending, function including the parameters is implemented. When, on the other hand, the number is greater than two, multivariate analysis is used. In this case, the dependence of variables is estimated as a function depending on the simultaneous change of two or more random factors [31].

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Table 1. Extract from the dataset for the city of Syracuse (USA). Census Block

Area [sqkm]

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 … 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133

6.13 0.36 0.44 0.21 0.33 0.80 0.68 0.50 0.76 0.43 0.67 0.26 0.31 0.32 0.27 0.48 0.76 … 0.35 0.18 0.26 0.28 0.20 0.13 0.36 0.22 0.19 0.79 0.76 0.93 0.19 0.86 0.56 0.75 0.50

Canopy Cover [sqm] 718,722 179,275 219,744 114,526 156,613 415,207 348,029 282,470 226,219 85,793 161,065 43,301 79,318 42,492 46,943 180,894 123,429 … 110,883 76,485 105,218 163,088 102,385 31,565 35,612 29,137 25,090 337,508 123,429 272,353 37,231 116,954 168,754 224,196 129,094

Canopy Cover [%] 15 50 50 53 47 52 51 57 56 20 24 17 25 13 17 38 16 … 31 42 41 58 50 25 10 13 31 43 16 57 19 14 30 65 26

Per capita Income [$] 48,011 30,000 6,785 34,595 25,521 38,160 30,424 39,384 46,868 11,603 20,667 38,064 16,883 17,068 19,308 10,549 5,270 … 13,721 6,773 13,543 24,465 9,793 10,894 6,416 8,108 4,810 17,461 5,270 20,966 18,300 10,941 23,289 20,825 12,947

Median Home Value [$] 58,200 168,400 0,000 106,800 96,700 271,100 114,100 162,700 162,500 75,000 83,100 84,800 84,600 84,700 94,500 55,800 9,999 … 48,900 48,000 59,600 138,900 124,000 65,000 45,000 0,000 0,000 60,600 9,999 80,200 79,500 116,400 75,600 71,500 46,400

Carbon Sequestration [t/yr] 111 23 12 11 8 86 37 32 36 11 18 4 10 3 4 10 6 … 11 3 8 18 12 0 2 2 2 43 6 21 1 10 13 14 8

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Legend

Legend

Median Home Value [$]

Per-Capita Income [$] from 0 to 24,400

from 29,66 to 10,000

from 24,401 to 67,700

from 10,001 to 20,000

from 67,701 to 100,000

from 20,001 to 30,000

from 100,001 to 150,000

from 30,001 to 40,000

from 150,001 to 271,100

from 40,001 to 50,000

Fig. 1. Spatial distribution of median home value and pre-capita income in Syracuse (NY).

Legend

Legend

Canopy Cover [sqKm]

Carbon Sequestration [t/yr] from 13,760 to 54,227

from 0.20 to 9.50

from 54,228 to 88,626

from 9.51 to 24.00

from 88,627 to 123,429

from 24.01 to 52.10

from 123,430 to 226,219

from 52.11 to 111.00

from 226,220 to 1,559,660

from 111.01 to 245.90

Fig. 2. Spatial distribution of canopy cover and carbon sequestration in Syracuse (NY).

With regard to linear regression, two main types of linear regression techniques exist: parametric and non-parametric. Parametric methods include ordinary (or least squares) linear regression (OLR) and Deming’s linear regression (DR). The nonparametric methods include Passing Bablok linear Regression (PBR) [32–34]. A monotonic linear regression analysis is conducted in the study. In order to measure the association level of the Median Home Value with each of the other parameters considered, the linear regression coefficient R2 is estimated. Values of R2

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close to the unit denote a strong functional link, while values of R2 close to zero express an independence state. The results of the elaborations are in the following paragraph.

3 Assessment of Correlation Levels Between Variables The relationships highlighted with mapping are now evaluated in correlations. The measurement of association levels was carried out by analysing census areas with the same infrastructure system and biome. Specifically, from a naturalistic point of view, both census areas with water bodies (Green Lakes, Onondaga Lake, Onondaga Creek) and those with large green areas are neglected, such as, for example, the golf courses of Bellevue Country Club and those of Tecumseh Golf Club. With respect to infrastructures, on the other hand, Census Blocks with neighbourhood school buildings, Syracuse University facilities, sports structures as the Lampe Athletics Complex and the Thomas J Niland Sports Complex, social and cultural centers like the Museum of Science & Technology and/or the Syracuse Center for Peace and Social Justice, hospitals as the Syracuse VA Medical Center, neighbourhood gardens, shopping malls, i.e. the Marshall Square Mall, are excluded. Also those crossed by I-81 and I-690 expressways, and by railways that pass in the Syracuse Railway Station. All these Census Blocks define surfaces with strong specificity, therefore not able to define the functional relationships that Per-capita Income, Canopy Cover and Carbon Sequestration have with Medium Value Homes. Figures 3, 4 and 5 illustrate the monotonic linear correlation between Medium Value Homes and respectively Per-capita Income, Canopy Cover and Carbon Sequestration. For each variables pair the coefficient R2 is estimated, and the corresponding linear function is determined. There is a strong association of Median Home Value with Per-capita Income, as demonstrated by the high value of R2 equal to 0.8748. Same strong correlation is between Median Home Value and Carbon Sequestration, with R2 of 0.7797. Although evident the link including Median Home Value and Canopy Cover, albeit with a lower value of R2 equal to 0.6197.

Fig. 3. Median home value and per capita income correlation.

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Fig. 4. Median home value and canopy cover correlation.

Fig. 5. Median home value and carbon sequestration correlation.

4 Conclusions The estimate of the functional relationship between real estate values, socio-economic parameters and eco-system services of a territory requires the preliminary selection of the study variables: Median Home Value, Per-Capita Income, Canopy Cover and Carbon Sequestration. The use of Geographic Information Systems (GIS) and the implementation of statistical methodologies allows, on the one hand, the construction of thematic maps and, on the other, to measure the spatial correlation levels between variables. The study, developed for the city of Syracuse, New York State, USA shows that Median Home Value are affected by Per-capita Income, as well as by the tree cover and the environmental quality of the urban context. The implementation of regression analysis provides high R2 values. This is in the comparison of Median Home Value with both Per-Capita Income (R2 = 0.8748) and Carbon Sequestration (R2 = 0.7757) with regard to the survey census areas. These results show that real estate values also depend on the ecosystem services that urban forests generate.

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Research perspectives concern the generalization of the results achieved for Syracuse, as well as the characterization of a multi-varied function able to explain the formation mechanisms of urban real estate values.

References 1. Benson, E.D., Hansen, J.L., Schwartz Jr., A.L., Smersh, G.T.: Pricing residential amenities: the value of a view. J. Real Estate Financ. Econ. 16, 55–73 (1998) 2. Bolitzer, B., Netusil, N.R.: The impact of open spaces on property values in Portland, Oregon. J. Environ. Manage. 59, 185–193 (2000) 3. Bateman, I.J., Day, B., Lake, I., Lovett, A.A.: The effect of road traffic on residential property values: a literature review and hedonic pricing study. Scottish Office and the Stationary Office, Edinburgh (2001) 4. Bencardino, M., Granata, M.F., Nesticò, A., Salvati, L.: Urban growth and real estate income. A comparison of analytical models. In: Gervasi, O., et al. (eds.) ICCSA 2016. LNCS, vol. 9788, pp. 151–166. Springer, Cham (2016). https://doi.org/10.1007/978-3-31942111-7_13 5. Bencardino, M., Nesticò, A.: Urban sprawl, labor incomes and real estate values. In: Gervasi, O., et al. (eds.) ICCSA 2017. LNCS, vol. 10405, pp. 17–30. Springer, Cham (2017). https:// doi.org/10.1007/978-3-319-62395-5_2 6. Tajima, K.: New estimates of the demand for urban green space: Implications for valuing the environmental benefits of Boston’s big dig project. J. Urban Aff. 25(5), 641–655 (2003) 7. Wu, J.J., Adams, R.M., Plantinga, A.J.: Amenities in an urban equilibrium model: Residential development in Portland, Oregon. Land Econ. 80(1), 19–32 (2004) 8. Troy, A., Grove, J.M.: Property values, parks, and crime: a hedonic analysis in Baltimore. Landscape Urban Plan. 87, 233–245 (2008) 9. Poudyal, N.C., Hodges, D.G., Merrett, C.D.: A hedonic analysis of the demand for and benefits of urban recreation parks. Land Use Policy 26, 975–983 (2009) 10. Debrezion, G., Pels, E., Rietveld, P.: The impact of railway stations on residential and commercial property value: a meta-analysis. J. Real Estate Financ. Econ. 35, 161–180 (2007) 11. Schaerer, C., Baranzini, B., Ramirez, J.V., Thalmann, P.: Using the hedonic approach to value natural land uses in an urban area: an application to Geneva and Zurich. Économie publique/Public Econ. 20, 147–167 (2007) 12. Jim, C.Y., Chen, W.Y.: Value of scenic views: hedonic assessment of private housing in Hong Kong. Landscape Urban Plan. 91, 226–234 (2009) 13. Nichol, J., Wong, M.S.: Modeling urban environmental quality in a tropical city. Landscape Urban Plan. 73(1), 49–58 (2005) 14. Endreny, T.: Strategically growing the urban forest will improve our world. Nat. Commun. 9 (1), 1160 (2018). https://doi.org/10.1038/s41467-018-03622-0 15. Fan, C., Johnston, M., Darling, L., Scott, L., Liao, F.H.: Land use and socio-economic determinants of urban forest structure and diversity. Landscape Urban Plan. 181, 10–21 (2019) 16. Millennium Ecosystem Assessment: Ecosystems and Human Well-being: Synthesis. Island Press, Washington, DC (2005)

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17. Endreny, T.A., Santagata, R., Perna, A., De Stefano, C., Rallo, R.F., Ulgiati, S.: Implementing and managing urban forests: a much needed conservation strategy to increase ecosystem services and urban wellbeing. Ecol. Model. 360, 328–335 (2017). https://doi.org/ 10.1016/j.ecolmodel.2017.07.016 18. Heynen, N.C., Lindsey, G.: Correlates of urban forest canopy cover: implications for local public works. Public Works Manage. Policy 8(1), 33–47 (2003) 19. Grove, J.M., Troy, A.R., O’Nell-Dunne, J.P.M., Burch, W.R., Cadenasso, M.L., Pickett, S. T.A.: Characterization of households and its implications for the vegetation of urban ecosystems. Ecosystems 9(4), 578–597 (2006) 20. Landry, S.M., Chakraborty, J.: Street trees and equity: evaluating the spatial distribution of an urban amenity. Environ. Plan. A 41(11), 2651–2670 (2009) 21. De Mare, G., Nesticò, A., Tajani, F.: The rational quantification of social housing. In: Murgante, B., et al. (eds.) ICCSA 2012. LNCS, vol. 7334, pp. 27–43. Springer, Heidelberg (2012). https://doi.org/10.1007/978-3-642-31075-1_3 22. Morano, P., Tajani, F.: Estimative analysis of a segment of the bare ownership market of residential property. In: Murgante, B., Misra, S., Carlini, M., Torre, Carmelo M., Nguyen, H.-Q., Taniar, D., Apduhan, Bernady O., Gervasi, O., et al. (eds.) ICCSA 2013. LNCS, vol. 7974, pp. 433–443. Springer, Heidelberg (2013). https://doi.org/10.1007/978-3-642-396496_31 23. Saaty, T.L., De Paola, P.: Rethinking design and urban planning for the cities of the future. Buildings 7, 76 (2017) 24. Nesticò, A., Moffa, R.: Economic analysis and operational research tools for estimating productivity levels in off-site construction [Analisi economiche e strumenti di Ricerca Operativa per la stima dei livelli di produttività nell’edilizia off-site]. Valori e Valutazioni 20: 107–126 (2018). DEI Tipografia del Genio Civile, Roma 25. Nesticò, A., Guarini, M.R., Morano, P., Sica, F.: An economic analysis algorithm for urban forestry projects. Sustainability 11(2), 314 (2019). https://doi.org/10.3390/su11020314 26. Troisi, R., Alfano, G.: Towns as safety organizational fields: an institutional framework in times of emergency. Sustainability 11(24), 7025 (2019) 27. Nesticò, A., Maselli, G.: Sustainability indicators for the economic evaluation of tourism investments on islands. J. Cleaner Prod. 248, 119217 (2020). https://doi.org/10.1016/j. jclepro.2019.119217 28. US Census Bureau (2010). http://www.census.gov. Last Accessed 02 Jan 2020 29. Nowak, D.J., O’Connor, P.R.: Syracuse urban forest master plan: guiding the city’s forest resource into the 21st century. General Technical Report. NE-287. Newtown Square, PA: US Department of Agriculture, Forest Service, Northeastern Research Station 50, 287 (2001) 30. https://landscape.itreetools.org/. Last Accessed 03 Jan 2020 31. Black, W., Barry, J.B.: Multivariate data analysis: its approach, evolution, and impact. In: Babin, B., Sarstedt, M. (eds.) The Great Facilitator, pp. 121–130. Springer, Cham (2019) 32. Gunst, R.F.: Regression Analysis and Its Application: A Data-Oriented Approach. Routledge, Boca Raton (2018) 33. Kutner, M.H., Nachtsheim, C.J., Neter, J., Li, W.: Applied Linear Statistical Models. McGraw-Hill/Irwin, New York (2005) 34. Hair, J.F., Black, W.C., Babin, B.J., Anderson, R.E., Tatham, R.L.: Multivariate Data Analysis, vol. 5, no. 3. Prentice Hall, Upper Saddle River (1998)

Territorial Gap and Territorial Distribution of Public Investments in Italy Guido Signorino(&) and Massimo Arnone University of Messina, Via dei Verdi 75, 98122 Messina, Italy [email protected]

Abstract. The problem of regional imbalances is a central issue in the cohesion policy debate in Europe. This paper verifies whether the territorial dynamics of investment (and especially of public investment) in Italy has satisfied the principle of territorial rebalancing between the Central-Northern areas and the “Mezzogiorno” regions. The empirical evidence produced by the analysis of the flows of capital expenditure of investments, using the data of the territorial public accounts system, shows that the territorial gaps in recent years have widened, penalizing the regions of the South. It is necessary to think of a differential dynamic in the overall territorial flows of investments in order to favor the processes of territorial development in these regions which are most struggling to take off. Keywords: Territorial gap


Investments
Local development

1 Introduction The question of “regional imbalances” is a central issue in the cohesion policy debate in Europe [1] Recent evidence shows that: 1) despite some slight improvement [2] and a different interpretation [3], territorial disparity in Europe has increased after the credit crunch crisis of 2007–2008; 2) regions where economic performance is better also show better performances in employment, employment change, patent application and other pushing elements of the economy [4]. Besides the newly suggested “place sensitive policies”, traditional public investment policies are necessary where this variable has played, over time, a divergent role in the territorial convergence process. The great debate on the financing of regional development in Italy has led to the current belief that the South has been a recipient of resources in the past few decades, draining them from other territories. The empirical evidence explored in this paper shows, on the contrary, that the resources provided by public policies have steadily rewarded the central-northern regions thus contributing to increase the territorial gap. This paper addresses the following research issues: 1. The territorial rebalancing (a Constitutional commitment of the Italian Republic) has not been coherently and/or effectively pursued by the Governments that have succeeded one another in the leadership of the country in the last quarter of a century;

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 811–822, 2021. https://doi.org/10.1007/978-3-030-48279-4_76

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2. In the light of the economic theory, in order to allow a more intensive growth of the Italian “Mezzogiorno” regions, it would have been necessary to activate a differential dynamic in the overall territorial flows of investments; 3. Given the renowned cumulative dynamic of resources, this commitment should have particularly characterized public investment. After having synthesized the theoretical debate on convergent/divergent dynamics implied by the growth process (Sect. 2), the paper describes the evolution of the territorial economic gap between the Center-North and the South of Italy in the last 25 years (Sect. 3) analyzing the “Territorial Public Accounts” data on the territorial destination of the public investment (Sect. 4). Central Government public investment is probably the most relevant instrument for territorial rebalancing1. European funds should have been “additional” resources aimed at increasing the “ordinary” funds allocated on the State budget; Sect. 5 shows that, according to available evidence, European funds have actually substituted ordinary resources and the weight of public investment in Southern regions over GDP has dramatically fallen. Section 6 summarizes previous works [7] relative to the relationship between investment and growth in the Italian regions, showing that territorial investment is the key for effective rebalancing policies, and the final section draws the conclusions of the paper, providing a policy suggestion aimed at constraining the territorial destination of public investment. Coherently with previous analyses [8–10] evidence evidence suggests that the political opinion that the Italian Mezzogiorno has received an excess of resources is unfounded.

2 Investments and Growth: Convergence or Divergence of Territorial Development Dynamics? The dynamic convergence/divergence processes of economic development on a territorial basis have been at the center of an intense scientific debate that has produced opposite theoretical interpretations. According to the neoclassical approach to growth [11], in the long run, the growth rates of the various countries converge on a uniform level of “steady state”, with a process that may be “universal” (“absolute” convergence) or relative to “clusters” of countries characterized by sufficient uniformity/ differentiation of structural elements of an economic-social type (“conditional” convergence). In this perspective, the least developed countries should grow at a faster pace than the more advanced countries, setting in motion “catching up” processes that dynamically reduce (and eventually fill) the international income gaps among countries. Clearly at a national level, the absence of barriers to the circulation of goods and factors of production among regions, together with the presence of uniform levels of education, should strengthen the spontaneous factor price equalization [12, 13], and consequently accelerate the convergence of the levels of per capita income between 1

Vale [5] argues that under the financial crisis in the EU, “state rationalization and public investment cuts hinder a more rebalanced economic growth”, and according to Martin et al. [6], the UK economy needs a central government efficient coordination of “public investment programs to help secure spatial balance across the national economy”.

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different regions. Therefore, according to the “orthodox” vision, free market forces should generate spontaneous interregional convergence processes. In contrast to the neoclassical approach there are the “cumulative causation” models by Myrdal and Kaldor [14–16] and further developed by Dixon and Thirlwall [17] as well as by Fujita, Krugman and Venables [18]. According to these works, the spontaneous dynamics of the economy leads productive resources to converge towards the regions that offer the best performance, supporting their economic growth and increasing their advantage over other regions. According to Myrdal [14] the location of investments is not driven by the rate of return on capital (as assumed by the neoclassical approach), but rather by the size (real or expected and, therefore “effective”, in the Keynesian language) of the demand, according to the accelerator model. This generates increasing “localization” returns, external to the company and internal to the territory (something similar to the Marshallderived “industrial districts” approach); the resulting “territorial advantages” amplify other strengths of the region (for example, its position in the international specialization model, or its proximity to important markets) and reinforce the dimension and dynamics of local exports. By combining these factors, production activities will tend to spatially concentrate where they initially settled and consolidated, attracting new investment flows and giving rise to “cumulative causation”, which increase (rather than reduce) socio-economic territorial gaps. Kaldor [15, 16] claims that increases in production that occur in certain places (due to autonomous demand growth) determine additional investment and higher labor productivity (Verdoon’s law), so fostering the competitiveness of the area. This attracts new investments and accelerates the local productive dynamics, which increases the territorial gaps. According to Krugman-Fujita-Venables model [18], the widening of the territorial gaps can be due to the “internal” economies of scale, to the sectoral differentiation of the production, to the mobility of the industrial workforce and to the productivity differentials of the productive sectors of the local economic contexts (constant in the agricultural sector, growing in the industrial sector). The joint action of these factors activates dynamics of specialization and territorial concentration of production with the consequent activation of a “core-periphery” model. In their recent study, Nell and Thirlwall [19] assess that the different speed of investments among countries causes different growth rates, while the effect of the cumulative dynamics connected to the non-decreasing returns on capital does not allow the spontaneous activation of trajectories compatible with the spatial rebalancing of per capita income. In the following sections we explore the trend of the territorial gaps between the South and Center-north in Italy in the last quarter of a century, that apparently belies the predictions of the “orthodox” theory. The assessment of the dynamics of territorial destination of public resources between the South and Center-North using SVIMEZ2 2

SVIMEZ is an important association promoting industrial development in the Mezzogiorno of Italy. Born in 1946, SVIMEZ provides statistical evidence on the economic performances of southern Italy regions, yearly gathered in the “Report on the State of Mezzogiorno economy”, based on the National Census Bureau (ISTAT).

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data [20, 21] and the official Territorial Public Accounts, provided by CPT3 [22–24]: a government agency that evaluates public accounting at a territorial level in Italy.

3 Territorial Gaps and Public Expenditure in the Italian Regions According to SVIMEZ data, normalizing to 100 the value of GDP in 1995 in the two macro-regions, the territorial gap between the Center-North and South of Italy that had remained stable in the five-year period 1997–2001, widens in the following period (see Fig. 1). GDP estimates confirm the increase of territorial imbalance. At the end of 2020 GDP in the Center-North will be 16.57 points higher than 1995, while the increase expected for the South will be less than half (8.23 points); following these estimates in 2020 the GDP gap will be 8% higher than 1995 (see Fig. 2).

Center-North

South

Fig. 1. GDP evolution in the Southern and Central-Northern regions (base year 1995 = 100 for each regional aggregate; the asterisk * is referred to estimates from SVIMEZ, 2018). Source: elaboration on SVIMEZ data - Reports on the economy and society of Southern Italy, years 2001–2020

Although the industrialized regions of the Center-North are supposed to undergo important reduction of export due to negative international cycles, the recessions of 2008–2009 and 2012–2014 have affected more seriously the South of Italy. In the 2012–2014 period, GDP in Southern Italy decreased by 6.75% age points compared to the level of 2011 (the pre-2012 crisis level), unlike a decrease of lesser intensity (−4.25%) in the central-northern regions. Using SVIMEZ projections for growth rates, it can be estimated that the Center-North aggregate recovered pre-crisis GDP in 2018

3

CPT stands for “Sistema Conti Pubblici Territoriali”; it is a specific service of the Govern Agency for Cohesion and starting from 2004 its database is part of the Italian National Statistic System (SISTAN).

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and will reach a +2.34% in 2020; unlike the South, which is expected to be still behind by 2 and a half points in 2018 compared to 2011, and will not recover this level even in 2020.

Fig. 2 Territorial gap GDP 1995–2020 (* data elaborated from SVIMEZ estimates, Report 2018). Source: elaboration on SVIMEZ data - Reports on the economy and society of Southern Italy, years 2001–2018.

4 The Territorial Investments of the Enlarged Public Sector The “Reports” of the Territorial Public Accounts refer the expenditure of the entire enlarged public sector (central and peripheral administrations of the State and national companies and agencies). In the 2017 and 2018 editions, analyzing investment expenses, they highlight the important difference between targeted and actual expenditure. The 2017 edition, which covers the period 2000–2015, show the persistence of territorial imbalances between the South and the rest of Italy with reference to the two aggregates (Public Administration-PA and Extended Public Sector-SPA). Distinguishing the Public Administration (PA) and Enlarged Public Sector EPS, (which includes public enterprises we notice that, in the period 2000–2015, PA produced a hither per capita expenditure than EPS (on average 965 Euros per inhabitant against 1,306). Further, PA capital expenditure has reduced with greater intensity than EPS since 2009. Following the Territorial Public Accounts (CPT) 2018 edition, it is worth noticing that the expansion of the road and motorway network in the South absorbs 72% of the investment expenditure provided by the national agency that manages the national road network (ANAS). Starting from 2016, a drop in investments affects all southern regions with the exception of Sicily, which instead recorded a 42% increase. In the Enlarged Public Sector, the amount of expenditure destined for the South decreased from 36.6% in 2015 to 33.3% in 2016.

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Using the “Anticipator Indicator” annually estimated by the Territorial Public Accounts System, a decrease in the expenditure of Regions and local administrations (which unites both transfers and investments) of approximately 13% was expected for 2016, and - conversely - an increase in government expenditure of 8%, mainly due to a positive trend in transfers to businesses. It is worth noticing that the territorial dynamics of capital expenditure only decreases in the Southern regions (where the 28%) private investment is much lower (and public investment more important) and is not balanced by the increase in State expenditure (+11%). On the contrary, in the Central-Northern regions, local administration expenditure remained stable and State expenditure increased by 7%. In the two-year period 2015–2016, the southern regions contracted public spending by over 40%, both in the investment and transfer components, while the centralnorthern regions increased total expenditure by about 13%, but in a more accentuated way on the transfer front. Sicily in particular shows a contraction in spending well above the average value for the South, greater than 56% (contraction entirely for investments), but Campania also stands out with a reduction in spending of 48% (to be attributed, instead, to the drop in transfers). Veneto (with a 97% rate due to the joint effect of investments and transfers), Lombardy, Liguria, Trentino Alto Adige, Umbria and Lazio regions are growing in the Center-North, while the expenses of all the other regions are decreasing (see Fig. 3).

Fig. 3 Expenditure of the PA by economic category (State, Regions, Municipalities and Provinces) and macro area in the main sectors. Percentage changes on values at constant prices, Years 2015–2016. Column legend: State (Unic Color), Regions (Barre Obligue), Common (Vertical bars), Provinces (dots). Source: 2015 Territorial Public Accounts System and 2016 Anticipator Indicator estimates (CPT, 2017).

With reference to investment, the Territorial Public Accounts System allows us, through the elaboration of the “Single Financial Framework”, to reconstruct the composition of public capital expenditure distinguishing between “ordinary” and “additional” resources. According to the 2001 Constitutional reformulation of art. 119,

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paragraph 5, these resources should be part of the “equalization fund” dedicated to the territorial rebalancing between the most advantaged and the least developed regions. We can observe that investment expenditure in the South of Italy has mainly been financed with the so-called “additional resources” (Community Structural Funds, Cohesion Action Plan, Development and Cohesion Fund); the result is that these investments changed into “replacement” resources, as they do not produce an overall increase in total resources. Volpe observes: “In the years 2000–2015 and especially in the concluding phases of the community cycles, representing on average more than half of the total capital expenditure, with peaks that, in the closing periods of the programming periods, reach even higher levels: 65.4% in 2001, 58.5 in 2007, 72.0 in 2015”4. The year 2016 seems to be a setback for the impact of additional resources on capital expenditure, which reaches a significantly lower value (21.6%) before starting to increase again the following year (34.4%), maintaining a clear detachment from the values assumed up to 2015. At the same time ordinary resources (both in the CenterNorth and in the South) in 2015 reached the minimum value of the estimated series, but with a detachment that penalizes the first territorial area (4.4% in the South versus 18% in the Center-North).

5 The “Displacement Effect” of the Structural Funds for Investments in the South In the years 2000–2015, the management of financial resources provided by the cohesion policy produced a double “displacement effect”, as additional resources did not increase ordinary resources but simply replaced them. In this period, the South sees its development opportunities penalized for a lower relative allocation of financial resources (see Table 1 below). Additional resources for the South coming from the Development and Cohesion Fund (Fondo di Sviluppo e Coesione - FSC) underwent a drastic contraction (from around 50% to 11% of the total resources destined for cohesion), “leaving the task of guaranteeing the policy almost entirely to European additional resources”5. In addition, the resources that have not met their spending targets must be returned by inefficient regions, with a negative effect on total available resources. According to the Italian Goverment Economic and Financial Planning Document (DPEF) 2007–2011, the appropriate volume of resources for territorial rebalancing should range from 0.6 to 0.4% of GDP. Starting from the year 2000, the resources destined to the territorial gaps remain well below even the minimum hypothesis (less than 0.1% of GDP). This decrease in the incidence of Public Spending on GDP in recent years has also been caused by the use of additional resources from the Development and Cohesion Fund for other purposes other than territorial rebalancing, for example economic recovery objectives, or reconstruction for earthquakes. 4

5

http://www.gdc.ancitel.it/finanza-territorio/politiche-nazionali-e-politiche-di-sviluppo-a-livelloterritoriale/ November 4, 2017. Source: Focus 4 “Expenditure for interventions aimed at development from 1951 to 2015” within the CPT publication: Annual Report 2017 - National policies and development policies at a territorial level”.

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Table 1. Expenditure for national interventions aimed at developing Southern Italy (years 1951–2015; millions of euros and percentage values). Source: CPT 2017. Years

Expenditure in favor of underutilized areas (A) (millions of euros)

GDP (at Italian market prices) (B) (millions of euros)

A/B (%)

1951–1960 1961–1970 1971–1980 1981–1990 1991–2000 2001–2010 2010–2015

665 1.557 8.478 27.373 44.961 47.304 12.290

98.002 242.380 993.584 4.640.753 9.568.233 14.547.063 8.103.461

0,68 0,64 0,85 0,59 0,47 0,33 0,15

Another factor that caused this downsizing is due to the stabilization interventions of public finance in the years 2008–2011 whose results were rather uncertain (regional contributions to the Stability Pact, coverage of regional health debts). The awareness of the reduction of the ordinary policy in the South of Italy connected with this “substitution effect” of the additional policy made it necessary to reintroduce quantitative criteria for territorial rebalancing. The Law n. 311/2004 (and the Law n. 296/2006) had established a total amount of 75% of the ordinary capital expenditure in favor of the South: 30% from public administrations and 45% from large national investors (art.1 paragraph 17 of law 311/2004 and art.1 paragraph 863 of law 296/2006). These goals have not been achieved. On average, the share of ordinary resources for the South is equal to 28.9%, and in the last period (2013–2015) it has decreased to around 28.4%. On the contrary in the Center-North the share of ordinary resources is equal to 71.6%, 6% points higher than the population of the area (equal to 65.6%). The need to ensure an adequate financial balance between the resources assigned and the reference population through ordinary resources was also confirmed by Law n. 18/2017, (art. 7bis). This is the so-called “34% clause”, aimed at ensuring that per capita investment expenditure is uniform over the national territory, given that 34% of total population lives in the Mezzogiorno regions. On the other hand, the additional resources, mainly reserved for the South, have the function of guaranteeing the coverage of the gap still existing, implementing paragraph 5 of art. 119 of the Constitution. According to the provisions of the Territorial Public Accounts System, if the clause established by Law no. 311/2004 was respected, the goal of territorial rebalancing would be achieved (see Fig. 4 below). If all the ordinary expenditure of the Central Administrations had been subject to the aforementioned clause, the total amount of public expenditure subject to redistribution would result in an average 1.63 billion per year (far less than the average 4.4 billion per year hypothesized by SVIMEZ). This hypothesis configures a sort of minimum level that takes into account the dictates of the standard and the availability of monitoring data for additional resources.

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Center/North

South

Fig. 4. Ordinary actual expenditure (squares) and ordinary current expenditure based on the population of the territorial area (Triangles) in the Center-North and in the South. (2000–2015, constant billions of euros 2010). Source: CPT (2017).

6 Investments and Growth in Italian Regions A previous contribution has investigated the relationship between investment and growth in the Italian regions [7]. This study, using official data (ISTAT) for the period 1995–2016, the regression analysis of GDP on investment proved that different regions show different structural relations between the two variables, regardless of territorial localization of the regions. Regressions’ R2 range between 80–90% in Sicily, Puglia, Molise, Lazio, Marche, Piedmont to 60–70% in Campania, Abruzzo, Umbria, Friuli Venezia-Giulia, Province of Bolzano, Liguria, Valle d’Aosta, to values between 40 and 55% in Sardinia, Calabria, Basilicata, Marche, Veneto, Province of Trento, Lombardy. Tuscany and Emilia Romagna show R2 values respectively of 0.35 and 0.24. This means that the quota of economic growth that is “explained” by investment is very different from one region to another. At the same time, the influence of investment on regional GDP approximated by the regression coefficient (for all regions statistically significant with a 99% confidence) is also very different, ranging from 0.65 in Sardinia to 4.72 in Liguria, without any spatial regularity in the distribution of the coefficients.

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During the same period, public spending in the South (far from playing a “rebalancing” role) had decreased in relation to the expenditure of the public administration of the other regions. After the “peak” reached in 1998 (37.5 per cent of Italian public expenditure in the south), in the remaining period and until 2016 almost two and a half points had been lost, with a percentage slightly above 35%. Likewise, the per capita expenditure of public administration has been systematically lower in the South than in the regions of the Center-North. In fact: “During the entire period 1995–2016 the public administration yearly spent on average € 4,912.00 per capita in southern regions and € 5,270.53 per capita in central-northern regions, with an average annual difference of € 358.53. (…) In practice, each resident in the central-northern regions benefited from around € 360 more per year in terms of public administration spending, with a cumulative difference close to € 8,000 per capita (€ 7,887.53)” ([19], p. 220). This evidence confirm that in Italy, from 1995 onward: a) there is a stable and positive relationship at regional level between economic growth, measured by the rate of change in GDP, and investment; b) there are no convergent dynamics either in terms of per capita GDP or in terms of investments. In this context, the elimination of growth gaps can only be connected to a wise management of the destination of public resources for investment. In this perspective, in order to achieve territorial rebalancing, various successive governments set precise objectives for the percentage distribution of “ordinary” public resources for investment between the South and Center-North. As pointed out by SVIMEZ [25], the most recent “34% clause” has modalities of implementation that are not very incisive and not conclusive in several respects. In particular, we mention the following criticalities: a) the rule does not have sanctioning effects; b) its implementation is limited to a small number of “experimental” programs, which exclude some essential sectors, such as: environment, school, university and research; c) there is no accounting automatism that allows to respect the indicated rule. Finally, the effective implementation of the clause, defined in 2018, should only take place in the last year of the three-year budget (2020), and the formal decrees that allow its effective activation have not yet been issued. It is therefore a correct measure, but at the moment too timidly legislated, at the limit of ineffectiveness.

7 Conclusions and Further Developments The evidence from SVIMEZ and Territorial Public Accounts show that the territorial distribution of resources (and, in particular, of investment resources) has in fact penalized the Italian Mezzogiorno and that, once the “extraordinary” intervention ended, the “ordinary” intervention was not adequate to support the recovery of the growth gap between the South and the rest of the country. On the contrary, the undue “substitutive” use of the resources that should have been “additional” to the ordinary intervention, for the benefit of the allocation to other regions of the “ordinary” resources, determined (except for the short period 2015–17) a progressive increase in territorial growth gaps. The introduction of predefined constraints in terms of territorial assignment of investment resources is certainly a measure that goes in the right direction. However, it

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is necessary to provide continuous monitoring on the respect of the “territorial clause”. Furthermore, we agree with SVIMEZ proposals to encourage both public and private investments: a) the establishment in the budget of a fund that quantifies the amount of forecasted resources “ordinarily” destined to territorial rebalancing; b) continuity to localization incentive instruments for private investments in the South, such as tax credit. The recent establishment of the “Special Economic Zones” in the less developed areas goes in this direction. These measures could support the effectiveness of the “percentage allocation clause” of resources for investment in the South and, therefore, the activation of a territorial rebalancing process in Italy. Two further developments may follow this study. The first will deepen public investment decisions through the construction of a database of the Inter-ministerial Committee for Economic Planning (CIPE) decisions in the period 1960–2020 with the aim of examining the territorial and sectoral distribution of public resources. The second will address intra-regional territorial differences, in order to describe coreperiphery differences inside regions a crucial element to take into account at EU level in tackling inequality issues for the next programming period Cohesion Policy.

References 1. CPT: Relazione annuale 2017 – Politiche nazionali e politiche di sviluppo a livello territoriale. Temi CPT n. 4, Agenzia per la Coesione Sociale, Presidenza del Consiglio dei Ministri, Roma (2017) 2. CPT: La spesa pubblica in conto capitale nelle regioni italiane. Temi CPT n. 5, Agenzia per la Coesione Sociale, Presidenza del Consiglio dei Ministri, Roma (2017) 3. CPT: Relazione annuale 2018 – Politiche nazionali e politiche di sviluppo nei Conti Pubblici Territoriali. Temi CPT n. 8, Agenzia per la Coesione Sociale, Presidenza del Consiglio dei Ministri, Roma (2018) 4. Dixon, R., Thirlwall, A.: A model of regional growth-rate differences on kaldorian lines. Oxford Econ. Pap. 27, 201–2014 (1975) 5. EC – European Commission: My Region, My Europe, Our Future – seventh report on economic, social and territorial cohesion, Luxembourg, European Union (2017) 6. Esposito, M.: Zero al Sud. Rubbettino, Soveria Mannelli (CZ) (2018) 7. Fujita, M., Krugman, P., Venables, A.: Spatial Economy. MIT Press (1999) 8. Iammarino, S., Rodriguez-Pose, A., Storper, M.: Regional inequality in Europe: evidence, theory and policy implications. J. Econ. Geogr. 19(2), 273–298 (2019) 9. Kaldor, N.: A model of economic growth. Econ. J. 67(268), 591–624 (1957) 10. Kaldor, N.: capital accumulation and economic growth. In: Lutz, F.A., Hague, D.C. (eds.) The Theory of Capital. Palgrave Macmillan, Basingstoke (1961) 11. Lerner, A.P.: Factor prices and international trade. Economica 19, 1–15 (1952) 12. Martin, R., Pike, A., Gardiner, B.: Spatially rebalancing the UK economy: towards a new policy model? Reg. Stud. 59(2), 342–357 (2016) 13. Myhknenko, V., Wolff, M.: State rescaling and economic convergence. Reg. Stud. 53(4), 462–477 (2019) 14. Myrdal, G.: Economic Theory and Underdeveloped Regions. Gerald Duckworth, London (1957) 15. Nell, K., Thirlwall, A.: Perché la produttività degli investimenti varia tra i Paesi? Moneta e Credito 70(279), 197–231 (2017)

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16. Podadera Rivera, P., Calderon Vasquez, F.: Rethinking the territorial cohesion in the EU: institutional and functional elements of the concept, Eastern J. Eur. Stud. 10(2) (2019) 17. Sabatino, M.: Teorie economiche, divari territoriali e politiche per il Mezzogiorno. Franco Angeli, Milano (2016) 18. Samuelson, P.A.: International trade and the equalisation of factor prices. Econ. J. 58, 163– 184 (1948) 19. Signorino, G.: Divari territoriali, spesa pubblica e investimenti pubblici in Italia nel periodo 1995–2016. In: Guarneri, R. (a cura di): Economia, territorio e ambiente, ARACNE, Roma (2018) 20. Solow, R.: A contribution to the theory of economic growth. Q. J. Econ. 70(1), 65–94 (1956) 21. SVIMEZ, Anni vari, 2002–2018: Rapporto sull’Economia del Mezzogiorno, Il Mulino, Bologna 22. SVIMEZ.: Rapporto SVIMEZ 2018 - l’economia e la società del Mezzogiorno, il Mulino, Bologna (2019a) 23. SVIMEZ.: Nota per l’Audizione presso le Commissioni riunite di Bilancio di Camera e Senato, nell’ambito dell’attività conoscitiva preliminare all’esame del Documento di Economia e Finanza 2019, 15 Aprile (2019b) 24. Vale, M.: Crisis and the European peripheral regions: the rebalancing discourse and reality. In: Salom Crrasco, J., Farinos Dasi, J. (eds.) Identity and Territorial Character – Reinterpreting local-spatial development, PUV. Universitat de Valencia (2014) 25. Viesti, G.: Mezzogiorno a tradimento. Laterza, Bari (2009)

Collective and Commercial Catering Services of the Ho.Re.Ca Channel: A Case Study in Calabria (Italy) Giuseppe Filippone(&), Valentina Rosa Laganà, Donatella Di Gregorio, and Agata Nicolosi Agraria Department, Mediterranea University of Reggio Calabria, Feo di Vito, 89100 Reggio Calabria, Italy [email protected], [email protected], {donatella.digregorio,anicolosi}@unirc.it

Abstract. Ho.re.ca sector is a very complex system that over the years has given rise to various forms of catering in relation to the variety of demand and the organization of the offer. It can represent a key element of competitive development and promotion and an opportunity for local agri-food products. The aim of the work is to examine the structure and the various catering services offered by a Calabrian company that operates in the Ho.re.ca channel in order to develop/improve the competitiveness tools of agri-food companies operating in the area with particular reference to companies operating in internal areas in conditions of fragility and marginality. The dynamics that govern relations with suppliers of local agri-food products have been studied. The combination of surveys with the company and suppliers has been studied through the use of social network analysis (SNA). The level of loyalty that agricultural and agrifood companies achieve with the Ho.Re.Ca has also been identified. 44 Calabrian companies supplying agri-food products have been identified, divided by product category, by company name, by location, and by the level of loyalty. The results highlight a particular attention of the company examined towards quality products of Calabria origin, in some cases niche products with POD or PGI brand, mainly acquired directly from local agricultural producers and offering the possibility of being a strategic means of promotion and marketing. Keywords: Ho.re.ca channel


Social Network Analysis (SNA)
Loyalty

1 Introduction and Literature Review Ho.Re.Ca channel, acronym for Hotellerie-Restaurant-Café (but the third word is sometimes identified with Catering, or other similar ones) is a commercial channel that includes economic activities and the distribution of products at hotels, villages tourist, pubs, pastry shops, restaurants, trattorias, pizzerias, bars and the like, catering. The Horeca channel includes all those activities that gravitate around food, beverage and hospitality and should not be confused with the large-scale distribution, therefore with large-scale distribution, which instead deals with the trade in food and drinks and not their administration. The Ho.Re.Ca channel has undergone a major transformation in © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 823–833, 2021. https://doi.org/10.1007/978-3-030-48279-4_77

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recent years, a direct consequence of the evolution of industry-distribution relations. However, a common trend emerges to indicate this market segment as a true and proper “channel” due to the intersectionality and the numerous actors that appear along the supply chain. (Leondini and De Angelis 2019) (De Angelis and Leondini 2017) It is that varied and complex channel known as “Away From Home” and which is placed in a different position than “retailing”, which constitutes the last link in the distribution chain (with particular reference to the large-scale retail trade). This differentiation goes on smoothing over time. The examples are countless: from the supermarket that opens refreshment areas adjacent to the store where you can consume the products of the deli counter, to the restaurant that sells tea, jams or semi-finished dishes; from products launched by restaurants on the shelves of large-scale distribution, to butchers who offer the ready-cook service, to clothing stores that offer a refreshment area. These examples are a mere trend that has been going on in the USA for many years and which are also emerging in Europe. In the face of current problems such as the growing awareness of environmental and economic challenges in our food and agricultural system and in relation to the need to promote sustainable consumption and production practices, also the services of collective and commercial catering if well managed can improve food supply strategies (Galli et al. 2014), reducing the distance between producers and consumers (Fancello et al. 2017), proposing consumption models based on proximity and on the direct relationship between producer, service provision and consumer (Nicolosi et al. 2019). The new logistic flows that are generated, the deliveries of local food and fresh products in urban areas and places of greater consumption can represent sustainable procurement practices and contribute to building more collaborative relationships between restaurateurs and their local suppliers (Lehtinen 2012). From this point of view, the Ho.Re.Ca. channel can represent a tool of resilience and a resource for small and medium-sized family agri-food businesses in Calabria, often located in marginal areas and with high economic and social vulnerability. In many restaurants, the certified sustainability of the food guides the choice of the dish to be consumed by people who inquire about the origin of the products used and declares their willingness to spend something more for ecological products. With reference to collective catering (school canteens, universities, hospitals, etc.), the problems relating to meal supply services, public food supply and the consequent social, ethical, economic and environmental implications are more complex and have a strong resonance in the debate on collective catering services due to the implications on education for sustainable food habits and on the orientation of the production system (Feenstra and Ohmart 2012) (Galli et al. 2014). In Europe, the consumption of food currently amounts to around € 1,617 billion: 63.3% relates to the domestic channel and the remaining 36.7% to catering (equal to € 593.4 billion) (Eurostat 2018). Today, in Italy, 36 per cent of household spending on food products passes outside the home and the most significant figure is that while consumption in restaurants is gradually growing, those in the home decrease (Sbraga and Erba 2018). In the period from 2000 to 2017 the average annual growth rate of demand in catering was 0.6%. In particular, in the last 10 years from 2007 to 2017 the average annual growth rate was +0.5%. The aim of the work is to analyze the dynamics and market relationships that are created between the suppliers of agri-food products and the Ho.Re.Ca channel company “RistorArt”, a SRL that operates in Tuscany and in the Calabrian territory. 44 suppliers of agri-food products

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have been identified, divided by product category, by company name, by place of origin and by the level of loyalty (weak, medium and strong). The data were processed through social network analysis (SNA).

2 Methodology 2.1

Description and Organization of the Company

The “RistorArt” company is an Srl that operates in the two main categories: commercial catering and collective catering. The first includes a set of meals provided a to consumers not organized in communities. On the contrary, collective catering refers to the meal delivery service set up for organized communities of subjects, previously identified, who meet for work or other causes permanently or occasionally in 2018 in the company “RistorArt” in Calabria has provided meals for eight canteens: one school, two Corporate (Sport Center and Immigrant Center) and four Social Health (one hospital and three private clinics) and is present with the following establishments (Fig. 1): • A cooking center for the production of meals, located in CARAFFA (CZ). The plant represents a key logistical and functional support element for the whole company. It produces around 1,500 meals a day in a fresh-hot connection for various pubs and private individuals located in the neighboring territory; • A food and wine center, PECCO, located within the regional citadel of Catanzaro, which has as its key objective that of highlighting the Calabrian excellence, offering a unique opportunity to producers on the one hand, and to consumers on the other. Perfectly positioned within the commercial catering sector, PECCO is idealized and designed on the cardinal concepts of the free-flow system: a completely innovative catering system whose main concept is to break the linear sequence of self-service by offering consumer a “free and spontaneous” choice in relation to their needs. In relation to this concept, an area has been developed consisting of various points equipped with separate and specialized desks: – La bottega del caffè: bar, coffee shop, pastry shop; – Peccati di grano: bread, pizza, sandwich, bakery products; – I freschi di campagna: salad, juice, smoothies, ice cream, yogurt, centrifuged; – Isola delle chicche: cold cuts, cheeses, fresh pasta, soup, grill; – Scegli e mangia: Km 0 seasonal menus; – Gluten free. All this develops in a very large area with more cases at the exit, this allows to serve a greater number of consumers at the same time compared to the “self-service” class and also arouses the interest of the consumer through the possibility of carrying out the production or cooking on sight of some dishes, such as the production of fresh pasta or the cooking of some grilled cuts of meat. A restaurant room and a market area were also set up where typical Calabrian products are displayed and sold.

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Fig. 1. Organization of RistorArt company.

• IL PALAZZO, a rural estate of over ten hectares that overlooks the hills of the Jonio Reggio Calabria, between the finds of Locri Epizefiri and the cliff of ancient Gerace, one of the most beautiful villages in Italy. Subject of an admirable conservative restoration private and based on a rustic farmer of very fine workmanship, the Palace has become one of the most beautiful and renowned locations in the region. The authentically bucolic setting, the attention to detail, the variety of vegetation, the breathtaking panorama and the scenographic arrangement of the areas constitute an absolute value for this estate. The receptions that take place inside the location become a real event, thanks to the elegance of the fittings and the goodness of the gastronomic proposals offered by Ristorart. • L’Orso Cattivo, a restaurant located in Settingiano (CZ). It was conceived with the aim of creating a unique space of its kind, a space in which to unite the world of catering and that of leisure and leisure. At the base of the Bad Bear there is the extreme attention for the customer and his needs. For this reason, the Bad Bear is a place divided into several areas: Restaurant; Braceria; Pinseria. Data collection and approach. 2.2

Data Collection and Approach

This work investigates the relationship that the “RistorArt” company has with suppliers. 44 suppliers divided by category of food products were considered, as shown in Table 1. We use a social network analysis (SNA) to identify the shape of the

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relationships taking place in the market and the dynamics based on the relationships of supply of agri-food products to understand and explain the nature of these social relationships/interactions. (Pedroza-Gutierrez and Hernández 2017; Kim et al. 2011; Scott 2017; Nicolosi et al. 2019; Nicolosi et al. 2018; Wasserman and Faust 1994; Bevilacqua et al. 2020). Table 1. Suppliers of “RistorArt” divided by product category, variables used and methods Suppliers of products Cheeses and dairy products suppliers Meats and cold cuts suppliers Wine suppliers Oil suppliers Bread and flour suppliers Confectionery suppliers Fresh fruits and vegetables suppliers Processed fruits and vegetables suppliers

n° 8 9 5 5 4 3 5 5

Variable name cheese/dp meats/cc wine Oil bread/flour Confectionery Ffruits/veg Pfruits/veg

Modalities S1–S8 S1–S9 S1–S5 S1–S5 S1–S4 S1–S3 S1–S5 S1–S5

The social network (SNA) was used to obtain measures of the relationships between the commercial and collective catering services of RistorArt and the suppliers of agro-mental products. According to this approach, the network is a set of vertices (nodes), edges (col-ligaments) and the way in which the elements are connected. In our case, the links were detected using the incidence matrices and the adjacency matrices were subsequently created. In the Affiliation matrix we have created, the lines indicate the actors/suppliers (44) and the columns the 11 commercial catering services: Restaurant “Orso Cattivo”, Pecco and “il Palazzo”, and collective: School catering, University catering Campus, Corporate catering (Sport center and immigrant center) and social health catering (hospital, clinic 1, clinic 2 and clinic 3). Each relationship is indicated with dichotomous values: 1 if the supplier’s products are used in the catering service and 0 if they are not used. The matrix is formally referred to as: A = {aij} where aij = 1 if the actor in row i has “provided food for that restaurant service” indicated in column j, or aij = 0 in the opposite case. This choice allowed us to examine the link between the Ho.Re.Ca RistorArt channel between catering and suppliers also in terms of loyalty to the agri-food product/supplier. The incidence matrix was created by inserting 44 suppliers in the rows and 11 service modes in the columns. The next step was to transform the incidence matrices into adjacency 11 * 11 matrices to examine network relationships based on the choice of suppliers and restaurants. The UCINET 6.0 ver. program was used to process the data, while for the graphic representation the NETDRAW ver.2.161 program. As for the indicators to examine the network analysis, some network cohesion measures have been developed, in particular the density which represents one of the main indicators of the degree of cohesion of a network and the centrality, which measures how much a node is an important actor in the network. One of the main descriptive measures adopted to investigate the degree of network cohesion is density. This index is given by the quantity of relationships and

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corresponds to the ratio between the number of links actually present in the network and those that can potentially be activated.

3 Results Figure 2 shows the Social Network relating to the interaction between the services of the RistorArt company in Calabria with agri-food suppliers divided by production category. RistorArt represents the “heart” of the network, and operates in the agri-food sector with its own service companies represented above all by the “Cooking center” which provides the various refectories (highlighted in light blue), and by the “Pecco” commercial catering circuit, “Il Palazzo”, “L’orso cattivo” (indicated with the green square). We can also see that near the section relating to collective restoration there is an abundance of bonds, mainly given by a very homogeneous and linear gastronomic proposal. On the contrary, as regards the commercial catering sector, a clear differentiation of the network can be seen, given by a differentiated and uneven gastronomic proposal between the different segments operating in the commercial sector. This once again underlines the clear distinction between the two different forms of catering, namely commercial and collective. Indeed, it is possible to observe the various forms of catering (free-flow, self-service, organization of events) with which the commercial sector service companies operate on the market in relation to the needs that demand imposes and the needs of consumers. As for the collective catering sector, represented in the figure by the canteens for (Clinic 1, 2 and 3; Hospital; Immigrant Center; Sports Center and School), the mode of service is not expressed, as this is univocal and standard for all exercises, represented by the delivery of meals with the fresh-hot bond technique. For the analysis of the network, the main cohesion measures of the same and descriptive statistics have been elaborated, as shown in tables number 2 and 3. Density represents one of the main descriptive statistics and often used as the main index of the degree of cohesion of the network. The average density of the network is 0.6818 and, given that the index varies from 0 to 1, this is a good level of network cohesion, meaning that 68.2% of all possible bonds are present. The density value is confirmed by the standard deviation value equal to 0.4658, which indicates the dispersion in the network and a high variability in the bonds. The standard deviation measures how much variation exists between the values of the matrix. The density measurement allows us to define a network cohesive in which there are many links. However, the cohesion of a network can be calculated in different alternative ways. One of the main techniques of analyzing networks that allow the concept of cohesion to be made operational is based on distance measurement. This procedure develops three important cohesion measures: the Everadge distance, the Distance-based cohesion and the Distance – Weighted Fragmentation.

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Fig. 2. Social network of the Ho.re.ca RistorArt channel: commercial circuit in green, collective circuit in blue and suppliers in red.

In our case the first index is 1.013, so the pairs of actors are close and therefore the network is well connected. The Distance-based cohesion index (which varies from 0 to 1) is equal to 0.686 and indicates an average cohesive situation. Finally, the third measure, Distance – Weighted Fragmentation, indicates the proportion of pairs of nodes that cannot be reached by each other (varies between “0” and “1”: if all nodes are reachable by each other then F = 0; if all nodes are isolated then F = 1. In our case we have an average value of 0.314 which indicates that each pair of nodes is on average close to each other (Table 2).

Table 2. Descriptive statistics and network cohesion measures. Densities, Std dev Density (matrix average) 68.18% Standard deviation 0.4658 Geodesic distance: Average distance (among reachable pairs) 1.013 Distance-based cohesion (“Compactness”) 0.686 Distance-weighted fragmentation (“Breadth”) 0.314 Source: own elaboration on collected data

As for the centrality measures (Network Centrality), Table 3, they allow you to define the positioning of an actor in your network in exclusively relational terms. Again we have three ways to express it. As can be seen from the table below, the degree (Degree) expressed as a percentage expresses in our case the number of choices that the

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types of catering have received in the network: with reference to collective catering there has been a uniformity of choices towards suppliers of agri-food products. On the other hand, commercial catering was more selected, ranging from 32% to 46.4%. In the case of Closeness Centrality it is a matter of examining the most central and most peripheral nodes in relation to the distance between the points. It means that a node is more central if it is closer to the other nodes. Collective catering is the one that has the most points in contact with others. Basically, many suppliers are common. While the factories of the circuit of commercial catering and in particular “Palazzo” has some exclusive suppliers and as can be seen from the indices, they remain more peripheral. Finally, centrality as interposition shows how a low or zero link was to be expected in relation to the lack of direct link between suppliers. Table 3. Descriptive statistics of the measure of centrality Degree, Close Nrm out degree % Collective catering 100.00 Campus 46.400 Orso cattivo restaurant 40.00 Palazzo 39.800 Pecco 32.000 Descriptive statistics Sum 858.200 Max 100.00 Min 32.00 Mean 78.018 Std Dev 29.242 Source: own elaboration on collected data

Close 100.00 11.00 11.00 9.091 10.989

Between 0.000 0.000 1.111 0.000 0.000

742.302 100.000 9,091 67.482 43.020

1.111 1.111 0.000 0.101 0.319

We have also grouped the 44 suppliers based on the legal form and in relation to the geographical origin. The legal form is dominated by individual companies which are equal to 50% (22 suppliers), of which over (11 companies) 50% agricultural/agri-food companies. Agricultural cooperatives are 14% (& suppliers). As for companies, both joint-stock companies (S.p.a) and limited liability companies (S.r.l.), they represent 18% of suppliers (8 companies in both cases). As regards the origin, approximately 82% are agricultural/agri-food companies from municipalities in the following Calabrian provinces: Catanzaro (27%), Reggio Calabria (20%)), Cosenza (16%), Crotone (14%) and, finally, Vibo Valentia (5%). Only 8 agri-food businesses (18%) come from other regions. These highlight the preference of the Ho.Re.Ca. channel. RistorArt for local artisan products and purchased in large part directly from the manufacturer without any intermediation process appearing along the supply chain (Fig. 3). In this way, a direct relationship is established between the manufacturer and, in our case, the restaurant company that we commonly call “short supply chain” or “zero-kilometer product”. Consequently, the company is in a position to offer these types of “quality” products also in collective catering, where the profit margins (referring to a single meal) are essentially lower than those typical of commercial catering.

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To examine suppliers, three categories were considered, based on the loyalty relationship understood as the set of actions aimed at maintaining an economic relationship. Also in this case, a network analysis was applied (Fig. 3). The following categories have been identified: weak loyalty: all those suppliers who have entered into a sales relationship in a span of time ranging from 1 to 4 years; average loyalty: all those suppliers who have entered into a sales relationship in a span of time ranging from 5 to 8 years; high loyalty: all those suppliers who have entered into a sales relationship for more than 8 years.

Fig. 3. Social network relating to intermediation and loyalty of suppliers

4 Conclusions This study contributes to the analysis of the relationships between producers and the Ho.Re.Ca. channel. in Calabria and allowed us to highlight within the complex local food system (urban and rural), the centrality of Ho.Re.Ca service companies within a circular industry-distribution-consumption economy (Verlinden 2017). It is a channel that can offer employment and income opportunities to small, vulnerable and at risk of marginal family businesses in Calabria, allowing for a possible business transition that from margins and crises can move towards new and sustainable forms of resilience and value creation. Among the leading sectors of the Ho.Re.Ca we find that of the restaurant sector due to the predominant role that the choices that concern food throughout the world are assuming. Socio-demographic change factors and rapid socioeconomic transformation have led to changes in the lifestyle of families (Kuever 2018). Food consumptions, tastes and symbolic meanings of food and its individual and collective assumption change. In this context, the service companies of the Ho.Re.Ca channel have undergone a significant evolution in society in relation to these mounts

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and are destined to assume an increasingly important role as a strategic aggregation tool for small agri-food businesses. Furthermore, both in commercial and collective catering, the need to create products that have a limited environmental impact is growing. Not surprisingly, there are many companies operating in the Ho.Re.Ca that commit themselves daily to developing product lines made with compostable and biodegradable materials.

References Leondini, F., Angelis, M.: Un HoReCa senza bottiglie: ripensare il modello di business della Distribuzione (2019) De Angelis, M., Leondini, F.: From a metaphysic of the consumer to an antropology of consumption: a novel methodological approach to the study of food and beverage consumption, working paper (2017) Feenstra, G., Ohmart, J.: The evolution of the school food and farm to school movement in the United States: connecting childhood health, farms, and communities. Child Obes. 8, 280–289 (2012). https://doi.org/10.1089/chi.2012.0023 Galli, F., et al.: Co-producing sustainability: involving parents and civil society in the governance of school meal services. A case study from Pisa, Italy. Sustainability 6, 1643–1666 (2014). https://doi.org/10.3390/su6041643 Fancello, G., Paddeu, D., Fadda, P.: Investigating last food mile deliveries: a case study approach to identify needs of food delivery demand. Res. Transp. Econ. 65, 56–66 (2017) Nicolosi, A., Laganà, V.R., Laven, D., Marcianò, C., Skoglund, W.: Consumer habits of local food: perspectives from Northern Sweden. Sustainability 11, 6715 (2019). https://doi.org/10. 3390/su11236715 Lehtinen, U.: Sustainability and local food procurement: a case study of Finnish public catering. Brit. Food J. 114, 1053–1071 (2012). https://doi.org/10.1108/00070701211252048 Eurostat (2018). https://ec.europa.eu/eurostat/data/database Sbraga, L., Erba, G.R.: (a cura di) Ristorazione – Rapporto annual 2018. Ufficio studi FIPE (2018). https://www.fipe.it/media-pubblicazioni/pubblicazioni-ed-editoriali/item/6283rapporto-ristorazione-2018.html. Accessed July 2019 Pedroza-Gutiërrez, C., Hernändez, J.M.: Social networks, market transactions, and reputation as a central resource. The Mercado del Mar a fish market in central Mexico. PLoS ONE 12(10), e0186063 (2017). https://doi.org/10.1371/journal.pone.0186063 Kim, Y., Choi, T.Y., Yan, T., Dooley, K.: Structural investigation of supply networks: a social network analysis approach. J. Oper. Manag. 29(3), 194–211 (2011). https://doi.org/10.1016/j. jom.2010.11.001 Scott, J.: Social Network Analysis. Sage, Thousand Oaks (2017) Nicolosi, A., Laganà, V.R., Cortese, L., Privitera, D.: Using the network and MCA on tourist attractions. The case of Aeolian Islands Italy. Sustainability 10, 4169 (2018) Wasserman, S., Faust, K.: Social Network Analysis Methods and Applications (Vol. 8) Part of Structural Analysis in the Social Sciences. Cambridge University Press, Cambridge (1994) Bevilacqua, C., Ou, Y., Pizzimenti, P., Minervino, G.: New public institutional forms and social innovation in urban governance: insights from the “Mayor’s Office of New Urban Mechanics” (MONUM) in Boston. Sustainability 12, 23 (2020)

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Verlinden, T., Van de Voorde, E., Dewulf, W.: Ho.Re.Ca. logistics and medieval structured cities: a market analysis and typology. In: Clausen, U., Friedrich, H., Thaller, C., Geiger, C. (eds,) Commercial Transport. Lecture Notes in Logistics. Springer, Cham (2016) Kuever, E.: The sociology of consumption: a global approach. Consumption Mark. Cult. 22(2), 202–205 (2018). https://doi.org/10.1080/10253866.2018.1494371

Italian Innovative Start-up Cohorts: An Empirical Survey on Profitability Guido Migliaccio(&)

and Pietro Pavone

University of Sannio, via delle Puglie, 82, 82100 Benevento, Italy {guido.migliaccio,pietro.pavone}@unisannio.it

Abstract. Since 2012 attention to innovative start-ups has grown in Italy. This quantitative research analyzes the trend of the main income ratios of 673 large companies from 2014 to 2018. A disaggregated analysis by cohorts is also carried out, comparing the profitability of 4 start-up groups set up in the same year. Statistical tools are also used to better interpret the phenomenon including the Anova test, despite the sometimes-modest number of observations which reduces its information value. The general profitability of the company and that of the main business are on average increasing. This is true of all cohorts, already in the first two years of their establishment. In fact, Roe and Roi are always growing despite different values justifiable also in relation to macroeconomic phenomena. The main limitation of the study is its purely quantitative nature based on a heterogeneous sample, with companies operating in different sectors. However, it can be useful to those who govern and to companies in need of spatial and temporal comparisons. In the method, it promotes governance and control of innovative business models, re-evaluating classic performance measurement tools adapted to new production contexts. Keywords: Economic performance
Balance-Sheet analysis
Start-up cohorts

1 Introduction Since 2012, reflections on the experience of innovative start-ups and on small and medium-sized innovative companies that often derive from them are frequent. The constant attention is also demonstrated by the need to continuously improve the rules and the facilitated methods of financing (Pavan 2015). The recent survey by the Central Statistical Institute (Mise-Istat 2018) highlighted the considerable interest in an instrument that seems to provide positive results, although not without criticism (Confimprenditori - Centro Studi 2016). The most recent available data (Calenda 2017; Mise-Istat 2018) show that the phenomenon is continuously growing, with a high survival rate. Youth and skilled employment increases and, with it, production and turnover. The innovative methods of financing (Pais et al. 2018) also seem to have been well received, as the role of incubators and accelerators appears to be useful (Lukeš This paper is the result of a collaboration between the authors. However, it is possible to attribute to Pietro Pavone the paragraphs, with relative sub-paragraphs, “Research” and “Findings”. The others are by Guido Migliaccio. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 834–843, 2021. https://doi.org/10.1007/978-3-030-48279-4_78

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et al. 2018). However, there are no quantitative studies that focus on equity, financial and economic performance based on the results of the mandatory statutory reporting, perhaps elaborated with adequate statistical algorithms. The only exception is a previous publication of the authors of this paper (Migliaccio and Pavone 2019) which focused economic and financial performance through an empirical macro-regional investigation of the financial statements using the Anova method. However, in it, the companies were not selected by year of establishment. Therefore, this study implements knowledge derived from public sources with an analysis of trends of the main profitability ratios of innovative Italian start-ups, considered in cohorts of companies established in the same period.

2 Bibliographic Notes 2.1

Management and Accounting of Innovative Start-Ups

The topic of innovative start-ups has generated a very extensive bibliography. The topics can be traced back to four moments in the life of a start-up, with different bibliographic sources: institution, support, growth and development and, finally, performance analysis in the context of a wider management control activity. Capozza et al. (2018) focus on the local factors associated with the emergence of innovative start-ups. In particular, the local activity of large companies, the presence of universities and urbanization outline a local ecosystem favorable to start-ups, generating useful osmosis with local politics and therefore with the availability of capital. The determinants for the birth of start-ups are already proposed by Santarelli and Piergiovanni (1995) with the analysis of indices. Obviously, birth and survival also depend on the skills of the founders (Peruffo et al. 2018) combined with the cohesion of the constituent group: harmony in the workplace is always the cause of the best successes (Tognazzo et al. 2017). The international bibliography also considers the hypotheses of entrepreneurs who have started innovative start-ups abroad, highlighting the differences between Italians and other ethnic groups in the way and style of starting start-ups (Filion et al. 2003). In Italy there are: a manual for young entrepreneurs (Fava 2010) and specialist monographs (Scarpa 2017). Assistance in the initial stages is ensured by business incubators (Pavan 2015) whose experience gained over the years is subject to discussion (Lukeš et al. 2018). The difficulties in the establishment phase that make companies particularly vulnerable are clearly outlined in Nicolò’s recent monograph (2019). After the startup phase, it is important to learn to grow. Failing this, there is a risk of a sudden closure (De Massis et al. 2012). Finally, we should mention those who propose specific tools for evaluating performance in the context of the wider management control (Ricci and Palma 2018). The only, already mentioned recent study on economic and financial balances (Migliaccio and Pavone 2019) reports significant conclusions. The general profitability of the company and that attributable to the characteristic business are on average growing in Italy and in its three macro areas (North, Central and South), despite some obvious distinctions deriving from the territorial characteristics and from the sample size. The common tendency to increase corporate debt at the expense of equity could

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be derived from the forms of subsidized finance enjoyed by these companies in the Italian context (Nicolò and Ricca 2019; Nicolò and Nania 2017). However, the shortterm capital structure appears satisfactory and tends to improve. An average positive opinion also for the coverage of structural investments. These considerations, however, serve the limitation of not having distinguished companies on the basis of their establishment date: the trend analysis of the indexes for cohorts of companies (Nicolò 2017 and 2019; Nicolò and Ricca 2019; Nicolò and Nania 2017) should implement and improve the analysis of the phenomenon. This is the main objective of this research, which also makes use of numerous statistical elaborations and above all of the Anova method (Gu 2013; Ross and Willson 2017; Liao and Li 2018). 2.2

Cohorts in Management Studies

In statistical sciences the cohort is a set of subjects drawn from a predefined population, characterized by the same event in a predefined period. In this analysis, the analyzed cohort is composed of companies established in the same year. Therefore, we want to measure profitability by comparing the results of different cohorts. Cohort tool is widely analyzed in several disciplines in which it is necessary to follow a phenomenon related to homogeneous subjects with respect to a parameter. Economic and social studies also use this tool, even if there are no significant applications with balance sheet analysis. The research most similar by design to this study is by Bukstein and Gandelman (2017) who used a methodology to differentiate between age, time (business cycle) and cohort effects in entrepreneurship in some Latin American countries. Again, with reference to economic cycles, with the use of cohorts, is the contribution of Andersen et al. (2017) which, with reference to the Danish situation, measured the effects of cyclical fluctuations on the various cohorts of workers. And it is precisely the study of the labor market that has been most frequently analyzed by cohorts (Rasticova and Kolarova 2015), also in Italy (Pirone 2017), considering the need to follow the evolution of workers born in the same period. The studies that come closest to the managerial content of this paper are certainly attributable to an Italian author D. Nicolò and to his colleagues who have proposed numerous contributions on young companies, also making use of the cohorts’ investigation tool. The authors analyzed: the reasons for vulnerability of young businesses (Nicolò 2019); risk, capitalization and survival of young firms, through an empirical survey on Italian companies (Nicolò and Nania 2017); under-capitalization and other factors that influence the survival of young Italian companies (Nicolò and Ricca 2019); and young firms sustainability and corporate reputation: a comparison of the survival rates in the US and in the EU (Nicolò 2017). Bibliographic analysis shows the lack of studies focusing mainly on the financial statements that characterize this paper.

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3 Aim, Hypotheses, Research Questions and Document Structure The main purpose of the study is to analyze the income performance of the largest Italian start-ups, grouped by year of establishment, through the study of the temporal evolution of balance-sheets ratios. Three research questions: RQ1: what was the trend of the most representative income indices of the Italian start-ups in the period 2014–2018, regardless of the sector to which they belong? RQ2: what was the evolution of these indices for companies of the same cohort? RQ3: are there significant differences between cohorts? For what reasons? To answer these research questions, the study proposes a quantitative analysis of a significant sample of companies with a turnover of over € 800,000 operating in different sectors of the national economy. The trends of the three economic-income ratios (Roe and Roi) are determined, illustrated and commented, albeit using appropriate statistical processing. The availability of elaborable data was however modest, although significant, despite the large number of companies in the sample. Finally, the conclusions, implications, limitations of the study and possible future developments for the numerous questions still open are presented. The hypotheses to be verified can be listed as follows: H1: the profitability of start-ups is normally positive and high, regardless of the cohort, because all operate in innovative areas characterized by high added value; H2: the date of birth should be indifferent to profitability. This means that the comparison between cohorts should not indicate statistically significant differences.

4 Research 4.1

Data Collection and Sample Characteristics

The study uses data from the AIDA - Computerized Business Analysis database (update 275, software version 103.00) (https://aida.bvdinfo.com) of Bureau Van Dijk. The 673 companies in the sample belong to different production sectors with the common denominators of being “innovative start-ups” and having a turnover of over € 800,000. The survey refers to the 2014–2018 period. In the sample there are only companies that survived in the period. Any closed companies have been eliminated to avoid distorting effects on results. The data were aggregated in cohorts to form four groups (A, B, C and D) of homogeneous observations over time. The subsequent retrospective follow-up made it possible to carry out the processing avoiding the risk of distorted results for the comparison of companies in different stages of maturity. There are 371 start-ups located in Northern Italy, 129 in Central Italy and 173 in the South. The prevalent legal form is the S.r.l. (96,7% of the sample), 0,66% are cooperative companies and 2,7% is joint stock company. The performance analysis was carried out using the classic synthetic indicators represented by the profitability of the equity (Return on Equity - ROE) and the profitability of the invested capital (Return on Investment - ROI), which, although synthetically, manage to frame the company income profile.

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Methodology

The sample data were aggregated to form the following cohorts of companies: – Cohort A: 44 start-ups set up in 2013 and 2014. The companies born in 2013 are very few and almost all were started in the last months of the year. Therefore, these companies were added to those born in 2014. However, for companies born in 2013 there are values available only from 2014. These are mainly S.r.l., with only one S. p.A., including 24 operating in Northern Italy, 7 in Central and 13 in the South; – Cohort B: 140 start-ups set up in 2015. There are 130 S.r.l. and only 10 S.p.A., 91 in the North, 30 in the Center and 19 in the South; – Cohort C: 163 start-ups born in 2016. In addition to 159 S.r.l. there are 3 S.p.A. and 1 S.c.a.r.l.p.a. In the North 82 start-ups, 26 in the Center and 55 in the South; – Cohort D: 326 start-ups set up in 2017 (319 S.r.l., 4 S.p.A., 2 S.c.a.r.l.p.a., 1 limited liability consortium company). 174 companies in the North, 66 in Center, 86 in the South. In Italy, innovative start-ups were governed by a law of October 2012. This justifies the growing number of companies from 2013, even considering the good results also due to incubators and accelerators. The evolution of Roe and Roi for each group was observed in the period 2014–2018. The statistical elaborations present a focus on the first two years of each cohort, in order to understand the income dynamics in the first start-up phase of the companies. The columnwise method was used to consider all available observations for each variable. Subsequently, the statistical analysis ANOVA was used to evaluate the variability within the groups and between the groups, starting from the average values of each index calculated for the two years. The ANOVA test can accept the null hypothesis (H0), that is that the means of the groups are equal or reject it, verifying the existence of at least one different average from the others. In this study, the choice fell on the “one-way ANOVA” technique, with the provision of a single independent variable (the articulation in cohorts) and multiple dependent variables (the indices), separately analyzed. Considering the different number of observations for each variable, it was not possible to perform the ANOVA test on the original values of the indices but it was necessary to operate on the average values.

5 Findings ROE – Return on Equity It reports net profit to equity and measures the overall profitability of the company. Table 1 summarizes the statistics of the data collected for each group. ROE values, on average very high in line with what has already been highlighted by Migliaccio and Pavone (2019), are much more contained in the first year of life of young entrepreneurial initiatives. Above all, the companies set up in 2015 have an average ROE of 5,05 far lower than that of about 12 in the first year of activity of the companies of group A and group B. The profitability of the equity of start-ups born in 2017 was high when the effects of the international financial crisis had waned.

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Table 1. ROE – mean and focus on the first two years Cohort Cohort Cohort Cohort

2014 2015 A 11,99 24,85 B 5,05 C D

2016 24,49 15,44 11,98

2017 26,16 15,56 33,58 19,81

2018 25,95 18,38 26,53 31,95

Year 1 11,99 5,05 11,98 19,81

Year 2 24,85 15,44 33,58 31,95

A common feature is the exponential growth of values in the transition from the first to the second year; the trend continues without peaks in the following years, with the exception of Group C: from 33,58 in the second year to 26,53 in the third year. The focus on the first two years shows always high ROE, with values that double and in some cases triple in the second year. The highest starting value is recorded in cohort D: 19,81 while group C has the highest value in the second year: 33,58. Table 2 shows the results of the analysis of variance between cohorts. The results lead to accepting the null hypothesis (H0) and to reject the alternative hypothesis (with a reliability level of 95%). So, the differences in values that are found, however, are above all differences that take on importance in the transition from the first to the second year of activity, but the upward trend is the same between the groups. The absence of a statistically significant difference between cohorts (because F < F crit.) means at the same time greater variability within each group rather than between them: in fact, SQ “within” (443,635) > SQ “between” (276,340). Table 2. Roe – analysis of variance Source of var. Between groups Within groups Tot. Significant level.

SQ 276,340 443,635 719,976 0,05

gdl MQ F Sig. F crit 3 92,11355 0,830533307 0,542431 6,591382 4 110,9089 7

ROI – Return on Investment It measures the percentage profitability of the main business of the company. It is a relationship that has the operating result in the numerator and in the denominator a sum that expresses the capital invested in that management area. Aida database calculates it as follows: equity + bonds within 12 months + bonds over 12 months + banks within 12 months + banks over 12 months + other lenders within 12 months + shareholders for loans within 12 months + shareholders for loans over 12 months + other lenders over 12 months. In the first phase of a company’s life, it provides a useful indication of the goodness of the entrepreneurial initiative and therefore of the ability to continue over time. Table 3 summarizes the statistics calculated by groups.

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G. Migliaccio and P. Pavone Table 3. ROI – mean and focus on the first two years Cohort Cohort Cohort Cohort

2014 2015 2016 2017 A 3,62 4,77 3,66 2,89 B −2,96 2,47 4,31 C 1,14 5,47 D −0,21

2018 5,06 5,16 9,64 4,84

Year 1 3,62 −2,96 1,14 −0,21

Year 2 4,77 2,47 5,47 4,84

The ROI values are much lower than the ROE values. Only group A has a ROI of 3,62 in the first year, followed by a value equal to 1 of the companies of the first year in group C and even negative values in groups B (−2,96) and D (−0,21). In general, the variation interval has a range from −2,96 (B: 2015) to 9,64 (C: 2018). The return on operating net invested capital appears discreet and in any case in increasing trend: in all groups the highest values are recorded in the last year. Considering that ancillary management in such young enterprises is not fundamental, it is reasonable to assume that all the available resources will be directed towards developing the profitability of the main business. Profits should be reinvested. Considering only the first two years, a common upward trend emerges. The values are low and, in some cases, negative, as recorded in the first year of observation in group B (−2,96) and in group D (−0,21). Also in this case, the ANOVA test (Table 4) does not show differences that are statistically significant between the groups (F = 0,784 < F crit. = 6,591), while there are differences within each group (SQ “within” = 37,529 > SQ “between” = 22,088). Table 4. Roi – analysis of variance Source of var. Between groups Within groups Tot. Significant level.

SQ 22,0881 37,5294 59,6175 0,05

gdl MQ F Sig. F crit 3 7,362717 0,784741207 0,561539 6,591382 4 9,38235 7

6 Conclusions and Implications This research analyzed the trend of the main income indices (RQ1) of a significant sample of 673 companies in different sectors of the national economy, in the period 2014.2018. The focus is mainly on groups of companies created observing the establishment date (cohorts) (Nicolò 2017 and 2019; Nicolò and Ricca 2019; Nicolò and Nania 2017). Some typically statistical tools allowed a more detailed analysis, despite the available and elaborable information lower than the number of companies in the sample. In confirming already published results (Migliaccio and Pavone 2019) it emerges that the overall profitability of the company and that attributable to the

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characteristic business are on average increasing, also confirming the results of the official statistics (Calenda 2017, p. 81). The comparative analysis by cohorts (RQ2 and RQ3) shows that the increase in profitability already characterizes the first two years of life of companies, despite the classic “barriers to entry” that means difficulties in the start-up phase of new businesses. In fact, Roe and Roi are always growing despite different values justifiable also in relation to macroeconomic phenomena that may have characterized the different moments of establishment of companies. There is a clear parallelism between some cohorts for both indices. The constant income growth already in the first two years of life probably depends on the typicality of these start-ups and their sectors, which require rather short times to reach full management regime and therefore good profit results. The heterogeneity of the sample does not allow more analytical evaluations, possible only by carrying out similar investigations for homogeneous product sectors. As we answered the three research questions that led the empirical verification, the initial hypotheses of this research can be confirmed. First, there is a positive and high profitability, presumably because innovative start-ups operate in areas characterized by high added value (H1). Then, the second hypothesis (H2) can also be considered partially confirmed, considering that the date of incorporation seems to be indifferent with respect to profitability which is almost always increasing, at least for three out of four indices, however recording different absolute values presumably attributable to the different trend economic and to different impacts of the different sectors included in the heterogeneous sample. So, there are differences between the first and second year, but belonging to one cohort rather than another does not significantly affect these differences. The main limitation of this study is its quantitative nature. A more comprehensive picture of the situation could be obtained by extending the sample to even the smallest companies, especially those with a family dimension which could be numerous. The expansion of the number of indices could also provide more detailed and significant results: profitability analysis, also with other ratios (Roa, Ros) should necessarily connect to a study on the financial structure of companies, especially considering the results of previous research (Migliaccio and Pavone 2019) which have shown a worrying increase in debt presumably due to low interest rates (Nicolò and Ricca 2019). Then, the considerations from the balance sheet data should integrate with qualitative analyzes, also intercepting variables that are notoriously neglected in the context of economic and financial reporting. An interdisciplinary assessment should be carried out, considering that start-ups also have a social and employment function, and are sometimes present in sectors related to environmental and ecological problems. Further comparisons with the statistical reports could help (Calenda 2017 and Mise-Istat 2018). An international comparison with a similar methodology is desirable, but not easy especially for the different standards. Finally, it should be noted that statistical tools have a limited value considering the sometimes-small number of observations: increasing the observations and the duration of the comparative trends, statistical outcomes and company evaluations should converge. The study can have several implications. It can certainly be useful, in the method, for the development of empirical research relating to public or private companies, with available balance-sheet data. It promotes data-based analysis and therefore develops a culture of comparison, favoring the identification of possible disadvantages of the

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individual company compared to the sector average. Thus, the importance of the financial statements for management purposes is also re-evaluated. It can also be useful to policy makers in the sector, who can base their decisions on information drawn directly from business realities, rather than from statistical or econometric data. The research also contributes to the knowledge of the Italian situation which can be considered a useful reference for other countries. Lastly, the paper implements the scientific material available for scientific research and teaching of academic and advanced training courses relating to the new frontiers of management. This study is part of a larger project on the performance of Italian companies before, during and after the 2008 economic crisis. The project investigated Italian cooperative companies (Fusco and Migliaccio 2018 and 2019). More recently, a similar method, mutatis mutandis, has also been extended to joint stock companies belonging to various sectors of the Italian economy: tourism (Migliaccio 2018), energy (Iovino and Migliaccio 2019), wine (Migliaccio and Tucci 2020), etc. The aim of the project is to develop an intersectoral comparison to evaluate differences that could focus on the most successful strategies, useful in the unfortunate hypothesis of new crises.

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A Structured Literature Review of Immigrant Entrepreneurship. Insights from Italy Valbona Dudi1(&), Mara Del Baldo1 and Maria Gabriella Baldarelli2 1

,

Urbino University Carlo Bo, A. Saffi 42, 61092 Urbino, PU, Italy [email protected] 2 Bologna University, Capo Di Lucca 34, Bologna, Italy

Abstract. This paper reviews the field of immigrant entrepreneurship in Italy, through a Structured Literature Review (SLR), in order to develop insights into how this field is emerging, to offer a critique of the research to date and outline future research opportunities. Immigrant entrepreneurship is a multi-faceted phenomenon and three approaches, - the structural approach, the cultural approach and the Mixed Embeddedness perspective-, addressing both economic and sociocultural factors, have been used as a starting point to examine literature on this topic. Despite the fact that the phenomenon of immigrant entrepreneurship is in the focus of multiple disciplines, there is still a considerable gap in the academic literature regarding to an exact definition of it. The present research addresses the issue of a substantial lack of an acceptable interdisciplinary definition of “immigrant” and “immigrant entrepreneurship” by means of synthesizing existing literature on the matter and identifying the most current and relevant concepts through the coding method. The research pointed out also the limited contribution of management and accounting studies in deepening the immigrant entrepreneurship phenomenon. Considering the development of this phenomenon in the new era of globalization and the growing of recent flows of immigration in all continents, particularly in Europe, we claim for the need to fulfil this gap through further studies. In this regard, this empirical research provide useful insights in pointing out some research path to cultivate in the future. Keywords: Immigrant entrepreneurship Italy


Structured literature review (SLR)


1 Introduction This paper aims at tracing a state of art of immigrant entrepreneurship in the international literature in general, with a particular focus on its development in the Italian context, a country which has taken a transformation process during the last 40 years, moving from an immigrant country to an immigration hosting country. The first attempt at literature research on the chosen topic, had the scope to become familiar with the topic in general, to individuate its first strands and its development until nowadays, and finally to better individuate the key words for a second and more structured literature research. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 844–858, 2021. https://doi.org/10.1007/978-3-030-48279-4_79

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The second step consisted in a Structured Literature Review specifically for the Italian context, in order to identify the development of the research in this topic in the country, to highlight gaps and to address future research. As pointed out in previous SLR on the topic, very limited mainstreaming of immigrant entrepreneurship studies concerning Europe in general and the Italian context in particular are found, highlighting the necessity of more studies on the subject (Dheer 2018; Zapata-Barrero and Yalaz 2018; Aliaga-Isla, and Rialp 2013). AliagaRisla and Rialp (2013) pointed out that, “Immigrant entrepreneurship research in this region is dominated by studies of the Netherlands and Germany. Other studies in immigrant entrepreneurship conducted in other European countries have only a slight presence in journals with an impact factor” (Aliaga-Risla and Riapl 2013:825).

Dheer (2018) in his SRL on immigrant entrepreneurship using the Web of Science database, covering articles published between 1980 and 2016, found only two studies with a focus in Italy. Zapata-Barrero and Yalaz 2018, in their qualitative research on immigrant entrepreneurship confirmed this low trend regarding European countries, especially Italy and recommended for more studies in the international arena with this topic in European countries, taking in consideration even the immigration trends during the last years. This study aims to take a step forward to fill this gap. This paper is organized as follows: Sect. 2 introduces the theoretical framework on immigrant entrepreneurship studies related to immigrant entrepreneurship in the international context, with a particular focus to the Italian one. Section 3 describes the methodology used, the definition of the research questions, the selection criteria of articles object of the study, the creation of the literature review protocol and its implementation for both two steps of the research, the exact definition of the terminology of “immigrant entrepreneur” in the literature, in both contexts, international and Italian one, the analyze of the research performance. Section 4 describes the state of the research and policy of immigrant entrepreneurship in the Italian context and presents several limits and unanswered problems as well as opportunities for future research direction.

2 Methodology – Structured Literature Review There is a need to critique existing knowledge before offering future research directions. This study follows the directives of Massaro et al. (2016) on structured literature reviews. The early step of this second research attempt was to identify if to date there has been other structured literature reviews on Immigrant and/or Ethnic Entrepreneurship, specifically for the Italian context, published in academic journals indexed in Scopus. Then the research was expanded on other structured literature reviews (SRL), with a specific focus on Immigrant and/or Ethnic Entrepreneurship in the international arena. From this second research three significant papers were individuated, (Dheer 2018; Zapata-Barrero and Yalaz 2018; Aliaga-Isla, and Rialp 2013), pointing out the necessity of more studies on immigrant entrepreneurship, especially in Italy.

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Namely, the review process was carried out in eight different phases. After specifying the research questions, it continued with the selection of the database for the structured literature review, the creation of the literature review protocol and its implementation, the analyse of the research performance ending with conclusions and future directions. Data are analysed with NVivo 12 software.

3 Research Questions As mentioned above, the study aims to identify the gaps to be filled in order to enlarge the knowledge on the immigrant entrepreneurship and its implementation in the Italian context, through a structured literature review. In order to reach the objective, following research problems and related sub-research questions arise: RQ1: Trace the theoretical construct of the immigrant and immigrant entrepreneurship phenomena, drawing from existing international literature, highlighting it’s gaps. RQ2: Depict a state of the art on immigrant entrepreneurship in Europe in general and Italy in particular, by answering the following questions: • RQa: What is the state of art of studies on immigrant entrepreneurship in the international literature? • RQb: What is the state of art of studies on immigrant entrepreneurship in the Italian context? By answering these questions, we aim to contribute in finding gaps for future lines of research and creating critical conscious of how this field of knowledge has evolved. Furthermore, for this study, the definition of the term “immigrant entrepreneurship” is considered necessary in order to differentiate it from other groups such as ethnic or internal migration. 3.1

Immigrant Entrepreneurship in the International Literature – Selecting Relevant Publications

The first attempt at literature research on the chosen topic, had the scope to become familiar with the topic in general, to individuate its first strands and its development until nowadays, to individuate an exact definition of the “immigrant entrepreneurship” in the international arena, and finally to better individuate the research questions and the key words for a second and more structured literature research. The first research attempt was in Google Scholar website, considering it maybe a little less professional than other scientific sites, like Scopus or Web of Sciences, but, however, is a search engine with a simpler access to all the authors. The research keywords were “ethnic and/or immigrant entrepreneurship”, “foreign business owner and/or founder”, “minority entrepreneurship”, appearing in titles, abstracts or keywords of scientific journal articles, books or conference proceedings, with no time constrain. The search terms were intentionally kept broad to increase the preliminary search scope. There was no exclusion of books or articles based on language, as well as only books and articles in English language are found. Only books and articles with 250 citations and more are considered for this step.

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The research produced an elevated number of books and articles, but only the 36 more cited articles were firstly selected as potential for the review, with more than 250 citations each. This choice was made in order to individuate the more relevant authors of the selected field. For the selection of books and articles, book titles, paper titles, key words and abstracts have been reviewed to ensure that they discuss one or more of the two key arguments of the research topic. After this, 29 potential books and articles were identified at this stage, and 5 were discarded (two duplicates and 5 that treats only immigration phenomenon). Figure 1 shows the process of literature selection, at this early stage.

Searching criteria

A 36 potentially relevant article selected from Google Scholar database searching with 250 or more citations:

29 abstract of articles reviewed

2 duplicate and 5 articles have been removed as spoken only for the immigration phenomenon 3 full text articles were not available in free download , only abstracts are reviewed and included in final analysis

23 potential relevant articles individuated from references cita tions 26 full text articles reviewed in full text 12 articles from references were included in final analysis

38 full text articles and two abstracts are included in the final analysis

Fig. 1. Flow diagram for literature selection process – first step of research

After this first research with the above mentioned parameters, 29 potential articles, with 250 or more citations were identified for the review. Duplicates (2 articles) and 5 Articles who treats only the immigration phenomenon, without addressing immigrant entrepreneurship, were discarded. Specifically, in this research we tried to be consistent with academic trends; this does not mean, in any case, that other publications do not contribute or are less relevant for academic arenas. Twenty-nine abstracts of articles were reviewed, and try to download the Pdf file. Three full text articles were not available in free download, only abstracts are reviewed and included in the final analyse. According to Randolph (2009), electronic searches may lead to an insufficient amount of articles for a thematically-exhaustive review. The scope of this search was to find the roots, theories and the evolution of immigrant entrepreneurship till nowadays. Namely, references of founded articles were searched, 12 potential articles were identified and helped to create the evolution through years. In sum, thirty-eight articles and two abstracts were reviewed in full text and included in the analyse at this step.

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This research performance was the started point for the structured literature review. The retrieved books and articles covered a period of time from 1959 to 2019. In order to read, classify and analyse the content of the selected publications, a literature review protocol was developed. Table 1 schematically represents the final version, or a coding frame, of the formal reading protocol. Based on this protocol, a coding list is created and used for coding articles with NVivo 12 software. Table 1. Literature review protocol Article Impact

Author(s); Title; Journal; Year/Nr/Impact Data – base found Citations

Belonging scientific disipline Macro domain (e.g. SSD); Discipline

Article Content

Coding

Future research

Research objective; Theoretical framework; Research results; Audience

List of words and Concepts used for coding

Identify Gaps; Develop future paths and address questions

Books and articles have been selected on Google Scholar, without exclusions of scientific disciplines. In order to measure the impact, the number of citations was taken in consideration, including books and articles with a number of citations starting from 250 and more. The number of citations helped in constructing a relevant literature review, based on the development of immigrant entrepreneurship theories, through the years. It was pointed out that four books and two articles had more than thousand citations, of well known authors of the field, like Waldinger, Zhou, Light, Bonachich, Portes, Klosterman. This research result allowed us to better identify the keywords of the field of study; to identify the scientific discipline which mostly treats the argument and understand the role of economics in general, and accounting in particular, at this field of study; to identify gaps, theories and address future research. According to the identification of the field of study, which mainly deals with the topic, on 38 books and articles included in the review at this step, 9 were books or book chapters, and the rest were scientific journal articles. From this last group, eight articles were published on journals of the sociology field, two of urban studies, three on journals of management studies (Small Business Economics and Journal of Small Business) and the remains belong to the category of ethnic, migration and racial studies. As we can notice, the accounting field is mostly unfamiliar to this topic, and the management field is also limited. Due to the development of the immigrant entrepreneurship phenomenon in the new era of globalisation and recent flows of immigration in all continents, particularly in Europe, this fact can be considered as a gap to be fulfilled. This paper tries to partially fulfil this gap. The identification of other authors by the reference list of the above retrieved studies, as well as the keywords, helped to address the second step of the bibliography research. Namely, it helped to have a complete overview of immigrant entrepreneurship

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developments until our days, and create a basis to the research of immigrant entrepreneurship in the Italian context. It also highlighted the need for an exact definition of the term “immigrant entrepreneurship” in the literature. Through the first step of this SLR, we noted that the terms ethnic businesses, ethnic entrepreneurship, minority entrepreneurship, immigrant entrepreneurship, immigrant entrepreneur, ethnic economy, ethnic minority businesses, have been used interchangeably by researchers. However, Chaganti and Greene (2002) noted important differences amongst them. They confirm that “immigrants” can be defined as recent achievements in a country, and their survival tools often depend on entering the business. They also state that immigrants can or may not be part of a network linking them with a common source and destination. Basu (1998) define minority entrepreneurs as business owners who do not belong to the majority of population. They explain that a minority is not necessary an immigrant and may not share the sense of group solidarity with the ethnic one, in terms of language, history and culture nDoen et.al. (1999) agreed that the term ethnic indicate principally the origin of immigrants and can be misused in certain contexts, for the fact that persons belonging to an ethnic group do actually come from the same country of origin but each person can come from different cultural backgrounds. For many authors the term ethnic is a very restrictive one, which is been understood as entrepreneurial activity based on serving ethnic goods and services only to specific ethnic groups, restricting it in the ethnic market (Waldinger et al. 1990). Waldinger et al. (1990) states that immigrants have opportunities to not limit their offer in ethnic products or services, but to serve an open market with a variety of goods. Volery introduces the term “immigrant entrepreneurs” that include only individuals who have immigrated in the few past decades, distinguished from “ethnic entrepreneurs” (Volery 2007). The European Commission (EC) argues that: “Ethnic minority entrepreneurs have been understood as entrepreneurs or potential entrepreneurs who are immigrants in the countries concerned. Immigrants are defined as persons who have been born abroad, irrespective of their nationality and whether they are considered ethnic minorities or not in the countries involved. Immigrants also includes the offspring of immigrants, the second generation or the native born children of the first generation” (European Union (EU) Commission, 5 March 2008:5).

It considers the term ethnic entrepreneurship only related to businesses of certain immigrant groups, functioning on closed basis with collaborators and clients from that specific group. Instead, the European Commission consider immigrant entrepreneurship the opposite of the meaning of ethnic entrepreneurship, including: “business runs by immigrants who are not closed to a specific group, but that can operate or not in an open market” (EU, 5 March 2008: 6).

This form of entrepreneurship is characterized by immigrant experiences and their business opportunities, and does not have any connotation that necessarily reflects dependence on ethnic recourses. However, the EU definition, postpone the definition of immigrants or ethnic groups to the internal regulations of the member states. As a consequence, data on ethnic minority or immigrant entrepreneurs may not reflect the same phenomenon cross-nationally the EU.

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Immigrant-owned businesses can benefit from ethnic resources, without being an integral part of ethnic structures, but as independent subjects (Thomas and Ong 2015). The Italian legislation, as an EU member state, adopts the EU definition, but the individuation of immigrant entrepreneur or foreign entrepreneur is a little more complicated. The Italian National Register of Enterprises, established at the Chambers of Commerce, does not make e clear classification or distinction of foreign business owners (entrepreneurs) and Italian ones, classifying them only according to the country of birth. As a result, from national registers we can have classified as foreign entrepreneurs, Italian citizens who are born abroad or foreigners who have gained the Italian citizenship. For the purposes of this research, the term immigrant entrepreneurship and immigrant entrepreneur are used, in accordance to the EU definition (EU, 2008), refereed to all enterprises, those entrepreneurs are born outside Italy, classifying them in EU entrepreneurs all the persons who are born in an EU member state, and not EU entrepreneurs all the others.

4 Article Content - Theoretical Framework Regarding the theoretical framework used in the books and articles object of the review, we identified and classified them according to their nature. Two main groups were considered, those that have used (1) a literature review and those that have built (2) theoretical frameworks. We have found that most studies are based on theoretical frameworks (30 books and articles) and the rest have used a literature review (10 articles) of previous studies related to the subject under study. For instance, some studies have focused on classical theories such as human, social capital and immigrant entrepreneurship theories (Borjas 1995, Masurel 2004, Portes 1981, Zhou 2004, Ambrosini 2005), others have used some approach of Interactive Model of Opportunities (Waldinger et al. 1990, 1995) and others have approached on Mixed Embeddings studies (Klosterman et al. 1999; 2000; 2010, Mata and Pendakur 1999, Razin 2002). 4.1

Structured Literature Review in the Italian Context – Selecting Relevant Publications

The second step of SLR consisted in a second research, this time through Scopus, limited to the Italian context, in order to identify the development of the research in this topic in Italy, to highlight gaps and to address future research. The use of Scopus data base was considered for this step of the research. This database was selected based on its emphasis on providing relevant multidisciplinary research connected through linked content citation metrics from multiple sources. There were three keywords, and the research arena was limited to Italy: • Ethnic Entrepreneurship Italy - 12 results • Immigrant entrepreneurship Italy - 30 results • Immigrant Entrepreneurs Italy - 48 results

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Despite the attention is on immigrant entrepreneurship, the term ethnic is taken in consideration too, as previous literature in the field has done. However, when used in this context, it is purely considered as the operational definitions used by the author and the particular study being discussed at that time. For the selection of articles, paper titles, key words and abstracts have been reviewed to ensure that they discuss one or more of the three key arguments of the research topics. Editorials, commentaries, interviews, conference proceedings, book reviews and very short articles (4 pages or fewer) were excluded, as well as articles not available in the electronic form. We decided to maintain books and books chapters founded in the electronic form, as they make a notable contribution in constructing the literature of immigrant entrepreneurship in Italy. There was no exclusion of articles based on language, as well as only articles in English and Italian language were found. Figure 2 shows the process of literature selection.

Searching criteria A 90 potentially relevant books and articles identified through the use of Scopus database using the three keywords. 25 duplicate, and 1 paper with no author have been removed 63 abstract reviewed 18 full text articles were not available in free download, only abstracts are reviewed and included in final analysis 32 full text articles reviewed in full text

32 full text articles and 18 abstracts included in final analysis

Fig. 2. Flow diagram for literature selection process

After the first research with the above mentioned parameters, 90 potential articles for the review were identified. Duplicates, that results from the crossed research within the keywords (25 articles) and one article with no author were discarded. Specifically, we tried to be consistent with academic trends; this does not mean, in any case, that other publications do not contribute or are less relevant for academic arenas. Sixty four abstracts were reviewed, thirteen were discarded because treats argument not closely related to the topic, or which not concern the Italian context. For fifty articles or book

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chapters we try tried to download the pdf file, through the proxy of the University of Urbino library. 18 full text articles were not available in free download, therefore only abstracts were reviewed and included in the final analyse. In sum, 32 articles downloaded in full text and eighteen abstracts were included in the final analyse. This search had no time – constrain. However it is only in the last fifteen years that we have a growing interest from researchers, policy makers and professionals on immigrant entrepreneurship studies in the Italian context. The retrieved articles cover a period of time from 1998 to 2019, peaking in 2014 (7 publications) and 2018 (8 publications) (Fig. 3), in line with the growing interest on this field in the global arena, especially in Europe.

Fig. 3. Trends of publication through years (focused country – Italy)

5 Defining the Literature Review Protocol In order to read, classify and analyse the content of the selected publications, a literature review protocol was developed, respecting the parameters described in the abovementioned Table 1. Articles were divided into core categories by their scientific domain. The scientific domain was defined by article research focus, journal research domain and author research field (Table 2). After analyzing all articles by the above mentioned criteria, two main scientific domains were defined as follows: • SSD – Social Sciences & Demography (31 articles) • EMA – Economics, Econometrics, Management and Accounting (16 articles) • Multidisciplinary – both SSD and EMA (3 articles) Classification of the selected publications according to their scientific domains is fundamental for one of the objectives of the present research, which aims to identify the state of art of the immigrant entrepreneurship research in Italy, and the role that the management field, and in particular, the accounting field, have on the topic. The research confirmed what previous studies pointed out (Dheer 2018; Zapata-Barrero and Yalaz 2018; Aliaga-Isla and Rialp 2013). The immigrant entrepreneurship topic mainly concerns the social sciences and in particular the field of sociology, and it is only in the last 8 years that the management field is dealing with the subject.

A Structured Literature Review of Immigrant Entrepreneurship Table 2. List of articles object of the review

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6 Conclusions and Discussions Academic literature on immigrant entrepreneurship has grown exponentially in the last years. As pointed out in previous reviews that examined the prevalence and the content of articles with a focus in immigrant entrepreneurship in international journals (Dheer 2018; Zapata-Barrero and Yalaz 2018; Aliaga-Isla and Rialp 2013), a limited articles on the topic concerning European countries in general and Italy in particular are found. Starting, this paper identifies a definition of “immigrant entrepreneurship” in literature and the most relevant frameworks on the subject, mostly drown on sociological theories. Theories from accounting and management field are missing. Drawing from the state of the art of the immigrant entrepreneurship phenomenon, we underlined, the limited contribution of management and accounting field in deepening this topic. Considering the development of this phenomenon in the new era of globalization and the growing of recent flows of immigration in all continents, particularly in Europe, we claim for the need to fulfil this gap through further studies. In

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this regard, this empirical research provides useful insights in pointing out some research path to cultivate in the future. Moreover, this paper identifies the state of art of Immigrant entrepreneurship in Italy and its development. The study is the first of this kind in the Italian context. On the basis of this structural literature review, it has been identified that the individual level of analysis is a common trend in research of immigrant entrepreneurship, especially in the Italian context. The individual level of analysis is important because it helps us to understand the heterogeneity of immigrant communities and its influence upon immigrant entrepreneurship. However, as pointed out even by Arrighetti, Bolzani e Lazagni, who have recommended the inclusion of social and institutional factors in the study of immigrant entrepreneurship in general and multicultural hybridism in particular (Arrighetti et al. 2014: 772), future research should take into account the meso- and macro-levels because institutional context plays a relevant role in the development of immigrant entrepreneurship in host countries. Finally, a clear definition and more accurate official data on immigration and immigrant entrepreneurship in general would contribute to a better analysis of the phenomenon. Like most studies of this kind, there are also limitations. As mentioned above, this structural literature review has been performed on two steps. The first step finally relied on 38 articles, books and book chapters with more than 250 citations each, retrieved in Google Scholar. The second step relied on 50 articles, books and book chapters retrieved in Scopus database. As one of the aims of this study is to make an overview of the immigrant entrepreneurship developments and to identify future lines of research, some questions are addressed, i.e. what has been done in immigrant entrepreneurship research? and what are the trends that marked this phenomenon in research arenas in the international context and in the Italian one. The application of this SRL helped to better respond and address to this issues. However, some omissions could exist. First, not all retrieved papers, books and book chapters were included as a whole in the study for the fact that are not available in free access. Second, in the Italian context, there exist a rich domestic literature framework that is not indexed in Scopus, neither included in the review. Third, not all aspects of the methodologies and the framework theories applied in the articles have been analysed. The analysis was mostly addressed to methods and theories that better suits the phenomenon in the Italian context.

References Ambrosini, M., Boccagni, P.: Self-employment work and small enterprises as channels of integration for immigrants: the case of the Province of Trento. Studi Emigrazione 43(163), 739–758 (2006) Ambrosini, M.: Il mercato del lavoro immigrato. In: Regini, M. (ed.) La sociologia economica contemporanea, pp. 205–230. Laterza, Roma-Bari (2007) Ambrosini, M.: Migrants’ entrepreneurship in transnational social fields: research in the Italian context. Int. Rev. Sociol. 22(2), 273–292 (2012). https://doi.org/10.1080/03906701.2012. 696970 Ambrosini, M.: Migration and transnational commitment: some evidence from the Italian case. J. Ethnic Migr. Stud. 40(4), 619–637 (2014). https://doi.org/10.1080/1369183X.2013.830883

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From Technology Systems to Human Infrastructure Strategies. An Exploratory Analysis of an Italian Two-Case Study on Recovery After Eco-Disasters Paolo Esposito1(&)

and Alessandra Ricciardelli2

1

Department of Law, Economics, Management and Quantitative Methods (DEMM), Sannio University, Via Delle Puglie 82, 82100 Benevento, Italy [email protected] 2 Università LUM Jean Monnet, Strada Statale 100 Km 18, 70010 Casamassima, Italy

Abstract. This paper deals with critical issues that affect populations after environmental and ecological disasters, such as earthquakes and solutions to issues alike those is are important for the recovery and the survival of people. In doing so, this study attempts to respond to major contemporary environmental challenges and issues, mainly connected to unexpected and hazardous events, by providing a unique contribution in exploring solutions to build a sustainable future. More specifically, this study provides a conceptual framework that helps understanding how emergency can be managed in an efficient, effective and sustainable manner. Recovery after disaster and development of humanity is, yet complex, but strictly intertwined with social, economic and political factors. If computing systems, physical systems, data sources and infrastructure represents the tangible factors having a major impact on quality of life by delivering progress and advancement, yet these could not work without an intangible human and social infrastructure. The latter is the engine, better, the connective element which connects the engineering and technical infra-structure to recovery and human development. The exploratory research has been conducted through the analysis of a two-case study on two Italian cities affected by the earthquake: the city of L’Aquila in 2009 and the City of Macerata between August 2016 and January 2017. This study will lead to the conclusion that cultural, social and managerial factors are the foremost compared to other ones, hence, they are conceptually indispensable to activate the technical and technological dynamics toward development. Keywords: Earthquake
Disasters Resilient cities
Public value


Emergency management
Resilience


1 Introduction Sustainable Development Goals (SDGs), as the 2030 Agenda declares, are universal, ambitious and comprehensive. Implementing SDG means to deliver positive developments that would radically enhance the prospects for building peaceful, just and inclusive societies by leveraging on collaboration and cooperation between © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 859–869, 2021. https://doi.org/10.1007/978-3-030-48279-4_80

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communities with creativity and innovation [1]. Yet, it is also possible that negative developments, in some (or all), have the potential to derail SDGs. This is the case of disasters associated with natural hazards which have become more frequent during the past 20 years, worldwide. About thirty years of natural disasters around the world, in all shapes and sizes, have struck thousands of communities and territories. All these, as Pelling [2] has postulated, reveal the speed, severity and complexity of natural disasters that continually challenge the ability of organisations and communities to generate appropriate responses: either anticipating and averting them or becoming resilient. The interest on resilience in the field of crisis management (for instance Regester and Larkin, [3]), integrated emergency management (please refer to Coaffee et al. [4]) or disaster risk reduction (refer to Thomalla et al. [5]) underpins the core message of SDGs: development is multifaceted and the achievement of many of the individual development goals is dependent on the achievement of other goals. It also acknowledges that, as Shepherd et al. [6] have suggested, shocks and stresses can reverse years of development gains and efforts to eradicate poverty by 2030. This study aims to analyse the inadequateness of technologies and smart tools in managing emergencies by exploring a two-case study of natural catastrophes in L’Aquila [7–9] and Macerata at different periods of time. This work aims to achieve the established research objectives through an inductive/deductive method [10, 11] and a case analysis.

2 Research Design and Methodology The research topic on humanitarian emergency, disaster management and resilience is well described by the sheer volume of data produced by many national and international institutions, with the new organizational, managerial and value approach to NPM. The analysis on the literature review has aimed at visualizing a theoretical framework which supports investigation on those determinants affecting the quality of humanitarian emergency, disaster management and resilience in the Italian cases study with reference to disaster management phenomena. Our analysis uses a quantitative and qualitative approach adopting a case study method [11]. In general, the case study method [11] has two main purposes: (a) to describe the main features of the phenomenon being studied and (b) to understand the dynamics of a given process. The approach chosen is that of an inductive/deductive method [12], involving an indepth study of the literature concerning New Public Management, self-organisation theory, risk and humanitarian emergency management and resilience. From a methodological point of view, the development of a case-study represents a “strategy of research that is concentrated on the comprehension of the dynamics that characterizes specific contexts” ([13], p. 532). This paper sets the following three research questions: RQ1: What are the factors/determinants that recovery from disasters leverages upon? To respond to the above mentioned research questions, a major focus is made on resilience.

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3 Literature Review 3.1

New Public Management

There has been a series of changes in the past few decades coming in the wake of the New Public Management (NPM) paradigm, by which Italian local governments have had to implement management notions and tools to improve their own performance. The major causes of this sudden shift were economic and financial factors such as serious stagflation, welfare state crisis and growing government borrowing, rather than a negative perception of bureaucracy [14]. It is possible to improve territorial strategies and public policies through the adoption of a new culture based on accountability (managerial tools and values of NPM). Accountability is used as regards to certain obligations arising within a relationship based on responsibility, where one person or entity is responsible to another for the performance of certain services [15]. 3.2

Self-organization Theory in Adaptive Systems

The theoretical concept of self-organization implies the design of a decision support system to support community’s coordinated action as a response to disaster. As it has been assumed, self-organization stands as a spontaneous re-allocation of efforts and action to achieve a collective goal in a changing environment [16, 17]. Leveraging on this flexible and adaptive capacity changing conditions is critical to maintaining effective performance to meet unexpected needs in disaster environments in both social and technical systems. This capacity to adapt in order to achieve self-organization presupposes the existence of two core elements: 1) coordination in self-organizing systems and 2) local conditions as governing elements in evolving disaster response systems. Nevertheless, it is important to note that, along the lines traced by Kauffman [16], a self-organizing system is based upon the concept of an N-K system capable to assess change in dynamic environments. Contemplated and designed following earthquake disasters, this system al-lows for the identification of a number of organizations (N) interacting with one another to achieve a collective goal (P), and the number of interactions (K) among them [18]. 3.3

Risk and Humanitarian Emergency Management

There could be some of the main theoretical currents that have flowed onto the broad river of emergency management and that might have useful insights to offer. Amongst those, it is possible to refer to clinical governance and risk management. The latter is defined as “those investment decisions taken by an organisation in anticipation of, or as a consequence to, foreseen losses” [19]. Hence, risk management plans are to be executed when an unplanned situation occurs in order to enable public managers to minimise their efforts in case of unexpected conditions since they already know how to deal with situations alike. Measures of this sort can also be defined as contingency plans [20] that, in the current realm of information technology, turn to be business continuity plans as they make reference to services that are already operational [21].

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Another frequently used descriptor of actions undertaken under conditions of emergency is disaster planning based actions. Collaborative governance-based organisations aimed at creating an integrated or shared leadership demonstrate well-defined qualities that allow developing efficient and effective measures aimed at responding and adapting more promptly to shocks and stresses and, at the same time, to retaining healthy levels of personal, organisational and societal functioning [22]. 3.4

Resilience

In recent years, the spectrum of resilience research has been studied through ecological/social resilience, personal resilience, community resilience, organisational resilience. Albeit conceptualisations of the term are numerous, it is a matter of fact that organizations and governments, at all levels, have become increasingly aware of benefits drawn from what’s been called as “resilience dividend” [23] for the sake of community internal security, public order and systemic stability. Nevertheless, as far as the community scale is concerned, resilience has not been yet explored in the literature despite the fact that it is seen as a desirable state, rather than something purely done to avoid disasters. According to a community and urban point of view of resilience Vale and Campanella [24] connoted resilience with the capacity of a city to rebound from destruction, hence, implying a regime change where structures, processes and identity of a community either evolve into a more desired configuration or devolve into a less desirable state. The new focus on community resilience involves a philosophical shift in relations between the state and civil society seeking to change the parameters of how local communities organize and act. Resilience, however, can be measured through the adoption of a factor analysis. Through the calculus of indices that detect man’s perceptions of resilience, the latter is measured through a factor analysis. To do that, there is the need to use what in econometrics and psychometric is called as latent variable. This means that its behaviour is influenced by other variables that can be otherwise observed. In particular, Alinovi et al. [25] suggested a two-stage based approach for factor estimation: the first one considers six dimensions of resilience (i.e. income, productive and non-productive assets, access to basic services, social safety networks, sensitiveness to shocks, adaptive capacity) as latent variables selected from a set of elementary observable variables. In the second stage, the combination of the above six dimensions leads to estimate an index score of resilience, which ultimately results to be a latent variable, as well. Amongst several statistical and econometrical existing models which, starting from elementary observable variables, lead to an index score of resilience, there’s the factor analysis. According to a previous study conducted by Ricciardelli, Antonicelli and Manfredi [26], to determine the index of resilience, the dimensions used for the calculus of the index itself are set in the table below (Table 1).

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Table 1. Dimensions of resilience (Source: [26]) Sector Social factors

Cultural factors

Economic and social factors

Factor V1 - Community action (self-efficacy, problem coping; problem solving, idealist leadership and positive coping) V2 - Human and social Capital or social solidarity V3 - Community involvement, community participation and community engagement V4 - Empowerment V5 - formal and informal Leadership, supportive and optimistic leadership V6 - Spirit/sense of community V7 - Community settings (i.e. sport associations) V8 - Coping strategies at the community level V9 - Social support or wide and stable social networks V10 - Stable or increasing demographic rates V11 - History, norms and shared beliefs V12 - Development of rituals and positive narrations V13 - Positive cultural values (“familism”, “respect” and “personalism”) V14 - Favourable social and economic conditions V15 - Reduction of risks from critical events V16 - Infrastructures and institutions V17 - Opportunity of learning skills and techniques (i.e. education to risk, training activities, problem solving, self-efficacy) V18 - emergency organisation based on participation, dignity and respect for victims’ capacity to control their lives V19 - Partnership amongst groups, institutions and business companies V20 - Local planning V21 - Community Services (i.e. education, health, emergency) V22 - System of public information

4 Two Earthquakes Compared. The Italian Case 4.1

The Earthquake in L’Aquila

After the devastating earthquake in L’Aquila in 2009, the full extent of the damage is not apparent as it seems to be covered by opacity. The city of L’Aquila did shift by 15 cm as satellite pictures provided. The quake affected 687 towns and communities. Estimations provided that about half a million houses were damaged, so that a number of 20,000 people became homeless and allocated into 32 camping areas that became available to them to provide a temporary shelter. The quake destroyed new buildings and constructions which turned into piles of rubble and contributed to some important revelations: material used by construction companies was low-quality concrete mixed

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heavily with sand. Moreover, from the analysis of the ruins it resulted that steel reinforcement used was corroded and easily breakable. In the scientific literature on the integrity of governance [27–30], integrity can be defined as the quality of acting in accordance with relevant moral values, norms [31, 32] or rules [33]. 4.2

The Earthquake of Macerata

The crater surface extends altogether for approximately 8,000 Km2 [34], 17.4% of the total area of the four Italian regions affected. Half of the “crater area” is in Marche Region, where it covers over 40% of the regional territory and affects four provinces of five. In the region, there are 87 of the 140 municipalities of the crater, more than half located in the province of Macerata and a quarter in the province of Ascoli Piceno. In Marche Region, there is about 60% of the population of the entire crater, corresponding to 22.7% of the regional one [34]. The results of the terrible earthquakes that stroke twice in less than a year, in August 2016 and January 2017 and earlier in 1997 reveal consistency of information across strategic partnerships which are more and more important to increasingly resilient practices. The first step has used the Bernoulli sampling, over a month-time period between September and October 2017, over the overall population number. In the second step the overall sample has been reduced to a sub-sample of 400 people, equally divided according to sex, resident in the city of Macerata and selected according to the 18–70 years old range. The objects of this research’s enquiry are not directly observable or measureable since these constructs are unobserved, hidden, or latent. However, it is yet possible to measure them from the data collected on related variables that can be observed and directly measured. This is very true as far as resilience is concerned because it is not directly observable per se but must be placed in relation to a given outcome as it in the case of this research paper which considers resilience to an identifiable shock. The calculus of resilience has been made on the basis of 22 variables that have been previously selected in the literature and considered as coherent with the scope of this research. These variables are redundant and cannot measure in the same time as many aspects of the economy. This is why this paper has applied an exploratory factor analysis, to group the variables on a smaller number of dimensions. One of the most commonly used criteria for solving the number-of-factors problem is the eigenvalueone criterion, also known as the Kaiser criterion [35]. The factor analysis in practice By the use of a synthetic panel factors’ approach, it has been possible to estimate resilience through a factor analysis. Social resilience is determined by 3 latent factors: social and cultural components characterising a single territory, the economic and political factors. At their turn, each latent factor is determined by variables that are directly revealed on site through survey’s delivery. In this study case, the factors of the city of Macerata are determined by: – 10 variables accounting for the social sector, – 3 variables accounting for the cultural second,

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– 9 variables for the economic and political sector. It is argued that a territory, by developing its self-organisation capacity at all levels, aims at enhancing its capacity of responding and adapting to uncertain exogenous ci cumstances. As argued, pre-existing resources as well as competences and experiences passed down from previous models of economic development [36] become indispensable to future development trajectories. Starting from the econometric model illustrated by Toya and Skidmore [37] that was used to estimate the relationship between the level of development and the impacts due to natural disasters: h
 i deathsji ¼ b1 ðpcgdpi Þ þ b2 ðhci Þ þ b3 ðopeni Þ þ b4 ðfini Þ þ b5 ðgovi Þ þ bn yji þ eji ð1Þ

it is important to integrate the model above with the index of resilience. Therefore, a new model is suggested which reads as follows: deathsji ¼ b1 ðpcgdpi Þ þ b2 ðhci Þ þ b3 ðopeni Þ þ b4 ðfini Þ þ b5 ðgovi Þ þ b5 ðres:indexi Þ þ b6 ðimprovemwenti Þ þ b7 ðsocial concerni Þ þ b8 ðcultural concerni Þ þ b9 ðpolitical and
 economic concernsi Þ þ bn yji þ eji

ð2Þ b5 (resilience indexi) = interactions between three factors b6 (improvement) = dummy variable is equal to: – 1 if the interviewee perceives improvements at the organisation level between the 1997 earthquake and the two ones occurred in 2016 and 2017; – 0 in all other cases b7 (social concerni) = latent variable referring to social factors b8 (cultural concerni) = latent variable referring to cultural factors b9 (political and economic concernsi) = latent variable referring as economic and political factors. To sum up, this model confirms that resilience index is confirmed to be a fundamental variable in ensuring a faster economic recovery and has a negative impact on the considered dependent variable (deaths) (Table 2). This study has contributed to explain that through the development of selforganisation capacity (at all levels) a given territory aims at enhancing its capacity of responding and adapting to uncertain exogenous circumstances. Pre-existing resources as well as competences and experiences passed down from previous models of economic development [36] become indispensable to future development trajectories.

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Table 2. Estimation method of the index of resilience as a latent variable through a factor analysis

5 Conclusions The two-case study conducted in the Italian cities affected by the severe earthquakes in the last decade, has explored evidence on how mechanisms for improving emergency crisis and preparedness against events are conducted on the basis of a collaborative governance framework at the local level. It is the story about an enabled community’s capacity to manage what could have been a disastrous humanitarian crisis by securing access to critical resources and information in an effective and timely manner. This empirical work also highlights the challenges and opportunities for research in outbreak response by giving perspectives on roles of regional offices, local governments, local humanitarian organizations and the need of public–private partnerships in creating a holistic governance framework. The research conducted at a two-level analysis has shed light to a domestic collaborative practice which gives path to a truly

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effective change as it builds up on greater advocacy and resources for building local core capacities. The case-study method highlights practical application of theory on how to manage disasters in L’Aquila and Macerata by encouraging critical thinking and research reconstruction. This two-case study helps understanding complexity in decision-making when building decisions is not supported by robust managerial skills and is more likely to be dependent on human factors as corruption pressures, according to the L’Aquila’s case. This latter case shows that corruption, where individual interest is placed before anything else, often dramatically contributes to disaster. An unacknowledged mix of opposing or simply different interests seems to be one of the major triggering factors for several well-known mechanisms that produce reverse effects in the implementation of policies and organization models. When an emergency arises or disaster strikes, communities should activate their disaster protocols, rituals and actions to increase the effectiveness of disaster response and demonstrate the benefits of collaboration in a disaster recovery context. Collaboration to achieve disaster resilience requires considerable attention to organizational design and structure. Models alike, which acknowledge the connection among social, cultural, economic, and physical environments, could be the solution to effectively manage disasters and deliver smart and sustainable cities in the long run.

References 1. United Nations: Transforming our World: The 2030 Agenda for Sustainable Development. A/RES/70/1 (2015) 2. Pelling, M.: The Vulnerability of Cities: Natural Disasters and Social Resilience. Earthscan, London (2003) 3. Regester, M., Larkin, J.: Risk Issues and Crisis Management in Public Relations: A Casebook of Best Practice, 4th edn. Kogan Page, London (2008) 4. Coaffee, J., et al.: Terrorism, Risk and the Global City: Towards Urban Resilience. Routledge Taylor & Francis Group, Abingdon (2009) 5. Thomalla, F., et al.: Reducing hazard vulnerability: towards a common approach between disaster risk reduction and climate adaptation. Disasters 30(1), 39–48 (2006) 6. Shepherd, C.J. et al.: The geography of poverty, disasters and climate extremes in 2030. ODI 2013 (2013) 7. Ambraseys, N.: Transparency and earthquake losses. In: Proc. Acad. Athens, Rep. 10.06.2010 (2010) 8. Ambraseys, N., Bilham, R.: Corruption kills. Nature 469(7329), 153–155 (2011). Nature Publishing Group 9. Court of Auditors: Report on the follow-up of the European Court of Auditors’ special reports. Special Report No 19//2013, Luxembourg (2012) 10. Yin, R.K.: Case Study Research: Design and Methods. Sage Publications, Beverly Hills (1984) 11. Yin, R.K.: Case Study Research Design and Methods: Applied Social Research and Methods Series, 2nd edn. Sage Publications Inc., Thousand Oaks (1994)

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12. Yin, R.K.: Case study research: Design and methods, Fifth Edition, Applied Social Research Methods Series. Sage Publications, Thousand Oaks (2014) 13. Eisenhardt, K.: Building theories from case study research. Acad. Manag. Rev. 14(4), 532– 550 (1989) 14. Barzelay, M.: The New Public Management: Improving Research and Policy Dialogue. University of California Press, Berkeley (2001) 15. Kelly, G., Mulgan, G., Meurs, S.: Creating Public Value: An Analytical Framework for Public Service Reform. Cabinet Office, London (2002) 16. Kauffman, S.: Origins of Order: Self-Organization and Selection in Evolution. Oxford University Press, Oxford (1993) 17. Comfort, L.K.: Self - Organization in Complex Systems’. J. Public Adm. Res. Theor. 4(3), 393–410 (1994) 18. Comfort, L.K.: Shared Risk: Complex Systems in Seismic Response. Elsevier Science Ltd., Oxford (1999) 19. Doherty, N.A.: Incomplete markets for insurance: an overview. J. Risk Insur. 52(3), 402–423 (1985) 20. Steiner, G.A.: Strategic Planning: What Every Manager Must Know. The Free Press, New York (1979) 21. Rittinghouse, J.W., Ransome, J.F.: Business Continuity and Disaster Recovery for InfoSec Managers. Digital Press (2005) 22. Reeder, L., Cork, S. (eds.) Brighter Prospects; enhancing the resilience of Australia, Australia, vol. 21 (2009) 23. Rodin, J.: The Resilience Dividend: Being Strong in a World Where Things Go Wrong. Hachette Book Group, Public Affairs, New York (2014) 24. Vale, L.J., Campanella, T.J.: The Resilient City, How Modern Cities Recover from Disaster. Oxford University Press, Oxford (2005) 25. Alinovi, L., et al.: Measuring Household Resilience to Food Insecurity: Application to Palestinian Households. Agricultural Survey Methods. John Wiley & Sons, Hoboken (2010) 26. Ricciardelli, A., Manfredi, F., Antonicelli, M.: Impacts for implementing SDGs: sustainable collaborative communities after disasters. The city of Macerata at the aftermath of the earthquake. Emerald Publishing Limited, Bingley (2018) 27. Klockars, C.B.: Conceptual and Methodological Issues in the Study of Police Integrity. In: Paper presented to the Advisory Panel Meeting of the Project on Police Integrity, Washington, DC (1997) 28. Solomon, B.: A Better Way to think about Business: How Personal Integrity Leads to Corporate Success. Oxford University Press, Oxford (1999) 29. Kaptein, M., Wempe, J.: The Balanced Company: A Corporate Integrity Approach. Oxford University Press, Oxford (2002) 30. Lasthuizen, K., et al.: How to measure integrity violations. Public Manag. Rev. 13(3), 383– 408 (2011) 31. Lawton, A.: Ethical Management for the Public Services. Open University Press, Buckingham and Philadelphia (1998) 32. Pollock, J.M.: Ethics in Crime and Justice: Dilemmas and Decisions, 3rd edn. Wadsworth, Belmont (1998) 33. Benjamin, M.: Splitting the Difference: Compromising and Integrity in Ethics and Politics. University Press of Kansas, Lawrence (1990) 34. Cerquetti, M.: Building bottom-up networks for the integrated enhancement of cultural heritage in inner areas. Towards new paths. In: Click, Connect and Collaborate! New directions in sustaining cultural networks, Congress Proceedings, 8th Annual ENCATC Research Session September 29, 2017, pp. 78–100. Brussels, Belgium (2017)

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35. Kaiser, H.F.: The application of electronic computers to factor analysis. Educ. Psychol. Meas. 20, 141–151 (1960) 36. Ricciardelli, A.: The role of universities in the pursuit of local community empowerment, sustainable, smart and inclusive development in resilient communities - a comparison analysis of post-conflict Croatia and Kosovo. 9th International Scientific Conference “Economic and Social Development” Istanbul (2015) 37. Toya, H., Skidmore, M.: Economic Development and the Impacts of Natural Disasters. Working Paper 05–04, Department of Economics, University of Wisconsin-Whitewater, USA (2005)

Intensity. Revealing the Potential of Spaces Lucia Baima(&)

and Matteo Robiglio

Department of Architecture and Design (DAD), Politecnico di Torino, Turin, Italy {lucia.baima,matteo.robiglio}@polito.it

Abstract. The aim of this paper is to analyze, through the oblique perspective of intensity, the new issue raised from new practices of reactivation of preexisting spaces in the city, often involving the reconfiguration of activities and uses over time. In recent years, thanks to different processes and practices, urban unoccupied spaces have become catalyst that can act to create supplementary spaces for unspoken needs and desires. From this oblique point of view, it is possible to read such process and understand that it is triggered by material and immaterial features of spaces, which we can define as the potential, the hidden capability to hold and host new unpredictable uses. To develop, analyze and encourage these processes new rules, indicators, and tools are necessary to trigger, show and enact this hidden potential. Thanks to its capacity to read together - space, time, uses - we propose intensity as a dynamic indicator capable of analyzing, describing, catching and activating the potential of spaces and projects to catalyze these kinetic processes. In this frame, projects act as platform, an open system that includes flexible, adaptable devices. Within this different point of view all spaces – from micro to macro, from private to public can be rethought as infinite spaces for something new, for unpredictable uses and opportunities over time. Keywords: Intensity


Space-time dimension
Potential of space

1 Active Spaces “Today, more and more cities are not only becoming dynamic, but continuously dynamic, so that they never stop changing and growing. For the first time in history, settlements are not only three dimensional but four-dimensional, since they exist continuously with the fourth dimension of time.”1 Within this four-dimensional frame, the logics of time and space converge and reveal an additional dimension of space - its thickness - which reveals hidden, dynamic, urban processes: stratified uses, practices, and interactions. Therefore, the city becomes a matrix of juxtapositional spaces (Massey 2005), constantly fluctuating between fixity and change, order and disorder, cooperation and conflict; is the same concept that Lefebvre has defined as equilibrium and disequilibrium of the city (Lefebvre 1974).

1

Constantinos Doxiadis, Ecumenopolis: The Inevitable City of the Future, W.W Norton & Company, New York, p. 7 (1974).

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This infinite balance-imbalance process of “(…) multiple logics and recombinant dynamic practices, generates urban outcomes that are, at one and the same time, recursive and emergent, regulated and un-planned, stable and changing” (see p. 243 in Amin 2015). In such a frame, space emerges as a platform of overlapping actions – as a palimpsest2 - where unpredictable connections between building and people, infrastructure and flows, reveal the spatial and temporal openness of the city (Amin and Thrift 2002) and its essence as a social product, under constant construction (Lefebvre 1974). The current socio-economic phase, a result of the recent 2008 real estate crisis, favoured the emergence and increase of these superimposed actions generated by multiple practices focused on sharing resources in the economic, social and cultural spheres, but above all these practices have ignited a process of space sharing. Actions, processes, practices, strategies, and ideas such as reuse, commoning and sharing spaces, temporary, bottom-up, tactical, guerilla or pop-up urbanism, as well as installations, urban happenings, and performances, etc. - are all spatial interventions that, starting from abandoned and underutilized buildings and plots, reveal and recode the potential of spaces, as an available and/or shared resource for new uses. In this context, thanks to these interventions, invisible actions emerge below the surface of the city and every single space is able to become a creative and experimental laboratory for mixed and co-existing uses or multiple temporary services (Botsman and Rogers 2010) that intensify the relationship with and within the city. All of these practices, even if they are realized within a temporary framework, represent some of the contemporary urban strategies for the reuse and re-activation of under-used or abandoned urban space. They work as a trigger to view spaces using a different lens, because they create tangible alternatives to the status quo. In fact, they are able to blur the margins between the static and permanent dimension and show the hidden potential of urban space to change, to include new functions, to evolve from being an impediment to being a catalyst for new interests. Starting from different perspectives3, and despite showing a kind of generality in procedures, objectives and tools, such temporary practices produce actions which however catalyze profound transformations of urban spaces, whose effects are longlasting above all for the imaginaries that they feed. These actions, in fact, inject into the urban fabric multiple functions to temporarily intensify the uses so that urban free spaces, abandoned buildings, empty apartments, and all the linked surfaces can become catalysts for different actions, uses, relations, and experiences. Thanks to their ability to reactivate latent city re-sources, it is possible to define these processes with the re- and co- suffixes. Re-use, re-adapt, re-generate, etc., 2

3

A palimpsest describes a document that had been removed to be used, with traces of the original writing. In this frame, a palimpsest is used to describe something that has traces of early stages, like urban spaces, that includes the temporal dimension of actions. See Rodolfo Machado, Old buildings as palimpsest: Towards a theory of remodeling, In Progressive Architecture 57, 46–49 (1976), and André Corboz, Il Territorio come palinsesto, In Casabella, 516 (9), 22–27, (1985). Institutional/independent, legal/illegal, top-down/bottom-up, collective/individual, etc.

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underline the process of rethinking and re-programming the potential uses of space over time, as well as co-production, co-operation, etc., underline processes that originate with collective engagement. Through the re-activation and re-design of abandoned or underused spaces and their relative intrinsic value, the actions trigger a mechanism of interest in the spaces. These processes are sometimes unwitting agents of much wider city transformations. In a multiscale framework, these interventions redefine the thresholds between public and private spaces, predictable uses and other unexpected ones that generate experimental spaces hybrid, multiple, undetermined, heterogeneous, provisional, changeable, etc., seemingly reflecting some features of their mutable users. Therefore, spaces can be rethought as loose spaces (Franck and Stevens 2007). This concept represents the desire to extend the boundaries of a fixed and predetermined functions or activities for each space and at the same time suggests considering the uses as a result of a temporary balance continuously reenacted. With their different features, such actions redefine many layers or thresholds and therefore are able to show different possibilities (Amin 2015). These different possibilities originate from the idea to activate spaces able to mobilize inherent resources able to reveal unexpected. They operate as a laboratory of possible potentials in order to act upon something different and underline the idea that spaces are a “(…) tactile appropriation, as constantly being transformed by its use, its boundaries renegotiated by habits” (see p. 49 in Amin and Thrift 2002).

2 In Need of a Different Perspective This dynamic realm and the relative practices have begun to challenge the traditional parameters of urban space by requiring to adopt new rules, indicators, and tools that are able to change perception of these processes and to understand and analyze their complex effects within the city. In other words, new tools are necessary to answer the necessary of linking fill the visions or idea to the real. As it was mentioned by de Certeau “(…) the networks of these moving, intersecting writings compose a manifold story that has neither author nor spectator, shaped out of fragments of trajectories and alternations of spaces: in relation to representation, it remains daily and indefinitely other” (see p. 93 in de Certeau 1984). For example, new urban rules as the regulation for temporary uses can trigger generative processes, more flexible and fluid, and allow temporary uses and appropriations of spaces awaiting formal redevelopment. This kind of regulation proposes different strategies that exceed the concept of tight spaces of the city where design and regulation attempt to predetermine the appropriate program in a fixed way. In this framework, flexible regulation might include strategies through which space and time boundaries are being constantly redefined by practices. Likewise, new indicators and tools – such as intensity - are able to describe the over-written actions on and within the city and translate the mutual transformations between the container and its content. This relation generates a tension between space and uses, which Foucault defines as a structure of counter-sites “(…) simultaneously representing, contesting, and inverting all other conventional sites” (see p. 22 in

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Foucault 1986). The aim of this paper is to assume intensity as a central indicator to highlight the thickness of the urban realm.

3 Intensity – A Kinetic Dimension Intensity is a kinetic and anisotropic dimension (Stonor 2018), that connects space, time and uses and permits to adopt that a four-dimensional perspective investigated by Doxiadis. Within this view, it is possible to shift our glance over the city: from zenithal - to oblique (de Certeau 1980), from synoptic to synchronic (Harvey 1990; Sennett 2018). The result is a reconfiguration of the concept of space that emerges as a practiced place (de Certeau 1984) as an outcome of a complex assemblage (Deleuze and Guattari 1980; De Landa 2005; Dovey 2012), “(…) whose properties emerge from the interaction between parts” (see p. 5 in De Landa 2005). Through the lens of intensity, space is analyzed not only for its dimensions but for the opportunities that different architectural devices can generate in terms of participation and sharing by changing boundaries between spaces of different nature. Intensity transforms the perception of both the space itself and the city. In the same way, time becomes multiple, thick. It can be expressed both as phase time, for describing the process of space transformation, as well as a program for describing the stratification, coexistence or alternation of as many multiple times. It is precisely this multiple vision of time that detects the opportunity to think of space as a catalyst capable of welcoming as many occasions of use and as many users within its perimeter. The versatility of intensity as instrument lies in being a multiple-focal tool that is able to transcribe the transformations of space both in a diachronic and in a trans-scalar way. It allows to analyze which devices determine an intense use of the space over the same surface. From this transversal point of view, intensity offers a double level of analysis. 3.1

Intensity – The Hidden Sensitive and Perceived Sphere

The first level is to read and transcribe the evolution of urban processes. These kinetic processes cannot be defined simply through a single spatial domain, such as density, but rather by a multi-level approach, which is based on the necessary awareness of rethinking urban spaces as differently inhabited over time. Trough intensity the urban spaces assume a thickness, rhythmic, and atmospheric consistency that transcribe the third dimension of density - the sensitive and perceived sphere (Amphoux 2003). From this perspective, space becomes an animated space (Amin 2015) as a semi-lattice structure (Alexander 1965), an interference matrix where connection, functions, uses and even unexpected relations are intensified. These processes generate complex and innovative spaces thanks to the hybridization of public-private boundaries that in turn generates crossbred spaces for dwelling/working/leisure/transportation. In this frame, urban space becomes a performative space (Amphoux 2003) where actions, practices and processes outline trajectories that intensify uses, relations, and experiences in space-time. Therefore, intensity discloses the value of spatial potential as a source of possibilities or various connections over time, overcoming the physical and

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quantitative dimension of the project itself and its features - micro-macro, privatepublic, indoor-outdoor, open-closed. As a consequence, the spaces are no longer considered as well-delimited and closed systems but as fragments or sequences that break the continuity of a predominant idea of urban living over time. In that frame, space is thus discovered as a platform for heterogeneous and unexpected actions in a time considered as non-linear, but instead stratified, plural and coexistent as “(…) a network that connects points and intersects with its tangle” (see p. 19 in Foucault 1986). Therefore, space becomes an enabling support that reveals its potential throughout the reprogramming of uses constantly (Oswalt et al. 2013). This dynamic of rewriting the city is generated by a complex panorama of actions that feed the relational and haptic components of space (Deleuze and Guattari 1980). This concept is concerned with a wider capability of testing the space through a tactile and active exploration, which refers to the physical and topological experience. Actions show and expand the idea of potential space, which is enacted by the availability and alternatives. Thus, heterogeneous occasions of different users are defined for variable temporalities that outline a matrix of potential room in which to activate the process of action (Hertzberger 1991). Therefore, thought through the intensity frame, the idea of living the city expands its previous boundaries. 3.2

Intensity – Projects as an Open Platform

The second level, which is a corollary of the previous one, is that the value of projects is no longer identifiable with only some morphological and physical connotations but with multiple uses that challenge the classic biunivocal relation between spatial dimensions and program of uses. In other words, intensity permits to rethink and to give value to the project as an open system (Sennett 2018), as a loft or a platform, able to add, promote and catalyze flexible, adaptable and improvised processes (Baum and Christiaanse 2012). These actions produce an open tension with and within the space that transcribe the evolution of urban time itself. In other words, the projects can be reconsidered as systems of infrastructure governed by change (Balmond 2002) able to incorporate the non-plan (Hughes and Sadler 2000), and therefore, to anticipate, produce or stimulate actions (Price 1996). This approach reinforces, even more, the idea that “(…) the scene of action (…) is not three-dimensional Euclidean space but rather a four-dimensional world, with space and time (…) are linked together” (see p. 118 in Strauven 1998). This change is achievable through adjustable, adaptable, mobile, customizable structures that establish precisely the open dialogue – as a continuous interaction between spaces and times, between functions and users. Therefore, the project shifts from an organizational device to a guiding tool, similar to a handbook for the use of cities. A structure, that therefore includes an active re-elaboration by users - that being able to act - become dwellers (Hertzberger 1991). The project works as a platform punctuated by free actions that the structure itself embrace and urges “(…) through a new shuffled order, based on interconnection, close-knit patterns of association and possibilities for growth, diminution, and change” (see p. 753 in Smithson 1974). This perspective is based on the idea that “(…) the role of projects is shifted from the traditional task to produce hardware”, the permanent structure for formal and

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informal spaces, “to software that would enable different formal and informal practices, situations, occasions in given space” (see p. 135 in Steiner 2000). Situations are reinterpreted as a sequence of in-between spaces (Hertzberger 1991) created by multiple devices that act as attractors. In other word, “(…) while they are not possibilities, they do act as the structure of a space of possibilities” (see p. 83 in De Landa 2005). In fact, devices are designed as open filters (Sennett 2018) able to bring to light the possible interstices, whereas the project is a surface of action that should be thought of as a generator of potential, as a magnet that anticipating the unexpected (Price 1996). This different point of view reveals what Price called the Invisible Sandwich of projects referring “(…) to all of the gap-like potentials that architects must be able to grasp, both in terms of time and space. (…) an invisible dictionary of possibilities that lets you redefine rather than improve or enhance a context” (see p. 13 in Price 2003). As Hertzberger writes, the devices are rendered mechanisms, or gears, of recursive reciprocity, able to detect the energy of the project. When they enter into a reciprocal relationship, they give life to other connections that redefine their original meaning and values. Indeed, each device is the bearer of meanings only when it comes to relationships with other elements, as pieces of a generative grammar (Hertzberger 1991), they become part of a changeable layout. Within the intensity frame, the project and its devices are able to define not only one space but infinite spaces that are able to act as the promoters of something new in the same perimeter thanks to their acting as a space for both-and instead of either/or (Venturi 1966). This changeable frame remarks the idea that the project “(…) is only the triggering of a long-wearing erratic dynamic process” (see p. 111 in Fridman 2000) that leaves permanently open the possibility of potential change - as an ongoing process that generates an undefined place.

4 Conclusion Since its first formulation, the concept of intensity has accumulated many different meanings. Today, although the term is still used to designate the spatial condition that characterizes urban flows, it is able to describe a multilayered set of strategies that connotate the urban processes and practices to reactivate urban spaces. This is because intensity does not refer to a specific typological domain, or to some spatial categories that are established, but rather to a topological domain that relates to a very different state. It does not involve only a particular shape but describes some qualitative properties of space that translate the relations included in their perimeter. Thus, the term can be used both to describe the complex urban spatial conditions and to grasp the capability of the project to catch the actions and relations that define a dialogical field between spaces and their different natures. In this framework, therefore, spaces and projects can be rethought as open processes over time, enclosed within the same perimeters. Their value emerges through their potential, as a capability to include, and to accept the changes, the exceptions, and to optimize the ways in which each device works to activate this process and from this trying to construct new occasions. In this kinetic frame all spaces thanks to their design and projects become stickier (Stonor 2018), catalyze and activated multiple actions.

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Thanks to the four-dimensional perspective of intensity “(…) architecture is not simply about space and form, but also event, action, and what happens in space” (Tschumi 1994).

References Alexander, C.: A city is not a tree. Architectural Forum 122(1–2), 58–62 (1965) Amin, A.: Animated spaces. Public Culture 27(2), 239–258 (2015) Amin, A., Thrift, N.: Cities. Reimagining the Urban. Polity Press, Cambridge (2002) Amphoux, P.: Polarité, Mixité, Intensité, Trois dimension conjointes de la densité urbaine. In: Heyner, H., Vanderburg, D. (eds.) Inside Density, International Colloquium on Architecture and Cities, La lettre volée, Bruxelles, pp. 19–32 (2003) Baum, M., Christiaanse, K.: City as Loft: Adaptive Reuse as a Resource for Sustainable Urban Development. gta Verl, Zürich (2012) Balmond, C.: Informal. Prestel London (2002) Botsman, R., Rogers, R.: What’s mine it’s yours. The rise of collaborative consumption. Harper Collins, New York (2010) De Certeau, M.: L’Invention du Quotidien. Union générale d’éditions, Paris (1980); English edition: De Certeau, M.: The practice of everyday life (Rendall, S., Trans.). University of California Press, Berkeley (1984) De Landa, M.: Space: Extensive and intensive, actual and virtual. In: Buchanan, I., Lambert, G. (eds.) Deleuze and Space, pp. 80–87. Edinburg University Press, Edinburg (2005) Deleuze, G., Guattari, F.: Mille plateaux. Capitalisme et schizophrénie. Les Editions de Minuits, Paris (1980); English edition: Deleuze, G., Guattari, F.: A Thousand Plateaus: Capitalism and Schizophrenia (Massumi, B., Trans.). University of Minnesota Press, Minneapolis (1987) Doxiadis, C.: Ecumenopolis: The Inevitable City of the Future. W.W. Norton & Company, New York (1974) Dovey, K.: Informal urbanism and complex adaptive assemblage. Int. Dev. Plan. Rev. 34(4), 349–368 (2012) Foucault, M.: Des espaces autres. Architecture, Mouvement, Continuité, 5, 46–49 (1967); English edition: Foucault, M.: Of other spaces (Miskowiec, J., Trans). Heterotopias Diacritics 16, 22–27 (1986) Franck, K.A., Stevens, Q.: Loose Space: Possibility and Diversity in Urban Life. Routledge, London and New York (2007) Fridman, Y.: Function follow form. In: Hughes, H., Sadler, S. (eds.) Non-plan: Essays on Freedom Participation and Change in Modern Architecture and Urbanism, pp. 104–113. Architectural Press, Oxford (2000) Harvey, D.: The Condition of Postmodernity. Blackwell, London (1990) Hertzberger, H.: Lessons for Students in Architecture. NAi010 Publishers, Rotterdam (1991) Hughes, H., Sadler, S.: Non-plan: Essays on Freedom Participation and Change in Modern Architecture and Urbanism. Architectural Press, Oxford (2000) Lefebvre, H.: La production de l’espace. Anthropos, Paris (1974); English edition: Lefebvre, H.: The Production of Space (Nicholson-Smith, D., Trans.). Blackwell, Cambridge (1991) Massey, D.: For Space. SAGE Publications, London (2005) Oswalt, P., Overmeyer, K., Misselwitz, P.: Urban Catalyst: The Power of Temporary Use. DOM publishers, Berlin (2013) Price, C.: Anticipating the unexpected. Archit. J. 9(5), 27–39 (1996)

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Price, C.: The invisible sandwich. In: Obrist, H.U. (ed.) Re:CP Cedric Price. Birkhauser, Basel (2003) Sennett, R.: Building and Dwelling: Ethics for the City. Allen Lane, London (2018) Smithson, A.: How to recognise and read mat building. Archit. Des. 44(9), 573 (1974) Steiner, H.: Off the map. In: Hughes, H., Sadler, S. (eds.) Non-plan: Essays on Freedom Participation and Change in Modern Architecture and Urbanism, pp. 126–137. Architectural Press, Oxford (2000) Stonor, T.: Intense relationships: measuring urban intensity. In: Intensity, Architectural Review, vol. 1451, pp. 22–25 (2018) Strauven, F.: Aldo van Eyck. The Shape of Relativity. Architectura & Natura, Amsterdam (1998) Tschumi, B.: The Manhattan Transcripts. Academy Editions, London (1994) Venturi, R.: Complexity and Contradiction in Architecture. The Museum of Modern Art, New York (1966)

Abandonment as an “Urban” Problem? Critical Implications and Challenges for Urban Studies Anita De Franco(&) Department of Architecture and Urban Studies (DASTU), Polytechnic University of Milan, Via Bonardi 3, 20133 Milan, MI, Italy [email protected]

Abstract. The problem of abandoned buildings in urban contexts is gaining attention in public debates and academic literature. It is agreed that urban abandonment is undesirable for functional, economic, environmental, and social reasons, but the difference between factual questions (material aspects) and abstract ones (normative aspects) is not always clearly distinguished. This study challenges this position while clarifying specific points of view for discussing why abandoned buildings are problematic for urban contexts. The central hypothesis is that the relevant emerging policy motivations focus on the efficiency of urban settings; based on a review suggest, the pursuit of efficiency can differ depending on conjectures about urban processes or the scale of reference for empirical problems. The results of this review unfold a critical discussion of the conflicting ideas about information, nature and government of urban contexts. Keywords: Abandoned buildings


Urban contexts
Efficiency

1 Introduction The problem of abandoned buildings in urban contexts is gaining attention in public debates and the literature on urban planning. The definition of the abandonment of buildings as a subject – or matter – for urban policymaking is not always clear, however, and the conceptual and factual aspects of urban abandonment underline the conflicting views and stakes regarding urban settings. There is broad agreement about some of the reasons for the undesirability of abandoned buildings in local contexts. These “eyesores” or “wasteful” presences create critical pressure for policymaking, especially in dense, dynamic, and large cities.1 Negotiations and policy claims on unused urban space seek to find the best possible solution for the urban community as a whole. These reasons do not always make clear how specific factual questions (the material aspects of spatial distress) relate to more abstract ones (normative issues surrounding urban systems). The hypothesis here is that the resurgence of attention on

1

For specific discussions on metropolitan English contexts [1–3]. For American cases, see [4–10] and a critical review of [11] among many.

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abandonment as an urban policy problem exhibits an orientation towards an idea of the “efficiency” of urban settings. The idea of efficiency is a widely used concept to guide urban policy because it pushes to (re)consider local living standards for urban populations, especially when negatively affected by abandonment processes [12, 13]. Although, when “efficiency” is implemented through direct and top-down interventions these have shown little or no incisive impacts, despite substantial aids provided in local contexts [14, 15]. This is no surprise to complexity-oriented theorists who would assert that it is neither useful nor desirable to talk about the efficiency of urban settings for two reasons: i) problem of the unknowability of urban phenomena (e.g. imperfect information), and ii) the complex nature of urban contexts (dynamic socio-economic interactions are incompatible with equilibrium theories) [16–18]. Before discussing why the abandonment of buildings in urban contexts emerges as a policy problem, some clarifications are necessary. First, urban abandonment here indicates the presence and accumulation of abandoned private buildings in urban contexts.2 Second, those abandoned buildings are objects with specific entitlements (e.g., private properties) and material consistency (e.g., unused, unmaintained). These clarifications tend to be overlooked in the literature, although property titles and the problematic state of abandoned buildings pose in themselves critical questions for public policy interventions [19]. 1.1

Methods

The approach of this paper is mainly conceptual and is built on an extensive review of the academic literature on urban abandonment. This is an alternative to other reviews present in the literature, that primarily focus on the historical reconstruction of urban abandonment as a theme in the context of, among other factors, urban shrinkage, decay, and decline [13, 20]. The main output is an analytical framework (Sect. 2) on the main types of problems discussed in urban studies and policy debates. This framework traces four main arguments (functional, economic, environmental and social problems) for the undesirability of abandoned buildings in urban contexts (see Table 1). The terminology used in this study is an attempt to classify the types of problems relevant to urban abandonment, stressing its relation to private property titles. Section 3 tests the initial hypothesis that emerging policy debates on urban abandonment exhibit a conceptual shift around the efficiency of urban contexts. Section 4 states the main findings while assessing critical aspects and directions in urban abandonment studies.

2 Multiple Policy Reasons for the Undesirability of Abandoned Buildings in Urban Contexts This section presents a review of the problem of urban abandonment in the academic literature. The results from the review show a convergence on four main types of problems, their relative sub-problems and analytical approaches, as well at the types of solutions suggested by authors (see Table 1). 2

For insights on other types of properties (e.g., abandoned land parcels) see also [5, 12, 21–24].

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Type of problem Functional

Economic

Sub-problems Physical issues (e.g., lack of property management, structural damage, health hazards, neglect, infestations, etc.) Perceptual issues (e.g., decline in neighborhoods, dissatisfaction, insecurity, disorder, etc.) Property issues (e.g., tax-delinquency, foreclosures, devaluation, negative property equity)

Financial issues (e.g., disinvestment, declining economic values in neighborhoods) Environmental Urbanization issues (e.g., land seizure, sprawl, destruction of natural areas, etc.) Social

Distributive issues (e.g., mismatch between supply and demand of buildings, unequal distribution of urban resources, inequalities, etc.)

Analytical approaches Physical indicators (e.g., state of the physical structure, signs of neglect, etc.)

Types of solutions Sources Code enforcement [2, 11, 25–28] (e.g., eminent domain; building code regulations) [7–9, Partnership 29, 30] policies (e.g., communitybased strategies)

Financial indicators (e.g., municipal tax records, market transactions, etc.)

Urban spatial modeling and indicators (e.g., urban elasticity, shrinkage, etc.) General censuses (e.g., rates of vacancy, geographical statistics)

Provisional policies (e.g., direct subsidies, public works) Enabling policies (e.g., tax abatements)

[5, 18, 27, 31, 32]

[1, 2, 4, 6, 25, 30, 33, 34] Restrictive [1, 3, 6, policies (e.g., 11, 12, 21, 24, urban growth control measures) 35–38] [2, 13, Directional 39–42] policies (e.g., increases in property taxes to expand the offer of usable spaces)

3 Debating Abandonment as a Problem of the Efficiency of Urban Systems Based on the results of the review of urban abandonment problem (Table 1), two critical aspects emerge when considering how information and policy solutions adhere to urban reality. The first point is mainly conceptual, as it appears that pursuit of efficiency differs depending on conjectures about urban processes. One can hypothesize that all four claims reflect a quest for efficiency that is not completely neutral or factual—especially considering the use of prejudicial semantics (e.g., “negative contagion effects”) [1, 6, 25, 30, 43–45]. Recent studies on functional and economic problems dismiss many of these traditional conceptual constructs by

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observing particular issues for the negative externalities of abandoned state of buildings, such as the lack of adequate property management [26]. Some authors have stressed that the magnitude of negative e externalities is more contained and liminal than an inevitable escalation of local problems [29, 32, 46], while others suggest that the process of decline in local contexts is non-linear, especially when considering individual decisions and interactions as central elements for understanding the causes and solutions for abandonment processes [23, 47, 48]. The environmental and social considerations advance the literal efficiency of urban systems in saying that urban abandonment is an effect irregular urbanization and unproductive use of present resources. Considering the present review, recent policy interventions and public debates lean on particular collective interests to gain attention, while superseding critical description of empirical facts [2, 40]. Note that understanding environmental and social problems requires a high level of abstraction from what is directly observable at the local level. Most analyses therefore rely on land and building use indicators that—not surprisingly—are far from being a definitive or comprehensive means to understand larger or finer empirical phenomena. The second point is mainly practical, as there are reasons to believe that the pursuit of urban system efficiency depends on the scale of reference for empirical problems. From the functional and economic perspectives, abandoned buildings in urban contexts are mainly a problem of negative externalities and highly place-specific. The various solutions proposed suggest that municipal officials should consider concrete issues affecting the property and local life, without necessarily suggesting an adequate endstate. Authors thus suggest asking owners return the property to a safe state or expropriate the property to reintegrate it into local markets (e.g., through code enforcement strategies) [27, 44] or, in other cases, envisioning interventions to mitigate the impact of decline based on formal and informal interactions in place (e.g., partnership, provisional, enabling policies) [19, 47–50]. For environmental and social problems, urban abandonment is understood more as an absolute and place-generic question of how urban systems ought to be; where policy interventions are needed prevent further worsening of societal conditions (e.g., destruction of natural resources, exacerbation of social inequalities) or because of the scarcity of urban resources (e.g., land, buildings). Against these backdrops, there are some observations regarding the specific nature of urban settings. First, in urban contexts, problems of resource scarcity and inequality are only relative concerns [19, 21, 51]. Second, if policies restrict or direct socio-economic dynamics in urban contexts, these may in turn introduce adverse effects, often on the very problems to be solved (e.g., on increases in market prices and volatility, dilemmatic institutional questions on individual rights and duties of property) [36, 37, 41, 42].

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4 Conclusions This review reconstructed how the abandonment of buildings in the urban context is framed as a policy problem in the academic literature. Previous studies discussed the evolution of the urban abandonment theme, suggesting paths of investigations for equity and justice [4, 20]. One of the main goals of this review was to clarify the specific points of view on functional, economic, environmental, and social problems when discussing urban abandonment as a matter of policy interventions. The central hypothesis was that emerging policy motivation regarding urban abandonment focuses the idea of efficiency of urban contexts. The results from this review both negate and support the initial hypothesis, as not all of the policy problems suggest or aim to accomplish determinate ends for empirical processes. The first finding is that the pursuit of efficiency is more probable when analytical constructs favor aggregate, linear, diagrammatic conjectures; because not all empirical problems in cities are examined comprehensively, this means the consideration of the abandonment problem is contextualized in urban environments. Interestingly, some studies are systematically testing on-spot, qualitative, dynamic, and non-linear approaches to study empirical issues [7, 23, 29, 32, 46, 47]. The second finding is that pursuit of efficiency in urban systems depends on the scale of reference for empirical problems. The literature on urban abandonment testifies, more than other policy claim, a conceptual shift from place-specific to placegeneric problems. The general impression is that environmental and social claims for the undesirability of abandoned buildings in urban contexts see dysfunctional states or uses of urban assets as problematic for the overall working of urban systems. In the current information age, critical inspection of information is increasingly necessary. The central problem is not so much how precise or exhaustive the information about given (urban) issues is, but rather what use individuals and organizations make of it. While not all of the results were significant, the overall objective of this review was to clarify specific points of view and motivations around the problem of urban abandonment while unfolding critical discussions of conflicting ideas surrounding knowledge and government of urban contexts. It is possible to say that the mere presence of abandoned buildings in urban settings is a matter for wonder, but simply because of their state, these hardly conform to other elements in the urban landscape. Such unaverage clues [17] are part of the informative structure of urban contexts [52]; these peculiar signals inform the continuous (ex)changes in real-life contexts, which form the unique and peculiar value of urban settings [53]. It is striking how most of the studies on urban abandonment focus on the material consistencies of empirical problems, while favoring aggregate information and linear thinking to understand abandonment, as for other urban problems.

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Performance Indicators Framework to Analyse Factors Influencing the Success of Six Urban Cultural Regeneration Cases Francesca Abastante, Isabella M. Lami, and Beatrice Mecca(&) Department of Regional and Urban Studies and Planning (DIST), Politecnico di Torino, Turin, Italy [email protected]

Abstract. One of the crucial issues of the contemporary city is the enormous heritage of unused buildings and areas. Their reuse can contribute to new social and economic profits, to create new values within society and to avoid the considerable waste generated by their demolition and reconstruction. To tackle this issue an approach of adaptive reuse is proposed, i.e. the practice of inserting a new content into a new container (building, site, area), maximizing the conservation of the object of transformation, with a specific focus on culture as valuable driver to reactivate abandoned sites, areas and buildings, renewing their image and contributing to increase the level of well-being and social inclusion. In this context, we analyse six Italian cases of cultural urban regeneration characterized by different models of governance, a low intensity of financial capital and a high intensity of cultural and human capital, through a performance indicator framework in order to try to highlight which factors allowed or hindered the success of some projects. Keywords: Urban regeneration


Adaptive reuse
Indicator system

1 Introduction One of the crucial issues in contemporary cities is the huge heritage of buildings and unused areas [1] which can constitute a problem for the urban assets: abandoned public buildings represent a frozen and underused heritage for the community, private buildings can lead to physical problems that will affect the neighbourhood and its surroundings and could even attract illegal activities [2]. Urban regeneration is a largescale issue that seeks to tackle urban problems of different nature, economic, social and environmental in order to consider the interconnections between the different fields that lead to the decline of cities [3, 4]. In recent years culture has proved to be a useful tool for the activation of urban regeneration processes. Together with creativity they are a valuable driver to reactivate abandoned sites, areas and buildings, renewing their image and contributing to increase the level of well-being and social inclusion [5]. Moreover, one of the key tools of urban regeneration is the adaptive reuse of unused buildings: it is a practice of inserting a new content into an existing container, whose most radical approach involves maximum conservation and minimum transformation [6, 7]. This © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 886–897, 2021. https://doi.org/10.1007/978-3-030-48279-4_83

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practice combined with creative culture-based projects can together constitute key factors for valuable urban regeneration interventions. The aim of this paper is analysing six Italian cases of cultural urban regeneration characterized by different models of governance, a low intensity of financial capital and a high intensity of cultural and human capital, previously selected and studied in the research “Shapes Rules and Values” [8], through a performance indicator frameworks in order to try to highlight which aspects allowed or hindered the success of some projects. After this brief introduction, Sect. 2 provides a description of the methodological approach through indicators of analysis, Sect. 3 shows a brief description of the case studies, followed by Sect. 4 that reports the performance of each project with respect to the indicators framework. Section 5 provides the findings of the analysis and Sect. 6 summarizes the conclusions.

2 Method: Indicator-Based Approach According to the analysis carried out on the evaluation methods used to assess urban cultural regenerations [9] we propose here a set of 14 indicators in order to analyze six case studies of adaptive reuse in Italy. These indicators have been defined basing on scientific literature [5, 9–14]. The 14 indicators can be divided into five macro-criteria (context, architectural characters, governance, and socio-cultural) described in detail. 2.1

Context

A1_Localization. This indicator distinguishes different realities in terms of existing infrastructure, connections, of number and type of services offered. We consider the classification of the urban areas according to the resident population [15]: i) large metropolitan areas (pop. > 1.5 mln inh.); ii) metropolitan areas (500.000 inh. < pop. < 1.5 mln inh.); iii) medium-sized urban areas (200.000 inh < pop. < 500.000 inh); iv) small urban areas (pop. < 200.000 inh). A2_Number of Recreational-Cultural Services. In order to better understand the case studies’ contexts, we propose to quantify the number of art school, coworking spaces, cultural and sport centres. Since these activities are recreational or school/work destinations, the analysis should be performed considering a buffer size of 1500 m, or 15’ min’ walk [16]. A3_ Number of Publics Parks. In line with A2, A3 quantifies the number of public parks which are located in the areas surrounding the urban regeneration site. Since we can consider these locations recreational/relax destinations, the analysis should be performed taking into account a buffer size of 1500 m, or 15’ min’ walk [16]. 2.2

Architectural Characters

B1_Adaptability. In order to evaluate the spatial qualities of a building following the adaptive reuse approach, this indicator proposes to measure the spatial conditions of a

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building through an indicator of adaptability of space. According to [13], this indicator is given by the ratio between the average number of spaces compatible with each use in relation to the total number of spaces available (for more details see [13]). B2_Flexibility. This indicator entails the reuse of a building for new functions through physical alterations [17]. According to [13] the indicator considers the sum of the possible operations of addition and subtraction of space that can be carried out on the building, weighted with respect to the degree of priority, in relation to the total priority value (for more details see [13]). B3_ Expandability Level Transformation. The abundance of space is a key resource in adaptive reuse process [6]. Accordingly, this indicator highlights the degree of expandability of regeneration understood as the margin for a possible incremental intervention. The expandability level transformation is measured through a qualitative scale: high, medium, low, none. 2.3

Governance

C1_Operation Type. This indicator highlights the nature of the operation on a nominal qualitative scale: private, public, public-private partnership. This is useful to identify the urban actors that triggered the process and their position and roles with respect to the processes of adaptive reuse analyzed. C2_Type of Public Administration Support. The relationships established with the local authorities can in some cases lead to cooperation and promote the process, in other situations the PA can prove to be completely indifferent or hostile to the process, hindering its development. Since it is an influential element of the process, it is interesting to observe the role of the PA in the processes on a nominal scale: neutral, cooperative, pro-active, hostile. C3_Value Proposition. According to [18], the efficiency and effectiveness of a place is given not only on the basis of financial capital but also on the basis of the accumulation of: human capital (H); social capital (S); cultural capital (C); technical-scientific capital (T); environmental capital (E). The indicator aims to investigate which kind of capital has been promoted and fostered by the regeneration process. 2.4

Socio-Cultural

D1_ Community Activity Perception. In order to measure how the dynamism of the process of cultural regeneration has influenced citizens, we intend to observe the level of personal perception related to the increase in the supply of activities for the community and spaces for social interaction. These data have been investigated through questionnaires and/or interviews with residents and users of the spaces undergoing transformation measured on an ordinal scale: low, sufficient, good and high. We report the weighted average of the values obtained.

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D2_ Community Activity Participation. Additionally to the indicator D1, we propose to detect a second intangible aspect related to the quantification of the possible increase in participation in events for the community promoted by the initiative. It has been evaluated through interviews/questionnaires according to a dichotomous scale. We report the percentage of respondents for whom an increase has been recorded. D3_ Cultural Event Perception. This indicator aims at measuring how the dynamism of the process of cultural regeneration has influenced citizens, detecting the level of personal perception related to the increase in the supply of cultural event. Again, these data have been investigated through questionnaires and/or interviews assessed on an ordinal scale: low, sufficient, good and high. We report the weighted average of the values obtained. D4_ Cultural Event Participation. This indicator aims at quantifying the possible increase of participation in cultural events promoted by the new organization. It has been evaluated through interviews/questionnaires and detected on a dichotomous scale. We report the percentage of respondents for whom there was an increase.

3 Case Studies The case studies analysed are six, homogeneously distributed along the Italian territory: Toolbox, Turin; Fabbrica Grisù, Ferrara; Caos, Terni; Officine Zero (OZ), Roma; Ex Fadda, San Vito dei Normanni; Farm Cultural Park, Favara (for more details, please refer to [19]). TOOLBOX (1), located in an ex industrial area in Turin (Piedmont), is a hub and a space for coworking and innovation. Toolbox is a private operation for profit. The structure of the building with reinforced concrete beams and pillars remains unchanged and in good condition over the short period of abandonment (1 year). It consists of three floors above ground and allows the construction of large open spaces and large window openings. With its 11.294 m2 of gross useful area, the building hosts several complementary functions, including: a coworking space; a Fab-lab focused on printing techniques, experimental smart house and prototype creation; a space reserved for creative disciplines; a creative laboratory of printing and graphic arts; a school to become a full-stack web developer with JavaScript and Python; an advertising agency and an interdepartemental centre of the Politecnico di Torino. Cultural, updating and training events are also organized. FACTORY GRISU’ (2) is located in a former fire station of about 3.600 m2 of total area in Ferrara (Emilia-Romagna). Factory Grisù is a creative business hub born inside a building owned by the Province of Ferrara, granted on loan for free use to the consortium of companies “Factory Grisù”. Hence, it is an operation of public-private partnership, created by the Grisù association and supported by the Municipality. After 8 years of disuse, the building has been subject to various renovation works performed by the companies of the consortium. However due to the temporary nature of the concession contracts (5 years), these works have been carried out in a simple and approximate way. The companies do not pay a rent but a consortium membership fee and a contribution fee. Moreover, they assume the costs of completion of the work

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required to use the space. In Factory Grisù there are companies with activities focused on culture and creativity for profit as, for example: audio-visual and multimedia production start-up; cooperative of graphic designers; society of engineering and architecture; restaurant and multifunctional space; communication and business management. Events and projects of a social and cultural nature are also organized. CAOS (3) is sited in the former industrial SIRI (i.e. Italian Industrial Research Company) of about 44.000 m2, in a district near the centre of Terni (Umbria). CAOS is a centre for the production and enjoyment of art and culture. It is a public-private partnership operation, in which the City of Terni in collaboration with a private investor has triggered a project of reuse of the area with cultural destination. The management of the initiative has been assigned to an association composed by local citizens involved in the cultural field. After 12 years of abandon, the reuse project included conservative restoration works for a functional and formal recovery and to preserve the architectural features of the buildings. The complex consists of a series of buildings with different uses, including: a main building hosting the museum of modern and contemporary art, multifunctional rooms, exhibition activities; a building used as an areaLab dedicated to educational and creative workshops; a “L” shaped building hosting the archaeological museum, the library, the bar-restaurant and the theatre. Moreover, the Association organizes activities, events and cultural festivals. OFFICINE ZERO (4) is located in the former industrial area RSI (Rail Services International Italy) of about 29.000 m2, in the “Casal Bertone - Portonaccio” district of Rome (Lazio). The OZ project born as an initiative of illegal occupation as the result of the bankruptcy of the company (2008), which led to the activation of a cash fund for workers. OZ classified itself as a multifactory, dedicated to shared work and managed directly by workers. In 2017 the BNL Paribas group declared its interest in acquiring the area in accordance with its real estate operations in the same district. In order to overcome the displacement, the occupants requested for a declaration of public utility of the project from the Municipality but without success. As a result of the purchase of the area, OZ will probably move to a new space suitable to continue their activities provided by the BNL group. Currently, the 22 buildings host the productive spaces with about 50 workers (carpenters, restorers, upholsterers, designers, association for sustainable tourism, artists-architects collective); coworking space for freelancers; canteen; multifunctional space for events; spaces for sports and cultural activities. Cultural/artistic events and social projects are also organized for the district. EX FADDA (5) is placed in a former wine factory of about 12.700 m2 of total area, in San Vito dei Normanni (Apulia). Ex Fadda is a cultural center and laboratory of social innovation, born from a program promoted by the Apulia Region dedicated to youth development. In this sense, Ex Fadda is an operation of public-private partnership. The building was restored in 2012, after 48 years of disuse, and began to host associations and initiatives led by the local population. The masonry and wooden roofing complex consist of two parts: the first one is divided into smaller spaces and the second one is free in a single multifunctional space surmounted by a central vault. Ex Fadda hosts several complementary functions as: a training and music production centre, a community craft project, a photographers and video makers collective, a school of classical and contemporary dance, a programme of public participation and consultation on urban regeneration issues at local level.

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FARM CULTURAL PARK (6) corresponds to the historic centre of Favara (Sicily) and consists of about 18.000 m2. Farm Cultural Park (also known as FARM) was founded in 2010 as an independent and private cultural center, with the aim of solving the deterioration of the old town of Favara and to improve the quality of life of people living there. It is an initiative of two private subjects, born in this village. The regeneration process begun with two buildings, continuing over time with new spaces, reaching a current situation of 1.750 m2 completely renovated and 2.500 m2 to be restored. The response of the municipality to this initiative was at first indifferent, then hostile through a complaint for occupation of public space by FARM. After the rise of mobilizations in favour of FARM on a national and international level, the Municipality of Favara issued a declaration of public utility of the project, favouring in a cooperative way the development of the historical centre. The project proposes several functions, namely: exhibitions and cultural projects, school of architecture for children, residences for artists, a coworking space, common kitchens and photographic space, a garden as a space for events, event space and hostel under renovation.

4 Structuring the Development of the Analysis This section provides the performances of each project respect to each indicators and it is worth noting that some of the evaluations shown in Table 1 are based on the data arising from previous studies: B.1 and B.2 indicators are based on [13], C.1 and C.2 from [19] and [20], D.1, D.2, D.3 and D.4 derive from questionnaires submitted to samples of inhabitants and residents of their respective places by the students of the course of Master’s degree program in Architecture Construction and City at the Politecnico di Torino. Starting from previous studies [19, 20], we can catalogue the cases 1, 2 and 5 as performing cases from the point of view of economic sustainability, the case 6 potentially working but still at a lower level of project completion respect to the others, while we can affirm that 3 and 4 are not fully efficient and performing.

5 Findings According to the performance reported by each project in Table 1, we will try to highlight which aspects allowed or hindered the success of the projects. Why do Toolbox, Factory Grisù and Ex Fadda work? Through a transversal reading between the functional mix proposed by the initiatives, their territorial location (A.1) and the number of services present in the surrounding area (A.2), we can deduce that the ability of those initiatives has been able to identify successful strategies investing in sectors well accepted by the local market. More specifically, we note that those cases arise in very different realities: Toolbox is in the metropolitan city of Turin; Factory Grisù is located in the center of a small urban area; Ex Fadda is located in a rural reality of southern Italy. We also observe that they propose different functions: Ex Fadda develops handicraft and artistic education

C.2 C.3

C C.1

A.3 B B.1 B.2 B.3

A.2

Urban Pole

Urban Pole

2

3

Intermediate rural area Metropolitan area Small urban areas Small urban areas (875.698 ab) (132.052 ab) (110.749 ab) N. of recreational- 29 31 28 cultural services N. of p. parks 9 11 10 Architectural Characters Adaptability 52% 49% 71% Flexibility 83% 55% 58% Expandability level high low none transf. Governance Public Operation type Private Public-private partnership Role of PA – Enabler Developer Type of PA support Neutral Cooperative Pro-active/Hostile Value proposition H,S,C,T S,C H,S,C,T

A Context A.1 Localization

Case studies 1

Public-private partnership Developer/financier Cooperative/Hostile Pro-active H,S,C H,S,C,T

31% 62% low

71% 82% high

Illegal

3

Intermediate rural area Small urban areas (19 087 ab) 6

5

9

Metropolitan area (2.856.133 ab) 24

Urban Pole

4

Table 1. Project performance matrix

– Hostile/Cooperative H,S,C (continued)

Private

75% 29% high

4

Small urban areas (32 059 ab) 8

Urban Pole

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D Socio-Cultural D.1 Community activity perception D.2 Community activity participation D.3 Cultural event perception D.4 Cultural event participation Good 23% Good 31%

18%

Good

18%

2

Good

Case studies 1

54,4%

Good

37,5%

Sufficient

3

Table 1. (continued)

12%

Good

19%

Sufficient

4

Undetected data

Undetected data

Undetected data

Undetected data

5

6

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activities, while the other two are mainly related to business. Those differences are probably their source of success according to their different territorial contexts. In details, Toolbox and Factory Grisù are in a rich services context (A.1) and therefore they move in an innovative direction linked to the tertiary sector, while Ex Fadda is in a very different context with few services (A.1) and therefore the operation tries to strengthen the already existing local forces. We can therefore identify them as operations that have moved the “right tools in the right territory”. According to the Architectural characters (B.1, B.2 in Table 1), Toolbox has high adaptability and flexibility values in terms of spaces, which is not the same for the other two cases analyzed. In a context of adaptive reuse and specifically of cases developed with low financial capital, the variables of adaptation and flexibility can be an important element in order to contain transformations and costs, maximizing conservation. Accordingly, what makes those three initiatives feasible is the proper choice of the new functions with respect to the buildings hosting them. This is in fact one of the main pillars of the adaptive reuse concept: “adapting the content to the container rather than the converse” [p. 3, 6]. The activities proposed by Toolbox are flexible being adapt both to a platform completely free from walls and obstacles and to more rigid structures. On the opposite, the low adaptability and flexibility of the buildings of Factory Grisù and Ex Fadda did not constitute and obstacle to the success of the projects. In fact, the activities they propose, business for Factory Grisù and craft activities for Ex Fadda, do not require for large flexible spaces. Table 1 shows also that from the governance point of view (C.1, C.2, C.3) they are different types of operations: Toolbox is a private initiative in which the PA had a neutral attitude, while Factory Grisù and Ex Fadda arise from a public-private partnership. Specifically, comparing the latter two, we observe that the participation of the public entity is very different: in Ex Fadda the contribution of the PA was mainly monetary, while for Factory Grisù the PA has given an active support able to facilitate the born of the initiative without monetary incentives. We can therefore deduce that a further factor that has made those operations feasible is the role of the PA: certainly not hostile and with a presence that could be from neutral to proactive. It is worth highlighting that those cases promote the accumulation of almost all capital (C.3), not simply financial. This can also be seen from the values detected with the indicators of perception of the increase in the offer of cultural and community events that tend to be good or sufficient (D.1, D.3), even if the participation in the events promoted by the initiatives of Toolbox and Grisù is very low (D.2, D.4) probably because they are perceived as workplaces. We can conclude that investing in culture is certainly an important element to renewal the image of a building or area, but it is nevertheless vital to be able to accumulate all types of capital in order to achieve the efficiency and effectiveness of the redeveloped site. Why CAOS, OZ and FARM do not work the same way? Looking at the CAOS performances, it emerges that the crucial point of its failure could be the change of PA support type. Indeed, the PA firstly acts as the developer of the transformation but when the municipal administration changed, the PA’s support turns from proactive to hostile, in favor of different projects not yet declared. The gradual

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failure of the CAOS operation is therefore due both to this and to the community that does not use the place to the full (D.2 and D.4), which leads to lower economic returns. Similarly, one of the main problems of OZ relies in the illegal nature of the transformation which causes a conflicting relation with the PA. Moreover, despite it stands in a territory rich of services quite comparable to the ones of Toolbox, OZ has been not able to propose innovative activities (differently from Toolbox). Moreover, we can see a low participation of the community in the events promoted by OZ (D.2, D.3). it seems that the margin of expandability of the operation is high as the interventions of renovation of the spaces were minimal and all the buildings need of a deep restoration. It is possible that this situation is due to the lack of funds and to the illegal appropriation process, which would have sooner or later led to a potential closure. FARM is a very different initiative compared to the others being an ongoing process. In this sense, it is not possible to express a real success or failure showing a high margin of unexpressed expandability with about 2.500 m2 to be restored. According to the performances, the project is in a small city with few services and therefore, as for Ex Fadda, it proposes activities focused on art schools, exhibition spaces and residences for artists. These factors together with the type of private operation with the current cooperative support from the PA and the promotion of almost all capitals, could lead to a success once the operation will be completed. In the light of all this, we can point out the factors that could lead to the success of the case studies analyzed: i) the neutral/positive participation of the PA; ii) the proper selection of the activities according both the building and territorial characters; iii) the capacity of considering the urban regeneration as a multidimensional issue promoting the accumulation of human, social, cultural, technical and economic capital.

6 Conclusion This paper analyses six Italian case studies of cultural urban regeneration characterized by different features. We catalogued three of six cases as performing from the point of view of economic sustainability, one potentially working but still at a lower level of project completion respect to the others, and two cases not fully efficient and performing. In light of the analysis, performed through a set of 14 performance indicators, that seek to address the analysis of both tangible and intangible aspects, four factors emerge as crucial in the development of a strategy to enable projects to continue to make a positive contribution to the economy and environment of the places where they arise. As stated above, these four aspects belong to the fields of context and architectural characters in terms of functions and activities inserted in the old containers (buildings, site, areas), and of governance, in terms of type of participation of the PA and of accumulation of different forms of value. We recognise that these are conclusions drawn from a quite small sample of case studies, but that they could be the starting point for further wider analysis also including other relevant indicators related to information on walkability, time of disuse and type of agents involved.

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References 1. Campagnoli, G., Tognetti, R.: L’Italia da riusare, La Nuova ecologia (2016). www. osservatorioriuso.it. Accessed 10 Jan 2020 2. Moroni, S., De Franco, A., Bellè, B.M.: Vacant buildings. distinguishing heterogeneous cases: public items versus private items; empty properties versus abandoned properties. In: Lami, I.M. (ed.) Abandoned Buildings in Contemporary Cities: Smart Conditions for Actions. SIST, vol. 168, pp. 9–18. Springer, Cham (2020). https://doi.org/10.1007/978-3030-35550-0_2 3. De Magalhaes, C.: Urban regeneration. In: International Encyclopedia of the Social & Behavioral Sciences (2015) 4. Pensa, S., Masal, E., Lami, I.M., Rosa, A.: Seeing is knowing: data exploration as a support to planning. Proc. Inst. Civ. Eng. 167, 3–8 (2014). Special Issue on Visualisation 5. Ferilli, G., Sacco, P.L., Tavano, B.G., Forbici, S.: Power to the people: when culture works as a social catalyst in urban regeneration processes (and when it does not). Eur. Plann. Stud. 25(2), 241–258 (2016) 6. Robiglio, M.: The Adaptive Reuse Toolkit. How Cities Can Turn their Industrial Legacy into Infrastructure for Innovation and Growth, Urban and Regional Policy Paper, vol. 38 (2016) 7. Abastante, F., Lami, I.M., Mecca, B.: How to revitalise a historic district: a stakeholdersoriented assessment framework of adaptive reuse. In: Mondini, G., Oppio, A., Stanghellini, S., Bottero, M., Abastante, F. (eds.) Values and Functions for Future Cities. GET, pp. 3–20. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-23786-8_1 8. Lami, I.M. (ed.): Abandoned Buildings in Contemporary Cities: Smart Conditions for Actions. SIST, vol. 168. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-35550-0 9. Mecca, B., Lami, I.M.: The appraisal challenge in cultural urban regeneration: an evaluation proposal. In: Lami, I. (ed.) Abandoned Buildings in Contemporary Cities: Smart Conditions for Actions, p. 168. Smart Innovation, Systems and Technologies, Springer, Cham (2020). https://doi.org/10.1007/978-3-030-35550-0_5 10. Laprise, M., Lufkin, S., Rey, E.: An indicator system for the assessment of sustainability integrated into the project dynamics of regeneration of disused urban areas. Build. Environ. 86, 29–38 (2015) 11. Tavano, B.G., Tremblay, D.-G., Sandri, M., Pilati, T.: New trajectories in urban regeneration processes: cultural capital as source of human and social capital accu-mulation – evidence from the case of Tohu in Montreal. Cities 29, 397–407 (2012) 12. Bonini Baraldi, S., Salone, C.: Theoretical basis and design of analysis. In: Lami, I.M. (ed.) Abandoned Buildings in Contemporary Cities: Smart Conditions for Actions. SIST, vol. 168, pp. 73–98. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-35550-0_6 13. Sanchez, M.J.F.: The potential of forgotten space: A method for the assessment of spatial qualities in adaptive reuse projects, Master Thesis in M.Sc. Architecture Construction City, tutor: Lami, I.L., co-tutor: Robiglio, M., Baima, L., Politecnico di Torino (2019) 14. Abastante, F., Corrente, S., Greco, S., Ishizaka, A., Lami, I.M.: A new parsimonious AHP methodology: assigning priorities to many objects by comparing pairwise few reference objects. Exp. Syst. Appl. 127, 109–120 (2019) 15. Censis: Rileggere I territori per dare identità e governo all’area vasta. Il governo delle aree metropolitane in Europa (2014). http://www.astrid-online.it/static/upload/protected/Le-c/Lecitta-metropolitane-in-Europa-CENSIS_febbraio-2014.pdf. Accessed 16 Jan 2020 16. McCormack, G.R., Giles-Corti, B., Bulsara, M.: The relationship between destination proximity, destination mix and physical activity behaviours. Prev. Med. 46, 33–40 (2008)

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17. Schneider, T., Till, J.: Flexible Housing. Architectural Press, an imprint of Elsevier, Amsterdam, Boston (2007) 18. Landry, C.: The Creative City: A Toolkit for Urban Innovators. Earthscan Publi-cations, London (2008) 19. Porta, A., Abastante, F.: The case study profiles. In: Lami, I.M. (ed.) Abandoned Buildings in Contemporary Cities: Smart Conditions for Actions. SIST, vol. 168, pp. 99–132. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-35550-0_7 20. Bonini Baraldi, S., Salone, C.: Governance, economic sustainability and socio-spatial relationships. In: Lami, I.M. (ed.) Abandoned Buildings in Contemporary Cities: Smart Conditions for Actions. SIST, vol. 168, pp. 133–145. Springer, Cham (2020). https://doi.org/ 10.1007/978-3-030-35550-0_8

Unused Public Buildings and Civic Actors. A New Way to Rethink Urban Regeneration Processes Beatrice Maria Belle’(&) DAStU, Politecnico di Milano, via Bonardi, 3, Milan 20133, Italy [email protected]

Abstract. In Italy, civic actors’ engagement and bottom-up experiences related to public buildings revitalisation is considered a new potential alternative for urban renovation processes. The changes after the economic crisis brought to question traditional planning methods, especially the one related to public buildings’ renovation and re-use. In fact, what emerges is that the economic shortage and the inadequate regulation of public agencies have highlighted difficulties in managing this issue. In this context, a new trend of innovative and hybrid actions starts to raise spontaneously and, at the beginning, from the bottom-up. This array of different practices, pursued by “civic actors”, have been at the centre of political and social debate. There are two main perspectives to consider this new phenomenon. The first one is considering civic actors’ engagement in revitalisation processes as a potential alternative to public buildings privatisation or disposals. The second one, is considering this kind of activities and practices as the only way to solve the problem of abandoned and unused public buildings. Although its novelty, this phenomenon is already presenting some limitations and some conditions that define their outcomes. Through the analysis of different case studies across Italian territory, some first findings and recommendations might be suggested, based on a neo-institutional framework. The paper aims (i) to discuss critically these experiences, their magnitude and some key features and (ii) to organise and frame this new category of stakeholders in relation to urban regeneration processes for unused public buildings. Keywords: Public building


Urban revitalisation
Civic actors

1 Introduction The issue of vacancy and abandonment of property, both in Europe and in the US, has become more and more relevant and urgent in urban and political agendas. Often this problem is related to urban revitalisation policies and processes. The problem of abandoned and underused buildings raises two questions. The first one is related with the problem of abandonment [25], and the property directly influences this aspect. Abandoned and unused public properties are considered a problem in themselves, as they are a sort of “wasted” capital and they impact the collective interest. As pointed out by Musgrave [27], while discussing about public © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 898–904, 2021. https://doi.org/10.1007/978-3-030-48279-4_84

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goods in general, “as taxes represent voluntary purchase payments for the supply of public services, the supply of these services cannot in turn act independently upon the taxpayers’ primary decisions.” (p. 229). This means that to be more efficient, governments must “think of their holdings as a ‘portfolio’ whose composition might be modified to better serve public purposes” [18, p. 307]. The case of public buildings is slightly different from the case of public goods. Nevertheless, they are similar in considering public agencies as the responsible for public goods and services. On the other hand, abandoned or unused private properties are not a problem in themselves since they are on behalf of their owner. They might become a public problem if their conditions negatively affect people or things, due to lack of maintenance [19, 39, 44]. The second issue questions how to manage these spaces with regulations and codes, based on different property rights (public and private). This paper will focus on public properties in Italy. In particular, the ones that are unused, abandoned or underused. The debate about this phenomenon has been at the centre of intense and lively discussions for many years. The paper analyses it with reference on some recent bottom-up experiences. The raise of “hybrid model” of management and re-use of vacant spaces have been emerging spontaneously and from the bottom-up, with a high degree of civic engagement and social participation. This new trend is not yet consolidated but there are some innovative ways to consider the potentiality of this portfolio.

2 Methodology and Approach The paper presents this recent phenomenon of civic engagement in revitalisation processes for unused public buildings in Italy. The paper is an extract of a wider analysis and research. The methodology of the research is based on (i) literature review about civic actors’ initiatives and their role engaging urban problems, (ii) analysis of the Italian regulations and (iii) fieldwork, based on case studies analysis (through data collection, official documents analysis and semi-structured interviews). This paper aims to analyse “civic actors” as a new stakeholder, describing some specific features both in terms of actions and in terms of their nature. The approach of this paper is new-institutional. This approach might underscore conditions and incentives that makes these experiences emerged.

3 Public Buildings’ Revitalisation and the Role of Civic Actors Throughout the years, in Italy, different legislations tried to solve the problem of abandonment and underutilisation of public buildings with specific tools and policies. According to different rationalities and interpretations of the public portfolio, the range of actions has been very heterogeneous. Since the Eighties, public buildings have been considered public good and their management was on behalf of the public sector [34, 36]. Starting from the Nineties, these estates started to be considered as assets “producing a mix of both measurable and difficult to measure returns (including social

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benefits), rather than a public good” [18, p. 309], and it was progressively considered a “capital” able to smooth public debt. Nevertheless, privatisation might be only a “one shot” short-term intervention, that does not take any advantages from the sale [4, 9]. Starting from the early 2000, privatisation was complemented by long-term and shortterm leases, that were introduced in urban national and local policies and regulations. During the crisis, these tools shows their weaknesses, and the economic and social situation changes and exacerbates. This period highlights that traditional model of planning are no longer working, and that there is a tendency to more inclusive, participatory and civic processes [23, 35]. Privatisation and disposals presents some limits, because they are (i) supply-oriented and (ii) they do not take into consideration the after-crisis situations and the new socio-economic conditions. On the other hand, the discussion about public building privatisation was always lively discussed [13, 21, 24]. In this context, new ways of re-thinking abandoned public buildings not just as “capital”, in strict sense, but as an opportunity for the environment [36] and as potential areas for social innovation [26] have been emerging. This new rationality, is related to the idea that civic engagement is important either in relation to the raise of social movements within urban conflicts [14, 22] or as a process of collective action [11, 12]. Considering the case of civic actors and unused (public) buildings, this opportunity is frequently discussed in relation to temporary uses and new participatory processes for urban revitalisation [2, 3, 6, 28; for the Italian case, see 15, 17, 33]. These micropractices put the emphasis (i) on the relationships between active citizens and the State, (ii) on the different modalities of local urban activation and (iii) on the ?unused space? that might be the trigger for other experiences [29, 30, 38, 40]. The stakeholders involved are defined by the author as “civic actors” both for their bottom-up nature and their non-profitability. These two features are condition sine-quanon to define them. It is important to stress that this category is meant to describe this phenomenon, as these actors are very diverse but they act for same purposes. They share other common elements. In fact, civic actors (i) provide social services that the State have ignored, (ii) they position themselves in-between public and private sectors [1, 10] and (iii) their nature is often spontaneous, bottom-up and relatively independent from governments [37]. The experiences pursued by civic actors might be considered as (i) an expression of neo-liberal politics to broadening the privatisation of public services and (ii) as an opportunity to define other ways of governance through social participation and citizens’ engagement [5]. Furthermore, (iii) these practices are related to social and cultural sphere [41] and (iv) they might be potential areas for social innovation and social inclusion [7, 26, 42].

4 Case Studies The magnitude of this phenomenon is not already known due to the novelty of these practices, its hybrid nature and their potential temporary presence. There is a recent report [20] that counts more than one thousand Patti di Collaborazione (since 2014) – one device used by public administrations to promote revitalisation processes for

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“commons” – but, for what concerns other kind of practices, it is difficult to have a clear and precise list. There is not a single catalog presenting the phenomenon. Moreover, Italian administrations deal with civic actors and their initiatives with different tools and diverse rationalities. As a result, Italian experiences of this kind are managed in different ways and with specific tools that might vary from local administrations to another. This might lead to misinterpretation of the phenomenon. The case studies that have been analysed are distributed in different Regions of the Italian territory. These cases might be defined as a sample able to present this phenomenon. This preliminary list is used to show and offer a glimpse of these experiences both (i) because they are just a few comparing to their magnitude and (ii) because this analysis is trying to summarise their heterogeneity. The cases are twenty-five1. They are selected based on the fact that (i) they are relatively new and on-going (all the processes have started in the last ten years), (ii) there is the presence of almost one group of civic actors, (iii) there are similar dynamics between public sector and civic actors, (iv) the activities inside the public buildings are not temporary experiences but more stable ones. Some of these cases have been already discussed and analysed, some others are more recent and not yet explored. From this analysis what emerges is the heterogeneity of these groups and the way in which they act. What they have in common is (i) their nature, that is at first spontaneous, (ii) and aims, that are social inclusion, civic participation and inclusiveness. In addition, the type of activities pursued in public buildings is often very similar (e.g. cultural initiatives, art and performances, exhibitions, theatre, dance, free-spaces, …). On the other hand, these experiences are not always truly innovative and they do not always trigger positive externalities [43]. What is different among the civic actor groups analysed is (i) their organisation, (ii) their activation and (iii) the nature of their action. For what concerns the organisation of the civic actors, there are two possible alternatives. In some cases, the group is formal, in some others, it is informal. The difference is that whilst formal civic groups are listed in the official classification of “Third Sector Organisation” (according to the Italian National Law n. 117 approved in 2017), informal groups are not formalised and not recognised “by-the-law”. Sometimes an informal group might decide either to become formal and participate to specific local administrations’ calls, or to remain informal. The second element is their activation. In this case, the alternatives are related to how the civic actors are triggered into revitalisation processes. There are some examples of licit actions (where the revitalisation process take part in the domain of the

1

The cases analysed are the following: Dynamo (Bologna), Mercato Sonato (Bologna), InStabile Portazza (Bologna), Factory Grisù (Ferrara), Manifatture KNOS (Lecce), Caos (Terni), Fabbrica del Vapore (Milano), Complesso Carmine Sant’Agata (Bergamo), Caserma Piave (Treviso), Montevelodromo Fausto Coppi (Torino), Case di Quartiere (Torino), Zo, Centro Culture Contemporanee (Catania), Cantieri Culturali alla Zisa (Palermo), Rampa Prenestina (Roma), Young Market Lab (Bari), Lo Scugnizzo Liberato (Napoli), ex Asilo Filangieri (Napoli), Nuovo Cinema Palazzo (Roma), S.A.l.E Docks (Venezia), Cavallerizza Reale (Torino), Manifattura Tabacchi (Cagliari), Caserma Pepe (Venezia), XM24 (Bologna), Macao (Milano), Teatro Valle (Roma).

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law) and some others that are considered illicit. The term ‘illicit’ is related to more blurred and controversial dynamics, such as the one of occupation. In these cases, the civic actors are acting “in light of the law” [8], but they do act outside the domain of the law. The cases in analysis are both licit and illicit and they highlight some common patterns of behaviour and co-production [31, 32]. The third element is the nature of civic actors’ actions. There are either bottom-up or top-down cases. With bottom-up is meant that the civic actors spontaneously and independently from administrations’ purposes, either occupy a space on their own, or raise interest and public participation for specific building. Different is the top-down model, where civic actors might participate to an open and public call for a public building (or part of it) and renovate it, based on specific project and time-span. What emerges from the case studies analysis is that dynamics and relationships between civic actors and public administrations are very specific and peculiar. The kind of agreement and relationships varies case-to-case. These different degree of coproduction presents how this phenomenon is influenced by the context. On the other hand, there are some patterns of behaviour and patterns of interaction that are still present. In the sample analysed, it is important to understand (i) the kind of public intervention was made on the building and in the process, as well as (ii) the kind of agreement civic actors and public administration set up. These relationships are important, but they are not the only conditions that makes a process successful. The civic actors’ composition and the co-production processes are one of the potential conditions that might influence the outcome of the process and highlight if these activities are more likely to occur. There are some other conditions or incentives that do not depend on linear connections between stakeholders, but are derived either from the context or from individuals.

5 Conclusion Civic actors’ engagement in revitalisation processes for unused public buildings is still not well developed in academic and political debates. In some cases, it is still influenced by rhetoric and by unfertile discussions about privatisation, commons and other spheres. The importance of understanding civic actors, their nature and their actions is relevant for two main reasons. First, it is necessary to have a sort of categorisation of these new stakeholders. Second, the interaction and relationships among civic actors and public administrations should be facilitated and, in some ways, organised. A general understanding of these experiences might provide (i) a more critical perspective about them (they could be considered one potential alternative among the others to revitalise unused public buildings) and (ii) some policy guidelines to make them more effective.

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25. Moroni, S., De Franco, A., Bellè, B.M.: Vacant buildings. Distinguishing heterogeneous cases: public items versus private items; empty properties versus abandoned properties. In: Lami, I.M. (ed.) Abandoned Buildings in Contemporary Cities: Smart Conditions for Actions. SIST, vol. 168, pp. 9–18. Springer, Cham (2020). https://doi.org/10.1007/978-3030-35550-0_2 26. Moulaert, F., MacCallum, D., Hillier, J.: Social innovation: intuition, precept, concept, theory and practice. In: Moulaert, F., MacCallum, D., Mehmood, A., Hamdouch, A. (eds.) The International Handbook on Social Innovation: Collective action, pp. 13–24. Social Learning and Transdisciplinary Research, Edward Elgar Publishing, Cheltenham, UK (2013) 27. Musgrave, R.A.: The voluntary exchange theory of public economy. Q. J. Econ. 53(2), 213– 237 (1939) 28. Németh, J., Langhorst, J.: Rethinking urban transformation: temporary uses for vacant land. Cities 40, 143–150 (2014) 29. Ostanel E., Attili G.: Self-organization practices in cities: discussing the transformative potential, Tracce Urbane, 4, Dicembre 2018 (2018) 30. Ostanel, E.: Culture, rigenerazione urbana e innovazione sociale: il caso del quartiere multiculturale di Charlois, Rotterdam. Crios 12, 21–32 (2016) 31. Ostorm, E.: Governing the Commons. The Evolution of Institutions for Collective Actions. Cambridge University Press, Cambridge (1990) 32. Ostrom, E.: Crossing the great divide: coproduction, synergy and development. World Dev. 24(6), 1073–1087 (1996) 33. Pacchi, C., Pirovano, C.: La partecipazione nell’ambito dei percorsi di riuso urbanistico e territoriale. In: WWF, Riutilizziamo l’Italia. Dal censimento del Promesse e fallimenti nella valorizzazione degli immobili pubblici | 507 dismesso scaturisce un patrimonio di idee per il futuro del Belpaese. Report 2013, WWF Italia, pp. 239–251 (2013) 34. Parlato, S., Vaciago, G.: La dismissione degli immobili pubblici. La lezione del passato e le novità della legge n.410, 23 novembre 2001. Quaderni ref. 8 (2002) 35. Pennington, M.: Citizen participation, the ‘knowledge problem’ and urban land use planning: an austian perspecitve on institutional choice. Rev. Austrian Econ. 17(23), 213– 231 (2004) 36. Ponzini, D.: Valorizzazione dei beni culturali e strategie di sviluppo locale: Verso un approccio progettuale e territoriale, Strategie e strumenti per la valorizzazione del patrimonio immobiliare pubblico, edito da Presidenza del Consiglio dei Ministri - Dipartimento Affari regionali, Autonomie e Sport, pp. 178–191 (2015) 37. Rauws, W.: Civic initiatives in urban development: self-governance versus self-organisation in planning practice. Town Plann. Rev. 87(3), 339–361 (2016) 38. Savini, F.: Responsibility, polity, value: the (un)changing norms of planning practices. Plan. Theor. 18(1), 58–81 (2019) 39. Schilling, J.: Revitalizing vacant properties and substandard buildings. Public Manage. 86 (4), 12–18 (2004) 40. Uitermark, J.: Longing for Wikitopia: the study and politics of self-organisation. Urban Stud. 52(13), 2301–2312 (2015) 41. Van Ham, M., Reuschke, D., Kleinhans, R., Manson, C., Syrett, S.: Entrepreneural Neighbourhoods. Towards and Understanding of the Economies of Neigbourhoods and Communities. Edward Elgar Publishing, Chetlenham (2017) 42. Vicari Haddock, S., Moulaert, F.: Rigenerare la città. Pratiche di innovazione sociale nelle città europee, Il Mulino, Bologna (2009) 43. Vitale, T.: Socialità, mobilitazione e innovazione sociale nelle città europee. In: Anomale, G. (ed.) Il dire e il fare: volontari creativi per il bene comune, pp. 11–21. Bine, Milano (2009) 44. Whitaker, S., Fitzpatrick IV, T.J.: Deconstructing distressed-property spillovers: the effects of vacant, tax-delinquent, and foreclosed properties in housing submarkets. J. Hous. Econ. 22(2), 79–91 (2013)

A New Lombardy Region Law: Regeneration Toward (Almost) Free Planning Roberto De Lotto(&), Caterina Pietra, and Elisabetta Maria Venco DICAr – University of Pavia, via Ferrata 3, 27100 Pavia, Italy [email protected]

Abstract. In general meaning, the Italian legislative framework about urban planning is still based on principles that were defined several decades ago. The basic urban planning law was approved in 1942, following the modern movement theoretical basis. Then, each Region could define and promulgate specific new laws. In Lombardy Region case study, a recent law, n. 18/2019 approved in 26/11/2019, updated the Regional Law n. 12/2005 and Regional Law n. 31/2014 that concern regional, metropolitan and urban scale plans with particular reference to soil consumption reduction. The new Regional Law n. 18/2019 introduces a series of novelties that will be analyzed in detail in this paper. The main leanings regard the liberalization aspects that this law introduces. In particular, considering that classical planning usually limits the private proposals and initiative, the new law presents opportunities that can improve the liberalization (or deregulation) of private action in regeneration area. From the functional indifferentiation, to the buildable quantity, to the temporary use, author will discuss the elements trying to underline which impacts have on public action and public income that will be sensibly reduced to improve regeneration activities. Keywords: Urban regeneration


Flexible city
New Lombardy Region law

1 Introduction Italian Constitution provides that territory government is a matter of concurrent legislation for both State and Regions. Lombardy Region, therefore, develops a permanent planning process starting from the Regional Law of 11 March 2005, n. 12 Law [1] for the government of the territory, as result of a debate started in 2000. It consists of two parts: on the one hand, in the first 26 articles, territorial and urban planning are defined and, on the other, in the following articles, the construction activity (construction), according to national law, is regulated. While introducing interesting innovations, the law turns out to be of a traditional type, clearly governing all the different disciplinary areas. The Regional Law 31/2014 introduces new guidelines related to territory government aimed at limiting the consumption of soil and promoting the regeneration of urbanized areas. Considering soil as a non-renewable resource, in order to reduce its consumption, the mentioned law focuses urban-building transformation activities no longer on free areas but on areas already urbanized, degraded or abandoned, through requalification or regeneration actions.The fast and changing population’s needs and the lability of the surrounding conditions (global market, global cities, diffusion of lifestyles linked to © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 905–912, 2021. https://doi.org/10.1007/978-3-030-48279-4_85

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technological consumption, climate changes, increase in the effects of natural hazards, urban and territorial degradation, and deindustrialization) [2, 3] reflect on the city and on the different social subjects (common population, stakeholders, professionals and decision-makers). The latter require the city to be able to adapt in real time to their demands. It is therefore essential to develop an integration of the approaches to planning. This means creating the logical and methodological connections among the different scales (local, block and neighborhood, urban, metropolitan, regional, national, international), among the different sectors (agriculture, industry, commercial activities, services, public administration) and among the various actors (individual citizens, communities, associations, stakeholders, political institutions). Considering the city as a system of interconnected activities implies seeing the plan as a strategic and procedural tool [4–8], a continuous activity, adaptable and not fixed in all accurate a priori aspects. From this perspective, the Regional Law 18/2019 [9] introduces greater freedom to the private stakeholder who can take decisions about the building sector and make choices for all urban planning purposes, in derogation from the municipal instrument in force in the area. It therefore acts favoring of an adaptation of the norm to the contemporary socio-economic context, thus developing a normative and consequently physical and social resilience.

2 Regional Law 18/2019 The Regional Law 18/2019 brings significant changes to the Regional Laws 12/2005 and 31/2014 [10] by increasing the importance of interventions aimed at urban and territorial regeneration. It concerns areas, buildings, defining them as priority actions in order to reduce soil consumption, improve the functional, environmental and landscape quality of territories and settlements, as well as the socio-economic conditions of the population. The main new elements introduced are highlighted and commented below. i. Art. 3 Changes to Regional Law 31/2014. Inter-municipal territorial volume equalization. Municipalities, also in agreement with other territorial entities, may include approaches of inter-municipal territorial equalization. The building rights, attributed through equalization and compensation, are marketable and they are placed favoring areas of urban regeneration. Moreover, they establish the register of building rights, updated and made public according to procedures stated by the municipalities themselves. What emerges from the presented article, is that a private stakeholder may act in a wide scale context (not only municipal), even if it involves the agreement of more than one bureau. ii. Art. 3 Changes to Regional Law 31/2014. Increase of 20% of the maximum building index. The maximum building index envisaged by the Plan for Government of Territory (PGT) is increased up to 20%, based on the criteria defined by the Regional Council that pursues one or more goals: realization of public and social housing services; reduction of vulnerability and exposure to natural hazards; respect for

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the principle of hydraulic and hydrological invariance, sustainable management of rainwater, water saving, achievement of sustainable urban drainage; environmental and landscape requalification; protection and restoration of buildings of historical and artistic value; implementation of interventions intended for collective mobility, modal interchange, cycling and related accessibility interventions, as well as redevelopment of the infrastructure network for mobility; remediation of buildings and contaminated soils; solutions to reduce building’s energy needs; application of integrated safety systems and construction site risk management processes; removal of architectural barriers. iii. Art. 3 Changes to Regional Law 31/2014. Increase of 20% of maximum height and other exemptions among distances-typology-morphology. Interventions are also carried out notwithstanding the maximum height established in the PGT, within the limit of 20%, as well as the quantitative, morphological rules, regarding types of intervention, on the distances provided for by the municipal urban planning instruments in force and on the building regulations (except state regulations and those regarding hygiene and health requirements). iv. Art. 4 Changes to Regional Law 12/2005. Self-certification of dismissed buildings. Municipalities, through Board resolution, identify the properties of any intended use, which have been dismissed for over five years, and that can cause criticality for one or more of the following aspects: health, hydraulic safety, structural problems affecting safety, pollution, environmental and urban-building degradation. The maximum building index in increased of 5% for interventions that ensure a waterproofed and green area not less than the increase achieved, as well as for interventions that reach a coverage surface decrease of at least 10%. The exception to PGT let the stakeholders define precise planning solutions without the approval of a specific plan guideline sheet but only through recognizing a certain area or building as dismissed. v. Art. 4 Changes to Regional Law 12/2005. Tax relief -50%. In regeneration contexts where urban restructuring works are planned, the construction contribution is reduced by 50%, (municipalities can provide for further reductions). The Regional Council defines criteria for the reduction of urbanization costs and the contribution on the construction cost which pursue one or more of the following objectives: promotion of energy efficiency; reduction of vulnerability and exposure to natural hazards; respect for the principle of hydraulic and hydrological invariance, sustainable management of rainwater, water saving, achievement of sustainable urban drainage; environmental and landscape requalification; protection and restoration of buildings of historical and artistic value; implementation of interventions for collective mobility, modal interchange, cycling and related accessibility works, as well as redevelopment of the infrastructure network for mobility; remediation of buildings and contaminated soils. vi. Art. 4 Changes to Regional Law 12/2005. Increasing of the contribution of the construction cost. – +30–40% for interventions that consume agricultural land related to the current state of affairs, not included in the consolidated urban fabric;

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– +20% for interventions that consume agricultural land in the current state of affairs within the consolidated urban fabric; – +50% for logistics or road haulage operations which do not incident on the regeneration areas; – The amounts thus defined are to be assigned for the implementation of compensatory urban and territorial redevelopment measures; these interventions can also be implement by the operator, in agreement with the municipality. It is evident how the law, using considerable economic incentives, plays an important role as driver of the sustainable development of the municipal, and therefore regional, territory and pushes the private stakeholder to undertake targeted urban regeneration actions. vii. Art. 4 Changes to Regional Law 12/2005. Functional compatibility. The function/s admitted by the planning tools constitutes the urban use of an area. The intended uses are always considered compatible with each other, also in derogation of any prescriptions or limitations imposed by the PGT, residential, neighborhood commerce and handcrafted functions, as well as directional and accommodation functions up to 500 sq. m of gross surface. The main, complementary, accessory or compatible destinations, as defined above, can coexist without percentage restrictions and the passage from one to the other is always allowed. viii. Art. 4 Changes to Regional Law 12/2005. Temporary use. In order to activate processes for the recovery and enhancement of disused, unused or underutilized areas and buildings, through economic, social and cultural initiatives, the municipality may allow the temporary use of these areas, buildings, or parts of them, in derogation from the current urban planning instrument. Temporary use can cover both public buildings and private buildings. Temporary use is permitted, subject to compliance with the health, environmental and safety requirements, if it does not compromise the purposes pursued by the intended functional destinations by the PGT. Temporary use is also allowed for one time only and for a time period not exceeding three years, extendable by another two. Temporary use does not entail the payment by the applicant of areas for services, nor does it entails changing the intended use of the real estate units. The municipality in the agreement can however define any minimum urbanization works necessary and indispensable for the proposed temporary use. The functional compatibility and the temporary use of public and private spaces perfectly reflect the principles of the flexible city [11], meaning by flexibility the ability of the city to adapt its functions, its structure and its operating rules based on the socio-economic solicitations of different magnitude and frequency. In particular, authors want to develop the subjects [12] related to: temporal dimension (modifications can take place in short, medium and long term temporal spheres with more or less significant changes and affect the anthropological sense); functional indifferentiation (the city must be able to adapt its functions locally and increase or reduce the urban load according to needs, without compromising the functioning of the whole city system); reversibility (direct and reverse steps between functions must always be possible, with a view to the life cycle assessment of the entire city).

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3 Case Study in Segrate Municipality Authors now intend to verify the effects of the new law by examining a case study taken from Segrate Municipality. Segrate is located among the municipalities of the first belt of Milan that put it in close relationship with the Lombard capital, it has also a key role between the capital and the territories located to the east, in the direction of Adda river and therefore towards Bergamo and Brescia. The southern sector of Segrate territory is included for a part within the South Milan Agricultural Park, a regional park that includes sixty-one Municipalities of the Province of Milan for the purpose of safeguarding and protecting the territory and defending the economic function of agricultural activity [13]. Segrate includes six districts: Rovagnasco-Villaggio Ambrosiano, Segrate Centro, Milano 2-Lavanderie, Redecesio, Novegro-Rivoltana, San Felice-Tregarezzo. The area considered by the case study is located in Redecesio Nord neighborhood. The industrial area is currently dismissed (formerly area CISE/TR7 in the previous PGT of 2012). The ex-CISE area belongs to a context with significant urban load and building density. The existing volumes within the area occupy almost the whole part of it. The area is located north of a mainly industrial fabric, east of a new commercial area and south of Cassanese Bis road (Fig. 1).

Fig. 1. Urban analysis Redecesio Nord (allegato 8a Documento di Piano Comune di Segrate, modified by authors)

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Indexes Total land area Gross floor area

Degree of coverage Maximum height Not allowed functions

Building ratio Public area Drainage surface Biotope Area factor - BAF Private surface Enabling tool

Value 72,114 sq. m 43,268 sq. m divided as follows: – Min 80% productive, tertiary, commercial – Max 20% for residential use 100% Private surface 25 m – GSV trade – Wholesale – Fuel stations – Agricultural production activities – Shipping and logistics 0.60 sq. m/sq. m 30% minimum St to be allocated to public green areas, that equals to 21,634 sq. m 30% Total land area 0.6 (referred to Sf for residential functions) 0.4 (referred to Sf for other functions) 60% of maximum Total land area PII Programma integrato d’intervento -Integrated Intervention Programs, a specific kind of Public-private Plan PA Piano Attuativo - Implementation Plan

Table 1 shows data taken from the Plan Guideline Sheet as currently presented in the PGT of the Municipality of Segrate. Table 2 describes the quantities subject to interest and modification by law 18/2019. In particular, the first modified parameter is the building ratio (+20%) on which almost all the other parameters depend (also dependent on the project/masterplan). Also the maximum height (+20%) and the public income change. Table 2 (b) clearly demonstrates how the application of the incentives defined by the law allows more than 14,000 sq. m of gross floor area to be settle, but with a significant reduction of public income. These possible volumetric increases, without tax relief of primary and secondary urbanization expenses for general services, and the percentage of the contribution of the construction cost, would yield over 8,800,000 € to the municipality. The expected relief reduces incomes to about 4,400,000 €, thus implying a 2,188,000 € decrease compared to the profit deriving from the preapplication of the Regional Law 18/2019.

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Table 2. Values comparison Indexes Gross floor area

No Law 18/2019 (a) 43,268 sq. m divided as follows: – Min 80% productive, tertiary, commercial – Max 20% for residential use Volume 129,804 cm Degree of coverage 100% Private surface Maximum height 25 m Building ratio 0.60 sq. m/sq. m Private surface 60% of maximum total land area Primary planning 2,293,180 € fees Secondary 1,047,078 € planning fees Contribution of the 3,259,936 € construction cost Total public 6,600,194 € income

Law 18/2019 (b) 57,691 sq. m division depending on the new functional mix (with the same proportion of functional mix)

173,073 cm Depending on the new masterplan 30 m 0.80 sq. m/sq. m Depending on the new masterplan 1,528,818 € (reduction by Law) 698,063 € (reduction by Law) 2,185,196 € (reduction by Law) 4,412,077 € (reduction by Law)

4 Conclusions As evident from the analysis carried out on the law and from the case study presented above, the Regional Law 18/2019 certainly allows greater planning flexibility in substantial and procedural terms, aiming to achieve greater urban resilience. It is clear that this greater freedom of action entrusted to the private stakeholder also represents an important attempt at regulatory and planning adaptation to the current socio-economic context. Functional flexibility and tax relief, however, imply significant costs currently attributed to the municipal sphere. It has been highlighted how the application of the Regional Law 18/2019 to an urban area of transformation and regeneration such as Redecesio Nord neighborhood of Segrate, has generated a much lower income for the municipality deriving from expenses for general public services. Compared to over 57,000 sq. m, due to 50% reduction on the public income, the municipality earns approximately € 2,188,000 less than in the situation without the law (i.e. without an increase in gross floor area and without tax relief). This important economic loss affects exclusively municipal finances and, consequently, the economic management, and therefore the management of the public aspects of each individual local bureau. Case (a), without law enforcement, produces an incidence of public income of 152.54 € per sq. m. Once Regional Law has been applied (case (b)), the incidence of public income is equal to 77.48 € per sq. m.

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Considering the two cases (without (a) and with law enforcement (b)), there can be intermediate cases: • (a)1: Same Gross floor area and 50% reduction of public income, that allows the municipality to earn 3,300,097 €; • (a)2: 20% increase in volume and same public income, that allows the municipality to earn 8,824,153 €. They can be considered as guidelines of the negotiation between public and private subjects in the planning scheme definition. The current formulation of the law, against more freedom for the private individual, leads the municipality, and consequently the community, to manage a considerable reduction of income deriving from construction activities, which, therefore, implies, in the medium and long term, possible complications related to the management of public aspects of the territorial area.

References 1. Legge Regionale 11 marzo 2005, n. 12 Legge per il Governo del Territorio 2. Bauman, Z.: The individualized society. Italian version: La società individualizzata, il Mulino, Bologna (2001) 3. Cesareo, V.: Globalizzazione e contesti locali. Una ricerca sulla realtà italiana. FrancoAngeli Edizioni, Milano (2001) 4. Batty, M., Marshall, S.: The evolution of cities: Geddes, Abercrombie and the new physicalism. Town Plan. Rev. 80(6), 551–574 (2009). https://doi.org/10.3828/tpr.2009.12. Liverpool University Press 5. Crosta, P.L.: La politica del piano. Ed. Urbanistica. Franco Angeli, Milano (1994) 6. Faludi, A.: Planning Theory. Pergamon Press, Oxford (1973) 7. Mazza, L.: Trasformazioni del piano. Franco Angeli Editore, Milano (1997) 8. Welter, V.M.: Biopolis. Patrick Geddes and the City of Life. The MIT Press, Cambridge (2002) 9. Legge Regionale 26 novembre 2019, n. 18 Misure di semplificazione e incentivazione per la rigenerazione urbana e territoriale, nonché per il recupero del patrimonio edilizio esistente. Modifiche e integrazioni alla legge regionale 11 marzo 2005, n. 12 (Legge per il governo del territorio) e ad altre leggi regionali (BURL n. 48, suppl. del 29 Novembre 2019) 10. Legge Regionale 28 novembre 2014, n. 31 Disposizioni per la riduzione del consumo di suolo e la riqualificazione del suolo degradato 11. De Lotto, R.: Flexibility principles for contemporary cities. In: Shiling, Z., Bugatti, A. (eds.) Changing Shanghai – From Expo’s After Use to New Green Towns, pp. 73–78. Roma, Officina Edizioni (2011) 12. De Lotto, R., Morelli di Popolo, C., Venco, E.M.: The role of urban features in etheroorganization of public spaces. Atti del convegno internazionale “Past Present and Future of Public Space”. organizzata da City Space architecture, Bologna, 25–27 Giugno (2014) 13. AA.VV. Piano di Governo del Territorio del Comune di Segrate. http://www.comune. segrate.mi.it/attivita_servizi/Sviluppo_del_Territorio/Piano_Governo_del_Territorio_2017/ Approvazione_Variante_PRG_20170703.html

Integrated Strategies for Sustainable Urban Renewal in Hot and Dry Climate Chro Ali Hama Radha1(&), Sara Elhadad2,3, and István Kistelegdi3 1

Technical College of Engineering, City Planning Department, Sulaimani Polytechnic University, KRG, Sulaymaniyah, Iraq [email protected] 2 Department of Architecture, Faculty of Engineering, Minia University, Minya 6111, Egypt 3 Faculty of Engineering and IT, Energy Design Research Group, Janos Szentagothai Research Center, University of Pécs, Pécs, Hungary

Abstract. The increase in the world’s population has been paralleled with high rates of migration to cities and rapid urbanization, which cause problems for city management and the environment. One of the great challenges in urban development is mitigating the effects of microclimate on the urban area. The goal of sustainability approaches is to adopt a new view of human, environment, and space to develop mechanisms that link all these elements within a balanced organizational structure of urban clustering. Urban renewal requires a multifaceted strategic approach incorporating both local and regional regulations, developed through multi-sector and multi-agency partnerships. Thus, sustainable urban renewal is a concept to integrate the global concept of sustainability into the urban renewal process. To transform such abstract concepts into real practices, an effective method should be worked out. This study applies the triple sustainable values system, i.e. economy, environment, and social equity into urban renewal projects in order to reduce energy consumption and create a comfortable environment in hot and dry climates. For this goal, a chosen district was analyzed and evaluated in city of Sulaymaniyah in Iraq, employing a field survey and questionnaires among local residents to identify the existing urban problem in microclimate. In this paper, a model proposes solutions for the study area to support appropriate strategies for sustainable urban renewal, transferable to other districts within the city or even to other cities with same climate in the north of Iraq. Keywords: Urban renewal Microclimate


Sustainability
Sustainable urban renewal


1 Introduction Urban areas are growing very fast. In 2008, for the first time in history, more than half of the world’s population was living in urban areas [1, 2]. Urban planners and designers are increasingly showing earnestness to infuse their work with the globally expressed concern for sustainability in the process of urban growth and development [3]. The main challenge for today’s cities is to manage the heavy dependence on ecosystem © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 913–924, 2021. https://doi.org/10.1007/978-3-030-48279-4_86

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services, which results in the depletion of natural resources and the efforts to mitigate and adapt to climate change while prioritizing public health and quality of life [4]. In addition, urban renewal (UR) plays a crucial role in determining energy efficiency and the environmental friendliness of outdoor spaces. Accordingly, the climate is expected to be one of the UR criteria [5]. Indeed, there is a strong relationship between urban renewal and sustainability, which led to developments in the cities [6]. The major challenges to achieving sustainable cities and land-use efficiencies are reducing natural resource consumption and waste production footprints [1, 4]. Thus, the overall aim of sustainable urban development (SUD) is to achieve a healthy and high quality of life for all people in this and subsequent generations, with equitable and geographically balanced and socially cohesive economic development, which reduces the impact on the global and local environments [7]. Moreover, to create SUD it is important to measure and evaluate the national, regional, and local policies, infrastructure services, social and economic factors, resource use, gas emissions, and any other processes that contribute to the metabolism, prosperity, and quality of life of the city. Additionally, partnerships and effective participatory processes should integrate functional, environmental, and quality considerations to design, plan and manage a built environment [4, 7]. Thus, the main goal of sustainable urban renewal (SUR) is improving the physical, social, economic, and environmental aspects of urban areas through urban renewal programs, including redevelopment, rehabilitation, conservation, and revitalization [8–10]. In sum, sustainable urban renewal is a comprehensive vision and overall action trying to achieve a stable and accurate solution to the economic, physical, functional, cultural, social and environmental problems of the regions undergoing renewal.

2 Sustainable Urban Renewal Approaches To minimize the deficiencies in UR projects, a sustainable approach to urban renewal process is necessary. One way to develop such an approach is to apply the concept of sustainability to urban renewal [8], Having recognized the crucial role that could be played by urban renewal in fostering livable and sustainable cities, different governments and urban administrators have tried to reestablish urban design approach in the arena of urban development [8, 11]. For instance, Vienna is finding itself on the top lists of sustainable and most livable cities in several international rankings. The most important projects and achievements in terms of environmental sustainability in Vienna range from energy, climate protection, air, green space planning, sustainable urban development, drinking water, and sewage [12]. Since Copenhagen is able to show what SUD represents environmentally, socially, and economically at the urban level and well incorporated into an integrated approach. The city is not only on track to be carbon neutral by 2025, but it is also designed to be livable and people-friendly [3, 13]. In addition, in the late 1990s, the Hong Kong Government also attempted to incorporate the idea of sustainability in UR strategies in addition to urban development [8]. The urban pattern development in Iraq in general and in Kurdistan, in particular, is a cause for serious concern in terms of sustainability. The urban sprawl pattern, undefined settlement approach and policy unimaginative land use, increasing pollution

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due to unregulated activities and traffic, the proliferation of motor vehicles, unplanned and inadequate public transport systems, lack of green space, are significant issues weakening the sustainability of urban development. Successful UR requires a multifaceted strategic approach incorporating both local and regional regulations, developed through multi-sector and multi-agency partnerships [9]. Thus, the main objectives of SUR are [7, 12]: – Restructuring and redesigning the concerned urban areas. – Designing more effective and environmentally-friendly local transport and road networks within the concerned urban areas. – Rationalizing land use within the concerned urban areas. – Redeveloping dilapidated buildings into new buildings of modern standard and environmentally-friendly design. – Promoting sustainable development in urban areas. – Preserving buildings, sites, and structures of historical, cultural or architectural value. – Preserving as far as practicable local characteristics, and social networks of the local community. – Providing more open space and community welfare facilities, and enhancing the townscape with attractive landscape and urban design. The SUR strategy is a comprehensive and holistic approach that should be adopted to rejuvenate urban areas through redevelopment, rehabilitation, revitalization, or heritage preservation [12]. Through the aforementioned, it is important to mention that UR policies are within the core of the sustainability approach.

3 Methodology To achieve the research objectives, the following procedures were carried out (see Fig. 1): Conducting a thorough analysis of literature to categorize the appropriate strategies for urban renewal in a hot and dry climate from a sustainable perspective. Selecting a case study in Sulaymaniyah in order to know the extent of the application of appropriate strategies for urban renewal. In order to identify the urban problems, and knowledge of the local people’s opinions in the district, a field survey was conducted and a questionnaire form was employed (100 pieces), representing different local residents in the study area. Based on the result analysis and selection of the appropriate urban renewal strategies for the case study, a model of solutions was proposed to solve the existing physical, functional, economic, cultural and environmental problems in the urban area.

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Fig. 1. The methodology of the research [Researcher].

4 Case Study Description Sulaymaniyah also called Sulaimani is located in Northern Iraq, as shown in Fig. 2. The geographical coordinates of the predestined governorate are 35°33′40″ N and 45° 26′14″ E. The elevation of the city is about 882 m above sea level. From its foundation, Sulaimani was always a center of great poets, writers, historians, politicians, and scholars. It was the capital of the historic principality of Baban1 from 1784 to 1850 [14]. The city is characterized as a steep landscape from the eastern part, towards the southwestern part, where it is characterized by the presence of mountains, hills, plains, valleys [15]. Based on the climate classification in Iraq, the climatic zone of the Kurdistan region falls within the Mediterranean climate zone (Csa), and is known as Mediterranean or Dry-Summer Subtropical as shown in Fig. 3 [15, 18]. It is characterized by hot, dry summer and cold, wet winter with large temperature differences between day and night and between summer and winter. The annual average temperatures range from 0 °C (32 °F) to 39 °C (102 °F) [15].

1

The family of Baban (1649–1850) ruled a Kurdish principality which encompassed areas of presentday Iraqi Kurdistan and western Iran from the early 17th century until 1850.

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Fig. 2. The geographic location of Sulaymanyah within Iraq (Kurdistan region of Iraq) [17].

Fig. 3. The three regional climates in Iraq [18].

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The dynamics of urban growth in the Sulaimani include major changes in the economic and political situation, especially when the region gained autonomy from the central government in 1991. This administrative independence led to the prosperity of the city’s activities. Moreover, the war in southern and central Iraq led to large migration from these areas to the Kurdistan region, which led to a huge increase in the value of lands for Sulaimani and its environment, and the prosperity of real estate business. This encouraged the growth of the city, which led to a major change in the city’s structure. Urban sprawl is a result of the development of uncontrolled construction on a large scale in the city’s periphery, which has led to a significant increase in the city’s area [15, 16]. Based on the studies and analysis of the existing situation of the Sulaimani for developing its master plan in 2008, six periods for urban expansion were identified, as shown in Fig. 4. These are more or less related to the successive wars and political situations that took place in the region [16].

Fig. 4. The spatial development of Sulaimani [15].

In order to find appropriate strategies for urban renewal in Sulaimani, a residential district called Bakhtiary was chosen. The Bakhtiary district represents the western part of the city and it is surrounded by a ring road called Malik Mahmood ‘s Street, as shown in Fig. 5 [19]. The last census was carried out by the Statistics Department of Sulaimani in 2009, where the number of its population was 10,036 capita [20]. Although Bakhtiary is one of the most important urban areas within the city, because it contains many different activities, it is overcrowded, especially on the main streets. The municipality of the city does not have clear criteria, to preserve the nature of the region. However, current development and renovation creates a disproportionate mixture of buildings in style, height, materials used colors, spaces, and operators. This leads to the

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deprivation of architectural and urban identity. In addition, another feature that distinguishes it from other districts is the presence of several landmarks, including the Grand Millennium Hotel, and Art Palace, as shown in Fig. 6. These are some important features at the level of the city.

Fig. 5. The location of Bakhtiary district in Sulaymaniyah and its land use [Source: Researcher].

Fig. 6. The existing land mark and residential house in Bakhtiary [Source: Researcher].

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5 Determine the Problems of Bakhtiary District To identify the main problems that are facing Bakhtiary district, and to find appropriate solutions to it later, a field survey and a questionnaires form were conducted, whereas 100 samples from the local population were chosen randomly. The questions in the questionnaire form, include demographics, accessibility, visual permeability, safety, privacy, walkability, environment, clarity of public places, and public facilities. After data collection and results analyzed, the problems were summarized as follows: – There is a lack of a comfortable public transport system in the Sulaimani in general and in the study area in particular. This has led to people’s automobile dependency for transportation, congestion and air pollution. – There is a lack of cycling paths and comfortable pedestrian sidewalks, caused increase of automobile dependency, and environmental pollution. – There is a lack of appropriate car parking, results in random parking on both sides of the streets and on sidewalks, creating obstruction for pedestrian mobility (see Fig. 7). – There is a significant difference in the height of sidewalks and ramps in the main streets, leads to difficulty in traffic and parking, further specifically for the disabled and children (Fig. 7). – There is a lack of separation in the mobility networks for pedestrians and vehicles results in unsafety, and this leads to confusion and accidents. – There is direct transmission from high-density streets to quiet residential areas does not provide graduated priorities for this transition. – Using inappropriate building materials in terms of the microclimate, environment, and the physical context, as well as economic with regard to cost compared to local materials. – Using inappropriate materials for building envelope resulted in the depletion in energy usage, thus led to a shortage of energy demanded, and due to major dependence on electrical energy, this led to a discontinuous availability of electricity power daily. – The absence of an environmentally friendly system for waste disposal, which has led to increased environmental pollution in the study area. – The diversity of activities that have been creeping into residential areas, have resulted in noise and pollution in the study area. – The absence of strict laws and the lack of competent authority or body to implement them does not limit the patterns of indiscriminate construction. – Insufficient open and green areas compared to local and international standards. – The absence of street furniture such as benches, and litter bins on the main street. – The absence of shading devices on the sidewalks does not protect pedestrians from the different climatic conditions. It is worth noting that a number of social, economic and even political factors have contributed effectively to the development in the urban environment of this region, and to the spatial organization of its traditional focus in particular.

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Fig. 7. The existing problem on the main road in Bakhtiary [Source: Researcher].

6 Proposed Solutions Based on Sustainability Approaches The sustainable urban renewal approaches of the Bakhtiary district depends on the five main aspects: 6.1

Physical Aspect

– Identifying the physical configuration of the study area with aging infrastructure services, then determine the properties of the existing structures and their problems. – Questioning the users and physically criticism to make decisions based on it, in order to meet their demands, through proposing appropriate solutions. – The design of the project integration of the district by ensuring physical- relations of the study area with the surrounding areas and the whole city. 6.2

Functional Aspect

– Provide the right functionality to allow the user to live in a fit, healthy and peaceful local area.

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– From a functional point, and based on the questionnaire, it is a necessary to make decisions, on re-planning and improving the existing functions to meet contemporary requirements for the occupants. – Based on the local legislation and global standards levels, deficient land uses are to be identified and to redesigned, including designing open green areas that increase protection of water resources and natural ecosystems. 6.3

Economic Aspect

– Considering the provision and transfer of funds from different sources. – The economic demands of the local users, should be assessed, through the expectations of criticism and questionnaires. – Identification of options in the calculation of the waste recycling technology costs to create the financial source. – Gaining economic benefits by design to meet the needs of the future. 6.4

Cultural Aspect

– Assessing current values, which contribute to the city’s skyline and ensure identity of the city. – Through questioning, defining the cultural criticism and demand aspects of local users, to determine the structures of historical value, determination of conservation status, making restoration projects and the evaluation of the functional aspects. – Making planning decisions that protect cultural values. – The creation of urban-culture identity projecting design options. 6.5

Environmental Aspect

– Reducing the rate of greenhouse gas emissions through controlling the reduction of private cars and establishing a public transportation system for urban mobility. – Increase walkability in the urban area by providing comfortable walk paths in terms of path heights and bicycle paths. – Issuing laws and legislations by the government to cover the building envelope by insulation materials to reduce energy consumption and greenhouse gas emissions in the built environment. – Since Iraq is a rich country in solar radiation, the reduction of non-renewable energy consumption and encouraging the use of environmentally friendly energy should play an important role. – Design more efficient and environmentally friendly traffic and transport networks and local roads within the concerned urban areas. – Increasing the green area in Bakhtiari by converting the vacant land into a green area by the municipality.

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7 Conclusions The research concluded a set of statements that can be summarized as follows: – Urban renewal is a comprehensive vision, comprising of overall actions to secure the public interest principles at the forefront and to ensure a stable and accurate solution to the economic, physical, functional, cultural, social and environmental problems of the regions, which undergone a transformation. – In the renewal process of an urban area within the city, attention should be paid to five aspects or five main axes including physical, functional, economic, cultural, and environmental aspects. All of these axes have an effective influence on the proposed solutions. – The success of assessing the existing situation and diagnosing the problems in the study area represents the first stage of the effort to achieve the desired goal. – Public participation for local residents in all stages of urban renewal is necessary to succeed urban renewal and to raise the standard of living and to meet the requirements of the occupants.

References 1. European Environment Agency: Sustainability Issues, what is a resource-efficient city? EEA Technical report, pp. 5–70 (2015) 2. Yavuz, A.: The Relationship Between Sustainable Urbanisation and Urban Renewal: An Evaluation of Trabzon City Sample. Sustainable Urbanization, pp. 155–176. IntechOpen, London (2016) 3. Al-Shihri, F.: Principles of sustainable development and their application in urban planning in Saudi Arabia. J. Eng. Sci. 41(3), 1–25 (2013) 4. Science Communication Unit SCU: Indicators for Sustainable Cities. In-depth report, University of the West of England, Bristol, pp. 5–23 (2018) 5. Bahgat, R., Reffat, R.M., Elkady, S.L.: Energy efficiency design guide for optimal urban features of open spaces in residential complexes. Acad. Res. Comm. Publ. 3(1), 136–152 (2019) 6. Lee, J.S.: Enhancing sustainability in downtown by triple-value adding to urban redevelopment efforts: A case study of Seoul, Korea. Ph.D. Dissertation, University of Washington (2003) 7. Robert, T., Gabriele, L.: Urban Design for Sustainability, Austrian Federal Ministry of Agriculture, Forestry, Environment and Water Management, Final report, pp. 7–43 (2004) 8. Lee, G., Chan, E.: Effective approach to achieve sustainable urban renewal in densely populated cities, pp. 617–627 (2006) 9. Zhiyong, Y., Liu, G., Lang, W., Shrestha, A., Martek, I.: Strategic approaches to sustainable urban renewal in developing countries: A case study of Shenzhen, China. Sustainability 9(8), 2–19 (2017) 10. Kharofa, O.H.: Urban renewal policies according to sustainability methods. Al-Qadisiyah J. Eng. Sci. 7(3), 105–133 (2014) 11. Abdulgader, A., Aina, Y.: Sustainable cities: an integrated strategy for sustainable urban design. WIT Trans. Ecol. Environ. 84, 15–24 (1970)

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12. URA: Urban Renewal Authority, Urban Renewal Strategy. Annual report, Hong Kong, pp. 1–20 (2011) 13. Umberto, P., Katrin, L., Gerald, B.: Urban Sustainable Development Approaches of Three Different Cities, European Sustainable Development Network (ESDN), pp. 1–16 (2014) 14. GCS: Geography and Climate in Sulaimani. https://en.wikipedia.org/wiki/Sulaymaniyah (2019) 15. Radha, C.: Sustainable renovation of residential buildings in subtropical climate zone. Ph.D. Dissertation, University of Pecs, pp. 17–29 (2018) 16. MPPRS: Master Plan Proposed Report of Sulaimani, Iraqi Kurdistan (2009) 17. Map Iraq. https://www.google.com/map/Iraq 18. Alinowski, J.: Iraq a Geography, Geography & Environmental Engineering, United State Military Academy, West Point NY, p. 236 (2001) 19. MS: Municipality of Sulaimani. Annual report, Sulaimani, Iraqi Kurditan (2009) 20. SDS: Statistics Department of Sulaimani. Annual report (2009)

A New Generation of ‘Urban Centers’: ‘Intermediate Places’ in Boston and Bologna Bruno Monardo1

and Martina Massari2(&)

1

2

PTDA Department, Sapienza Università di Roma, Rome, Italy [email protected] Architecture Department, Università degli Studi di Bologna, Bologna, Italy [email protected]

Abstract. Across the advanced Western economies, the ‘Innovation Centers’ phenomenon is growing in importance for economic, institutional and social innovation within contemporary urban ecosystems. The article investigates the emerging models of ‘Innovation Centers’ arguing that their dynamic identity can be interpreted as an evolution of ‘Urban Centers’, traditional structures for the exercise of participatory democracy principles in urban strategies. In the general framework of urban social innovation, ‘Innovation Centers’ can become agents for urban regeneration processes and ‘windows of opportunity’. As ‘intermediate places’, they can trigger regeneration processes and address the growing contemporary urban challenges. The exploration of two paradigmatic case studies - the City of Boston (MA, USA) and the City of Bologna (Italy) - shows how emerging multifaceted ‘intermediate places’ can represent effective interfaces between public local government, private investors, non-profits and citizens. Despite the diversities of the urban conditions, both Boston and Bologna are fostering the creation of a backbone structure in the urban fabric, where spatial ‘hotspots’ spur different styles in social innovation within the redevelopment strategies of the cities. ‘Innovation Centers’ here represent ‘safe arenas’, where urban actors are allowed to pursue imagination, develop common visions and declare their commitment for creative solutions to be implemented in their neighborhoods. Keywords: Intermediate places


Social innovation
‘Urban centers’

1 Introduction Social Innovation as ‘Windows of Opportunity’ Cities are complex basins of expressed and hidden innovation. As recently highlighted by the European Commission, “the wide range of education, services and leisure activities, combined with a high population density and the very high frequency of interactions found especially in cities, foster technological and social innovation, entrepreneurship and creativity” [1]. However, cities’ local transformations require original glances and a growing effort of cooperation within and between systems, in order to address global urban challenges. In this scenario, we are witnessing the emergence of non-governmental actors [2] - local communities, collective enterprises, © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 925–938, 2021. https://doi.org/10.1007/978-3-030-48279-4_87

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non-profits, private groups - conveying private resources for common-interest purposes, operating for the co-production of urban services and public goods [3, 4], more likely to meet local societal needs. In scientific literature this approach is commonly defined as a specific interpretation of social innovation [5–8]; in fact, starting from the ‘umbrella definition’ in which “[…] social innovation refers to new ideas that work in meeting social goals” [9], this interpretation describes a combination of bottom-linked actions - processes, products, services [10] - by which people find answers to pressing needs that cannot be satisfied by the market or the ordinary public sector [11]. Social innovation in the urban realm finds expression with a multiplicity of local practices whose effects are generally expected as spillovers of virtuous institutional planning actions [12, 13], answering to community needs and creating structural urban and social transformation, to be pursued through new forms of collaborations [14, 15]. Social innovation applied to urban and territorial regeneration policies is crucially demanded in the different realities of lagging or even wealthy regions in the advanced economies [16, 17]. Referring to the socially innovative relationships, among the more interesting interpretations is to be emphasized the Deleuzean inspired model [18] that highlights the roles of knowledge and cultural community assets [8]. Deleuze describes social innovation as a contingent process able to tackle sociospatial challenges by creating ‘windows of opportunity’ for the emergence of new organizational forms [10] stimulating and upscaling innovations in long-term urban regeneration strategies. Within the urban realm, innovation is ‘social’ when it is entangled with the multifaceted forms of participation: it embodies the sublimation of actions that lead collective empowerment to embrace the community unmet needs [19, 20], producing significant improvements in the governance architecture. Accordingly, social innovation can be viewed as a general ‘shared consciousness’ about the nature of problems that post-modern societies are forced to face [8]. Within the complex relationship between social innovation and governance models it is easy to find an extensive scientific literature stressing the changing roles and relevance of the numerous stakeholders in the urban arena [21, 22] but less has been argued about the physical, spatial dimension explicitly devoted to the urban dialogue and conflicts. Accordingly, the authors want to highlight the question of how an ‘intermediate place’ can represent a spatial and social catalyst of shared planning scenarios, for entire neighborhoods [23]. It is an intriguing opportunity for questioning how specific places can embody localized potentials by spanning social innovation results, opening a dialogue with the planning framework, triggering urban experimentation and stabilizing it towards new institutional arrangements. 1.1

Short Notes on Structure and Method

The paper explores how the emerging models of ‘Innovation Centers’ represent ‘intermediate places’ in an evolutionary continuity with ‘historical’ ‘Urban Centers’. These are referred to as traditional places in which the ‘participatory democracy’ principles have been implemented extending from US to European urban realities since the midst of the XX Century [24]. Across the most advanced western economies, ‘Innovation Centers’ are gaining significant roles in becoming nexus for economical, institutional and social innovation

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in contemporary urban ecosystems. These ‘intermediate places’ are foreseen to become agents for urban regeneration processes and ‘windows of opportunity’ to address the incoming societal challenges. In order to address the question, an in-depth comparative analysis has been carried on by taking advantage of the synergy between two research projects run by the authors in the last years (see acknowledgements). As to the paper structure, after the introduction focused on the operational definition of social innovation by Gilles Deleuze applied to urban studies and some synthetic notes about the investigation method (Sect. 1), the ‘Urban Center’ phenomenon is shortly reconstructed interpreting its evolutionary profile towards the metamorphosis into ‘Innovation Center’. The latter physically materializes itself in the heart of the city’s regeneration projects and represents an ‘intermediate place’, link between public institutions, private market, non-profit organizations and kaleidoscopic urban communities (Sect. 2). The following parts (Sects. 3–4) explore two case-studies: the municipality of Boston, (Massachusetts, USA) and the city of Bologna (Italy) using the analytical lens of both emerging places and key actors. The former has been selected as one of the most vibrant, thriving urban ecosystem in US, the latter as one of the most advanced local public administrations in Italy. Concerning the case study development, the research method follows the inductive approach (from the particular representative case to the general lessons) and the classic interpretation keys based on the ‘descriptive’ category [25] mostly developed with a qualitative approach and supported by public reports-analysis, on site direct source investigation and interviews. In the final part (Sect. 5) some critical comparative remarks are developed showing the connection of the new generation of ‘hot spots’ and explicit social innovation strategies within urban redevelopment policies.

2 From ‘Urban Centers’ to Innovation Centers One of the most significant definitions proposed by the San Francisco Planning and Urban Research Association (SPUR) declares that “Urban Center is a term used to describe any institution whose core mission is to inform and engage the citizens in urban planning and public policy […] a destination for people who care about the city, where they can come together to talk, to read, to learn, to debate, to plan ways to build stronger cities […] These kinds of institutions are fast becoming the most effective way cities can facilitate community involvement, because they offer a non-partisan, centralized location for all urban planning and design policy” [24, p. 89]. According to SPUR, the core mission of ‘Urban Centers’ (UCs) is to inform, communicate and engage the citizens, facilitate community involvement, offer a ‘centralised location’ as a neutral ground for policy makers and the different urban actors. The implementation of a ‘fair participation’ scenario within ‘Urban Centers’ can be reached looking for an authentic dialogue (i.e. discourse among diversities) with a common language, relating to the theory of communicative action [26, 27]. The roots of modern UCs are to be found in United States, with the first activist groups who started up civic structures in New York and San Francisco more than one hundred years ago, allowing every single citizen to be closer to the power. Since their

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modern origin after the Second World War, UCs have assumed specific identities due to their different cultural contexts. Their essence depends on the nature of promoting actors, general objectives, resources and management styles. At ‘basic level’ UCs are often “exhibition windows” of projects, programs and plans whose life is connected to the public administration. At ‘advanced level’ UCs foster civic engagement and community cohesion through participatory labs, advocacy planning activities, creativity think tanks. Advocacy and empowerment are crucial in the maturity of UC phenomenon. According to eminent scholars “‘Advocacy’ is where the planner takes responsibility for the choices made about political, economic, environmental and social issues, ‘Empowerment’ is when those the planner works with and or represents, are encouraged to [..] actively participate in the decisions that affect them” [28, p. 65]. Given this definition, ‘Urban Centers’ can be deemed as ‘loudspeakers’, amplifiers of both the municipality and urban actors, heralding and legitimising their policies, plans and projects; they can also represent ‘antennas’, smart receivers for formal and informal consultation of stakeholder demands and viewpoints; finally, they can be ‘arenas’, centralised places for open pro-active discussion and dialectic conflicts pursuing an inclusive, cooperative approach. As ‘Urban Centers’ have got new potentials in time, the authors support the hypothesis that contemporary ‘Innovation Centers’ - wide spread phenomenon across Northern America, European Union and other advanced economies - can represent the new interpretation model of UCs, highlighting their role as ‘intermediate places’ within the pulsing body of contemporary complex settlements. 2.1

‘Innovation Centers’ as ‘Intermediate Places’

‘Intermediate places’ can be defined as situated areas located in-between the dimension of institutionally-led urban projects and local-led social innovation practices [28]. This definition identifies their hybrid, aggregating and generative dimension. They are firstly recognized starting from physical and virtual structures that evolve into places when they are recognized and considered as meaningful for the civitas. In this sense, ‘intermediate places’ are moving alongside or even replace the traditional places of participation in the urban space. Following and expanding the traditional scheme of the ‘Urban Centers’, they are assuming a variety of new forms in contemporary cities, by answering to the current evolution of the ways of living, working, meeting and enjoying services, and by providing multifunctional contexts that connect, support and contaminate previously separated elements. Their novelty is substantiated in the new paths that determine their birth, in the new mechanisms of aggregation that are emerging, and in the new forms of governance that they reveal. ‘Intermediate places’ represent authentic in-between systems within the interactive playground of the city, a significant spatial representation on the collective sphere [30]. They are interfaces for local energies, resources, and opportunities emerging from the territory where urban experimentation is enacted in a ‘safe arena’ and carried out both by private and public actors [31]. They develop, try out and test urban solutions, producing changes in different domains bridging planning approaches and social innovation in specific places. As widely explained [23, 32] without a place, innovation cannot distribute, generate, cultivate relationships.

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The case study synthesis in the next sections shows significant models of the emerging interpretation of ‘Innovation Centers’ as pivotal ‘intermediate places’ for urban regeneration. The cultural style embedded in urban redevelopment policies in Boston and Bologna can be deemed emblematic in terms of relationships between local public administration, private and not-for-profit actors, blending three main ‘modes of governance’: hierarchy, market and network. Despite their deep cultural and juridical diversities, Boston and Bologna represent icons of a wider trend that involves other American and European realities. Two different cities in terms of physical dimension and socioeconomic ranking, however they share some similarities: • concentration of high education institutions historically embedded in the city. The numeric ratio between students and residents is about 22% (Bologna hosts an average of 86.000 students every year, with 390.000 inhabitants; Boston has about 154.000 students with 685.000 inhabitants); • innovation as the main driver in both urban policies (Boston in knowledge, hightech and business, Bologna in public/civic administration and education as well); related strategic initiatives are carried on through sophisticated governance models in which the public administration cooperates with private and non-profit actors emerging from the local and territorial milieu.

3 The ‘Innovation Machine’ in Boston: Policies, Places, Actors An emblematic case of integration between innovation policies and the redevelopment of the city is the City of Boston. Its strategy entails spurring innovation within the city as a virtuous collision among economic, social and cultural dimensions. The first is represented by numerous real estate investors and business subjects promoting the implementation of ‘urban excellence poles’, the social issues are addressed connecting disadvantaged populations to employment and educational opportunities, and the knowledge driven dimension leverages on prestigious high education institutions for pursuing an authentic sustainable place-based innovation ecosystem [33]. The District Hall is the centrepiece of the Seaport Boston Innovation District, flagship redevelopment plan of the ‘Innovation District’ phenomenon [34, 35]. The Hall is a large public space where participants interact exploring potential synergies, finalizing creativity to produce agreements. Example of the emerging new style of atypical ‘Urban Centers’ as ‘intermediate places’, the District Hall is the catalyst of a ‘creative’ workforce, a ‘local supply’ of entrepreneurs, a high concentration of private venture capital, a diversified business environment. It is the place for sharing ideas, contracting cooperation agreements and looking for serendipity by recovering the physical proximity dimension in new social relations, entangling work with discussion and play. It is the triumph of the ‘liquid society’, representing the ‘creative class’ galaxy that was celebrated at the beginning of XXI century [36] and then downsized in more recent alarming diagnosis of the urban crisis [37]. However, the most significant and intriguing idea for implementing an authentic social innovation policy through new ‘intermediate places’ is to be considered the

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Roxbury Innovation Center (RIC) located in one of the most deprived neighbourhoods in Boston. Here the local public administration is inspirer and turbine for the conception and implementation of the ‘Neighbourhood Innovation District’ redevelopment strategy. Roxbury’s urban fabric has recently undergone a rebirth thanks to the planning initiatives introduced by Mayor Walsh in order to “give people the opportunity to understand what […] innovation can bring for them […] we must make sure that we have shared wealth and that the people who grew up in Roxbury can come back to live there” [38]. Part of this investment plan has included the opening in 2015 of the Roxbury Innovation Center. Located in the heart of the neighbourhood, RIC was created through a public-private partnership with the city of Boston and the Venture Café Foundation. The RIC is a centrepiece of urban improvement, an intermediate nonprofit place that supports the economic development of the neighbourhood by encouraging innovation and local entrepreneurship. It hosts coffee-night and workshops for small businesses designed to foster an innovation ecosystem in order to create and empower a network of local entrepreneurship (Fig. 1). Together with the offices of the Boston Public School, one of the main ‘tenants’ of RIC is the Fab-Lab, which organizes workshops and courses, in collaboration with the local association of Roxbury Mbadika, non-profit organization building relationships between innovators and international leaders in various fields in order to develop new ideas to challenge the variety of problems communities are called to face.

Fig. 1. Roxbury Innovation Center. Photo by Bruno Monardo.

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The new horizon of ‘Innovation Centers’ is fostered by specific key-players. Among many, two significant actors (Venture Café Foundation and MONUM), respectively represent the private/non-profit galaxy and the City government. The former is a privately driven innovative management actor, that contributed to make the District Hall and the Roxbury Innovation Center thriving places building the mutual support of big firms and ground based start-ups. The latter is an ‘ad hoc’ public agency created by the local government for supporting civic engagement and entrepreneurial approach. The mission of Venture Café Foundation is to connect ideas to resources and needed relationships. In Boston Seaport and Roxbury (as well as in Cambridge, Providence, St. Louis and other US cities), Venture Café manages physical gathering spaces to help foster and sustain an innovation community and exchange ideas. Besides managing the Centers, each Café offers two other programs: ‘Thursday Gathering’, a weekly event attracting new and existing members of the innovation community, and ‘Captains of Innovation’, a specific corporate-startup connection action, coupled with localized programming and support to serve the needs of their community. The Mayor’s Office of New Urban Mechanics (MONUM) was created in 2010 as one of the initiatives of the Mayor Menino and serves as the City’s R&D Lab [33, 39, 40]. The peculiarity of MONUM is that, although it is a public office, it shows common traits of a typical entrepreneurial actor. MONUM acts by experimenting and taking risks that the City Department does not usually take. The experimentation involves the development and testing of prototypes of low-cost interventions, then verified in their potential to be scaled. The results (positive or failed) are considered first of all as learning opportunities, shared in the community of public decision makers, and eventually implemented by traditional departments at the urban scale. MONUM plays also the role of ‘front door’ for start-ups, universities, and residents willing to collaborate with the City [33, 41, 42]. It focuses on improving the quality of life for city residents through nimble testing of initiatives and strategies. It works in an iterative, experiment-driven model in which there is the constant effort to learn needs, success, opportunities in terms of services and experiences in the city.

4 Urban Innovation as ‘Civic Imagination’ in Bologna Bologna has a long history that has seen the city intertwine the care and preservation of urban capital in both its spatial and social components: its most representative architectural element, the arcades, is a concrete example of its “commoning” ability, enhancing the urban space regardless of the property. The city has always followed a flexible and adaptable evolutionary path in urban planning terms. This aptitude is visible in the on-going urban policies that focus significantly on urban regeneration (following the principles of the regional law 24/2017), interpreted and delivered in multiple dimensions and meanings [43]. On the one hand urban regeneration in Bologna involves the spatial transformation and requalification of the existing city, on the other it is an opportunity for social innovation to emerge. From this point of view, urban regeneration via social innovation [44] has found in Bologna a fertile ground. The physiologic tradition in this virtuous connection is represented by the exemplary

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activity of ‘Urban Center Bologna’, born in 2003 and managed by the municipality for implementing the participatory democracy principles, involving a large variety of urban actors in the debate about urban transformation strategies. Leveraging on the Urban Center, the City of Bologna began to intercept social innovation via structured participation activities, as a stable tool to “improve the contents of city planning, both at neighborhood and city level” [45]. Facing the lowered trust determined by the financial crisis, the city focused more on enhancing urban proximity and services, local relationships, everyday use of public spaces, in synthesis collaboration as a methodology.

Fig. 2. Neighborhood Laboratories in Bologna. Photo by M. Caprilli.

This strategy aims at reinforcing the physical proximity while proposing the diffuse quality of the city as an internationally competitive value. On these premises, the process of the Neighborhood Labs (NLs) acts (Fig. 2) with the aim to create proximity spaces as concrete and stable collaboration processes in each neighborhood. They promote specific nodes of interaction, new forms of urban co-production, engagement and stable cooperation between local players. This municipal strategy, is contributing to define a coherent territorial framework for social innovation in the city, identifying specific places as innovation spanners and bridges towards larger frameworks of urban policies. NLs are spaces of interaction between city staff and organized or nonorganized urban groups, operating to activate and pilot stable collaborative processes, leading and enabling the development of cooperative design activities, managing complexity and establishing virtuous interface between the multiple levels of institutional and not institutional actors.

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The Neighborhood Labs are the operative tools of the Urban Innovation Plan, the last voluntary planning device that Bologna has adopted. It is a discursive framework that encourages co-design processes aimed at connecting the vision and proposals of the public administration with the potential arising from the commitment of citizens. The Plan holds together spaces and places, open data and new technologies, as opportunities for the communities to interact and become responsible for the co-design of urban transformations and for its governance and care. This framework identifies a network of places that are contributing to define a comprehensive territorial strategy reading local actions as anticipation of urban policies [43], facilitating their up-scale. Among these places, the cases of ‘INstabile Portazza’, ‘Mercato Sonato’ and ‘Dynamo’, are paradigmatic. Located in former neglected spaces, they represent virtuous places of new urban identities, acting for public interest objectives. They are examples of complex projects of urban and cultural regeneration promoted by endogenous local forces, in a fruitful collaboration between private and public framework. Their shared goal is to offer a place where working spaces, proximity services and events can merge with neighborhood collaboration processes. Furthermore, they grant professionals, business staff and associations to work together with local community. The municipality, with the ‘Civic Imagination Office’ and the ‘Foundation for Urban Innovation’ (FIU), coordinates the implementation of the Urban Innovation Plan with an incremental process to be replicated each year. FIU is the former Urban Center, a place where multiple resources and tools (skills, data, training and spaces) facilitate exchanges between citizens, public institutions, associations and representatives of the public sphere of Bologna. It is a city agency acting as a broker between the local ecosystems of actors, the municipality and ultimately the European level. FIU’s role is twofold: it is an access point for urban challenges and for the fruition of urban services, and a “factory” that relates on global models, urging citizens’ agency on a wide range of sectors and in prototyping new products and services. FIU is emblematic in its ability to be a platform between public administration, university and citizens, to influence the rise first and eventually manage the Urban Innovation Plan.

5 Lessons Learnt and Final Comments Boston and Bologna, as diverse but parallel emblematic cases, can teach some lessons about this double potentiality for such structures in cities. Boston and Bologna represent emerging multifaceted urban models where places are gaining centrality as virtuous interface between government and citizenship. Following the evolution of the ‘Urban Center’ model, ‘intermediate places’ represent ‘safe arenas’, where participants, through co-design and ‘open innovation’ approach [46], are allowed to openly experiment and discuss, imagine, develop and co-manage creative solutions for local issues. However, the attention to urban experimental transformations, facilitated by ‘intermediate places’, presents a series of possible conflicts. One of them is the mismatch among social innovation practices and the constraints of the urban scale. Furthermore, the local-grown practices are often in tension with the large framework of urban norms, mostly inaccessible by weak stakeholders within local processes.

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Meanwhile, social innovation could often be understood as acceptable form of retraction of the governments in public service delivery [47] instead of supplementary resource, creating controversies in the relationship with traditional economy sectors, and producing fragmentation and competition as well. These critical points are well addressed in Bologna, where Neighborhood Labs act as localized outposts intercepting local ideas, perfecting and validating them by their inclusion in a strategic and regulatory framework. In this direction, a proximity path with the local community is built, in which the local actors can learn both possibilities and constraints, experimenting on a micro scale potentially scalable actions with a trial and error approach. This is a typical entrepreneurial approach that is taken over also in Boston with MONUM, where risk-taking and failure is improving the capacity of the public in experimenting and researching for the city, while pursuing social cohesion goals, typical of public agendas. Risk and failure are essential learning steps for the sustainability of innovative practices. Therefore, it seems necessary to understand who takes the risk, how the responsibility is shared, what lessons can be learnt when failures happen, what is gained by reviewing the results. The noticeable spillover is that both the Labs and MONUM are growing to become flexible outposts for the public institution, assigning a new role to specific places in building stable local processes to enable innovation and mutual learning. This approach shows that the institutional commitment of the public is not simply in delegating to social innovation initiatives the burden of taking care of pressing urgent issues, but partnering up with them with a shared commitment towards a collective goal. Moreover, the two cases present different cultural approaches. In Boston the way in which ‘innovation strategies’ are interpreted, is linked to a ‘virtuous hybridization’ model, a ‘flexible geometry’ approach that emphasizes the metamorphic synergies between the main actors of the classic ‘quadruple helix model’. Heterogeneous dimensions are mixed in the planning initiatives: from the incumbent, exclusive, ‘creative’ atmosphere mirrored in the District Hall, to socially inclusive, supportive, open, place-based ‘window of opportunities’ in the Roxbury Center. The biggest challenge faced by the current administration is the location of an ‘Innovation Center’ in Roxbury, the poorest and most distressed neighborhood of the city. Probably nothing similar could have been conceived if the City government wouldn’t have blessed the Seaport BID initiative. Real-estate business and local gentrification are the inevitable recipe for justifying something truly innovative: infill social innovation hotspots for tackling the patterns of inequality in the most blighted neighborhoods. The dialectic generated by such contrasting approaches demonstrates the skill of the City government and its dedicated agencies like MONUM in changing identity and roles in governance. And the twofold management by Venture Café is perfectly consistent with the different ontologies and missions in Seaport District Hall and in Roxbury Center. The hybridisation of models and styles on both cases is an emerging feature [33], with changing roles for actors, called to be alternatively turbines, drivers, referees or simple players on the urban stage. The success of ‘intermediate places’ stands in their double role of triggers of urban experimentation and new institutional arrangements. Boston and Bologna, as diverse but parallel emblematic cases, can teach some lessons about this double potentiality for such structures in cities.

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In Bologna, a long-consolidated tradition of cooperation has been updated and reinforced under the label of the ‘collaborative city’, in which the institution owns the stewardship of the initiative guiding all the project cycle from the initial conception to the implementation and the ex-post management, ensuring a constant monitoring and a continuous re-framing. ‘Intermediate places’ [29] are hence in seamless exchange with institutions, and act as maieutic facilitators towards social innovation practices, already somehow present in the background of the urban context; however, they need tools to be stabilized, supported by the dialogue with the regulatory and planning framework, and provided with a vision to be effective with respect to political/administrative goals. They act from ‘meso’ to ‘micro’ level. In Boston, intermediaries are twofold. In high density redevelopment initiatives, places arise from private/non-profit plans that the local government seizes as an opportunity to intervene in their governance when it realizes their strategic value can catalyze privileged economic stakeholders and change the urbanity in peculiar parts of the city. On the other hand, the municipal government carries on an indisputable ‘pilot role’ by implementing explicit policies for delivering new ‘windows of opportunity’ to the most deprived neighborhoods in the city. In general, the Boston local administration shows itself particularly sensitive to innovation, tailoring ‘ad hoc’ initiatives, specific tools and adaptive partnerships among anchor institutions, private developers, high education actors, non-profit organizations and local communities. The intermediate role here is more directed towards the triggering of local initiatives that are still latent and, differently from Bologna, need to be boosted with a tailored process of acceleration. Their action is therefore from an intermediate level to an institutional and macro level. The role of ‘Innovation Centers’ as ‘intermediate places’ in an evolutionary continuity with ‘historical’ ‘Urban Centers’, proves to be effective in the presence of an enabling and welcoming policy framework for innovation [11, 35, 39]. In order to verify the replicability of this attitude, a reflection on the policy and socio-economic context is required. Cities like Boston and Bologna particularly benefit from knowledge structures, connections density and economic power. The territorial reality in which the two cities fit, however, presents increasing social and political polarization and the removal of disadvantaged social classes. In this scenario, the replicability of the described approaches in diverse cultural and geographical territories would require a longer and more structured process. The cities of Boston and Bologna can lead these processes by intensifying the advocacy work towards lagging and distressed territories. They can leverage and pave the way for other cities, for experimentations with peculiar arrangements among the public institution and the private-non-profit actors in the regeneration processes. Acknowledgements. This paper is related to the dissemination of the EU research project ‘MAPS-LED’ (Multidisciplinary Approach to Plan Specialization Strategies for Local Economic Development), Horizon 2020, Marie Sklodowska-Curie RISE, 2015–2019. The project was carried on by the following University network: Mediterranea University of Reggio Calabria, Italy; ‘Sapienza’ University of Rome, Italy; Salford University, Manchester UK, Aalto University, Helsinki Finland, Northeastern University, Boston, Ma USA, San Diego State University, California, USA. Bruno Monardo was the coordinator of ‘Sapienza’ University of Rome unit.

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This paper is also connected to the PhD research of Martina Massari in Architecture and Design Cultures of the University of Bologna, Architecture Department, supervisor prof. Valentina Orioli. Author Contributions. This paper has been developed as the result of common reflections by Bruno Monardo (BM) and Martina Massari (MM). However, BM is the author of Sects. 2, 3, MM wrote 2.1, 4 and both authors conceived Sects. 1 and 5.

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Situating Social Innovation in Territorial Development: A Reflection from the Italian Context Luca Tricarico1(&), Lorenzo De Vidovich2, and Andrea Billi3 1

3

Department of Business and Management, Luiss University, viale Romania 32, 00197 Rome, Italy [email protected] 2 Department of Architecture and Urban Studies, Politecnico di Milano, via Bonardi 3, 20133 Milan, Italy Department of European and Intercultural Studies, University of Rome La Sapienza, Piazzale Aldo Moro 5, 00159 Rome, Italy

Abstract. Social innovation is increasingly considered a relevant theme for territorial development policy, in a context of socio-economic polarizations that interest the large majority of cities and regions of the European and Italian context. Social-innovation based territorial development approaches can be considered as the key to sustain bottom-up dynamics in setting problems, experiment projects and systematize solutions to complex social issues. The paper aims to discuss theoretical visions and practical examples on how social innovation-based methodologies are able to promote territorial development processes, highlighting limits and opportunities of fostering these processes in marginal territorial settings. Keywords: Social innovation regions
Urban policy
Italy


Regional development policy
Marginal

1 Introduction: Social Innovation in the Context of SocioEconomic Polarizations Nowadays it is particularly relevant to the discussion about the urban and territorial policy context in which social innovation should be situated. This context is showing the necessity to experiment with new methodologies, due to the limits shown by traditional planning and regional development policy approaches for solving wicked social, economic and environmental problems spread on European and global scale [1]. Among these problems, the polarization of the structural social conditions that the Italian and European middle class are living at the start of the third decade of the years 2000 certainly represents a key issue, accompanied by the general acknowledgment of the limits of traditional remedies of economic policy and a consequent set back in the European political integration process [2]. These conditions are concerning in a more severe way the generation that entered the labour force in the last ten years, when an irreversible trend of worsening living and working conditions set in for the middle class © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 939–952, 2021. https://doi.org/10.1007/978-3-030-48279-4_88

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[3]. On one hand, ongoing technological innovation has caused the fragmentation of the job market given by the shrinkage of the SMEs (i.e. small-medium enterprises) in the traditional manufacturing and crafts sector, as well as a stagnation in traditional commercial services. Traditional businesses are often supplanted by the dizzying growth of large corporations in the digital marketplace and platform economy paradigm [4], with the reduction of the quality of the jobs traditionally provided by SMEs [5]. On the other hand, the 4.0 Industrial revolution and new needs for firm’s internationalization and digitalization is profoundly influencing the local productive systems and job markets, determining the raising of new professional needs and a tendency towards the externalization of the entire phases of the productive chain. The 4.0 industrial revolution combined with the rise of artificial intelligence and big data are transforming the way in which we manage and organize services, leading towards rapid changes of structural conditions among cities and regions. In the long and controversial discussion on the use of these technologies we can take one fact for granted: the potential expressed by these technologies is radically modifying our individual behaviours, thanks to the availability of a multitude of information and data capable of producing new types of collective services [6, 7]. At the same time these technologies can bring about new forms of exclusion, modifying the power dynamics between MNEs and national governments, where citizens, local authorities and social organizations can hardly manage the consequences produced by these phenomena [8]. The clashing parts are on the one hand high level technological governance dynamics related to international geopolitical balances (as for the case of 5G technology between the US and China) [9] and on the other hand the necessity to adequate human capital, organizational capacities and regional infrastructures in the transition process towards a more and more inclusive digital society [10, 11]. In this context, the research on social innovation practices and methodologies becomes particularly relevant, given its capacity to lead institutional governance process and manage multi-stakeholder interests, aiming at the development of an open and incremental process to tackle complex social problems [12]. The methodologies of social innovation are becoming diffused in various fields of interest and are able to activate mechanisms of collective intelligence and shared responsibilities [13, 14], transforming and recombining the traditional production factors through the involvement of initiatives and actors that are engaged in various roles and sectors [15–17]. The spreading of these methodologies today seems to outline an articulated community of practices, capable of asserting a language that is becoming progressively common, pervading different sectors, branches and fields in terms of dimension and quality [18]. The real issue is that such a community still seems to be a polarized niche compared to the bulk of organizations, individuals and communities that are suffering in the digital and knowledge economy paradigm as a phenomenon of socio-economic polarization. As underlined by a recent debate on the sustainability dimension and the social impact culture among organizations and market structures [19], radical policy should be searched among instruments that foster economic growth through the support of “peripheral” subjects, getting out of the protection policy approach to rather develop a new paradigm that is based on the empowerment principle, “enabling” people to express their potential [20]. Taking into account these contextual elements, this paper aims at discussing a series of fundamental themes: the complexity of the territorial definition of “margins” (Sect. 2); an attempted definition of

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the related social innovation-based methodological and organizational context (Sect. 3); the description of elements that either feed or limit the spreading of opportunities of social innovation practices in marginal regions (Sect. 3.1 and 3.2); a conclusive framework for policy makers interested in transforming episodical social innovation practices in widely spread opportunities for different actors (Sect. 4). The article predominantly refers to the Italian context, as both salience theoretical references and key concepts in Sects. 2 and 3 and empirical examples in Sect. 4 relate majorly to Italian academic debate and cities.

2 Situating the Debate on Marginal Regions All the Italian large urban centres have on the inside a true pair of “scissors” where we can find a city of the rich that are growing more and more competent and specialized, and a city of the poor that are becoming more and more marginalized, both economically and culturally speaking [21]. In this respect, the attention is here focused on those areas at the margins, where social innovation is less explored. Phelps [22] highlights how territories at the urban fringes present rather “sub-creative” economies, which look less encouraged than those put in motion within urban cores. This paper attempts to give centrality to the social innovation that involves such marginalized territories. Although a regional dimension is anything but evident with reference to the urban margins, a debate calibrated on a regional rationale is prompted by the increasing attention devoted to the inequalities [23]. The gap between the city and the margins (or outskirts) is often being spoken about as a discriminating factor between concentration of human and financial capital against an average impoverished class of disqualified population [24]. But this is not always the case in because this point of view risks to make us lose sight of the most important contraposition between the centre and the suburbs. The suburbs are where the inequalities are exacerbated in a really consolidated centre-suburbs dualism. The evidence of the investigation by the research group “Mapparoma” [25] has compared Rome with Milan, Naples and Turin, to highlight the growing internal polarization that is going on in the Italian big cities, in terms of income per head, education, employment (referring also to the so-called NEET, i.e. young people not in employment, nor education or training), and the economic exclusion of households. In that context we can present the fact that the 5% of NEET living around Corso Magenta in the centre of Milan, goes up to 12,2% in the peripheral neighbourhood of Quarto Oggiaro, and that the 3% of households with critical economic conditions living in the Vomero district in Naples, raises to 17,9% in Scampia. According to the authors these comparisons reveal the need to reconfigure the policies and interventions for the less accessible territories that are more distant from any kind of public service, putting emphasis on the growing spreading of poverty «not only in the suburbs and in the less propertied social classes, but now also in the middle class of society» [25]. In this vision, the contemporary margins are presenting configurations that are differentiated in space, recently explored in space from a conceptual point of view [26] and a territorial one [27]. Even if urban suburbs remain vulnerable and not very propertied contexts, nowadays they do suffer less infrastructural distances and lacks compared to more central territories, turning them quite often in fertile places for

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laboratory activities for social cohesion and urban regeneration [28]. The “margins of Italy” are indeed an integral part of the Italian national identity [29] and cannot be exclusively identified in the suburbs of the (few) urban poles. The concept of “margin” helps to assume a research attitude, addressing the fragility of contexts rather than the contexts as consolidated in the study of inequalities. In this vision, the Italian margins today can be retracted in a heterogeneous “constellation” [30, 31] of municipalities of various dimensions and geographical localizations. In Naples, similar situations of deprivation can be found in the “Quartieri Spagnoli” (the “Spanish Quarters”) in the historical centre of the city, as well as in the “Comprensorio Giuglianese”, whereas in the Roman context, environments of peculiar marginality are represented by the external municipalities – external compared to the ring which is known as the “Grande Raccordo Anulare” [32]. Also the various sub regional contexts suffer from remarkable infrastructural shortages or social tensions, like for example in the case of “Locride” (on the Ionic coast of southern Calabria) infected by the “caporalato” (illegal recruitment and organization of work with no respect for the rights of the workers – very common in the South-Italian countryside) and summoned to re-establish principles of legality in production activities.

3 Social Innovation as a Methodology for Territorial Development Nowadays, a certain insistence can be ascertained when it comes to defining social innovation as a discipline, as a field of study field, and as a principle to guide the development of projects and collaborations. This setting is reflected in the program guidelines of “Europe 2020”, from the moment the European Commission [33] (2010) has defined social innovation as a process of change allowing the production of desirable outcomes in terms of improvement of the economic competitiveness, environmental sustainability and social cohesion. In this case, social innovation would be the engine shaping the ways of collective improvement intended with broad views. Murray, Grice and Mulgan [13] underline the polysemous nature of the concept. What can be understood by social innovation – according to the authors – is a socialized innovation (1) creating a new technical and organizational know-how, or a systematic program approach to social problems, (2) applying managerial techniques in order to solve present problems, without paying too much attention to the ideological horizon or any form of political correctness. Observing the multidimensional character of social innovation, Moulaert and Vicari Haddock [34] defined as “socially innovative” those initiatives that contribute to social inclusion through changes brought about in the acting of the various subjects and institutions. In that sense, the concept of social innovation has been shaped by the combination of bottom-up mobilization, placebased interventions on the scale of the neighbourhood, forms of civic participation – also configured in entrepreneurial logics [35] – and ways of sustainable development, often emerged from social conflicts in the urban society [36, 37]. For these reasons social innovation implies an innovation of the “local” nature, where the set of rules, cultural directives and the organizational and ideological repertoires, strongly determine the actions that feature innovation. On the basis of these assumptions, it becomes

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difficult to talk about a specific socially innovative development model, given that the social innovation practices and projects are strongly situated in the specific contexts where they have been shaped, especially if one looks at the most deprived urban contexts that are very fragmented and heterogeneous themselves, in function of the changeable nature of the marginal regions. Within this analytical frame, social innovation literature can be read through and used as a methodological instrument, if by methodology we understand a general guideline for the study of specific research themes [12, 38] and a “globalized” order of knowledge, learning and competences that rise to the surface from locally produced cultures assuming a general and collective character, not depending on the context variables. Adopting this perspective, the importance of social innovation is in the capacity to establish a methodological order in the study and in the development of projects and practices that are also socially useful, rather than only socially innovative. All today’s expressions of soliciting the study of social innovation regard the design of inter-institutional collaborative governance systems, capable of making experiments and co-programming the allocation of resources [39]. This design is not only one of the local single experiences, but also of flexible regional programs that are open to the needs of the territories putting at disposal new resources for innovating initiatives – innovating from an organizational point of view. The identification of good practices has become more and more complicated with time, given the copiousness of bottom-up regeneration experiences, of projects that have been built through the mixed interaction between the public sector, the service sector and citizens (often formalized in associations, foundations, cooperatives, social enterprises) [40, 41]. Producing social cohesion through bottom-up approaches addressing the mobilization of local assets and competences [42]. The next subsections provide a review of some socially innovative cases in marginal regions – broadly intended – and an identification of the three problematic dimensions, experienced throughout various research activities in some territories that are positioned at the margins not only of big urban centres, but also among local agendas. 3.1

Innovation in Marginal Regions: Virtuous Examples

The first considered example is the Ecomuseo Casilino ad Duas Lauros1, a participated urban ecomuseum project in Tor Pignattara neighbourhood in Rome. The region where Duas Lauros is based consists of a peri-urban strip of undeveloped land present in the eastern suburbs of the City of Rome near the first peripheral ring (Pigneto-Prenestino and Appio-Tuscolano), which connects north and south of the Aniene Park with Appia Park and the Aqueducts. The draft of the Ecomuse Casilino, proposed by a coalition of local associations (Casilino Observatory, Tor Pignattara District Committee, Association for the Eco- Museum Casilino for Duas Lauros, and Onlus ICT Ad Duas Lauros) was adopted by the Vth Municipality as policy priority of its local government, approved by resolution of the Municipal Council on 25 July 2013 [43]. Proposed by the association of Ecomuseo Casilino ad Duas Lauros, the project is based on the mending

1

Ecomuseo Casilino Ad Duas Lauros: http://www.ecomuseocasilino.it/.

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of the connections between urban space, parks, squares, environmental and historicalarchaeological resources, rural space and the spaces that have been abandoned by the city, creating a system of urban archeo-agricultural parks, of didactical vegetable gardens, connected by new cyclist-pedestrian routes, in which open space collective management policies should be activated to enable a network of high accessibility and the use of the natural and archaeological resources of the eastern part of Rome [44]. Apart from the context and the suggested development strategy, the most interesting aspect regards the process that has been well synthesized by Claudio Gnessi, project manager of the Ecomuseo2: «we were a sufficiently large group of people to be able to claim the right to be a community taking care of its own community, […] where by “care” we should not understand the general cleaning of the area, but having a vision on this territory, with the intention to make it better compared to how we found it at the beginning, […] so, not only clean but possibly also not raped from a building and urban construction point of view, not treated badly from a narrative point of view, not neglected from a social point of view and not associated to the margins of society from a cultural point of view». The second example is Fondazione FOQUS at the “Quartieri Spagnoli” (Spanish Districts) in Naples [45]. FOQUS (FOndazione QUartieri Spagnoli) is an experimental urban regeneration project with its head office in the “Quartieri Spagnoli”, being one of the most densely populated neighbourhoods of Naples. Built during the Spanish occupation in the XVI century, this district “boasts” a long tradition of poverty and marginality, still today characterized by a high juvenile unemployment and school abandonment rate and the lowest availability of public green space per head (ibid.). The activities implemented by FOQUS are mainly financed by private companies (through programs of social responsibility of enterprises), social enterprises and foundations thanks to partnerships and alliances based on educational and cultural projects. The synergy between the social mission of the private sector and the Foundation’s vision on the emancipation of the community is strong and generates solid advantages for the neighbourhood. An emblematic example is being provided by “Openn”, a conjunct project of FOQUS and the social firm “Con i bambini”. Thanks to a three-year scholarship co-financed by Con i bambini and Fondazione con il Sud, “Openn” is allowing for about 40 disadvantaged children to attend the FOQUS kindergarten. The project is addressing also the children’s families, offering a career perspective to young mothers looking for a second chance: FOQUS selected 12 unemployed women that didn’t finish the obligatory school path and is supporting them in completing their education, through professional training for school workers. This is only an example of a model that is promoting networking and the profound involvement of all the organizations that are participating in the project, regardless of their different missions – in order to improve interaction through competitiveness and specialization. The third example is the Mercato di Lorenteggio, a social innovation experience at the margins of the city of Milan. Thanks to the collective intelligence fielded by communitarian organizations, in dialogue with public institutions and small commercial enterprises of the market, a virtuous urban regeneration process has been triggered,

2

This reference is part of an interview available at Raiscuola: https://bit.ly/323SM21.

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in a territory that is characterized by social and economic marginality [46]. The transformation process has been activated by the initiatives implemented by the cultural association Dynamoscopio that has played a role of boundary spanner [47] starting from research work and mapping activities carried out in the Giambellino district, based on an in-depth anthropological analysis of the main social nodes of the district as a viaticum to the regeneration of a local market that is slowly declining. Giambellino is a neighbourhood with a strong presence of public residential building and construction that over the last years has received remarkable inter-institutional attention, aiming at regenerating the district, also from a building point of view [48]. Starting in 2013, the covered local market has been restructured throughout various phases. The renovation costs have been covered thanks to the fundraising activity carried out in collaboration with various actors that are involved in the process on the basis of activities implemented together with various cultural associations in the district. At present the market is hosting cultural and recreation initiatives for the youth population of the neighbourhood, like for example storytelling workshops, multicultural libraries, language courses and open-air cinemas that is configuring the local market as a public space, consequently promoting the revitalization of its commercial activities. The market development and regeneration process has seen a virtuous evolution of the relationship with the local authorities, inducing useful economic and political resources to intercept at the same time new consumption guidelines and a new use of public spaces by the citizens, where food can represent a pretextual element to work together on objectives of local wealth in a broad sense, towards the production of relations that are useful to enhance the “experience of access” to food resources [49, 50]. 3.2

Social Innovation in Marginal Areas: Three Problematic Dimensions

Diversity and heterogeneity are situated among the three cities from which the cases are taken. Looking at our examples we can identify three particular types of tension that can be considered as major issues that should be tackled considering marginal regions: lack of public spaces, administrative fragmentation in service accessibility, and digital exclusion. Such aspects enable a connection with issues regarding territorial gaps, even considered in a broader understanding beyond the three cases, rather taking into account the three cities where cases are located (i.e. Rome, Naples and Milan). In this respect, as indicated in Table 1, three indicators are considered in relation with the three problematic dimensions, retrieved from the Italian ministerial database “Urban Index”3. These three elements are then reported with reference to the three cities hosting the three introduced cases [Table 2]. The two tables introduce territorial gaps amongst the three cities at a glance. On this basis, the three problematic dimensions may be better commented according to the specificities raised from the three virtuous examples. First: Lack of public spaces. Some scholars [22, 51, 52] have revealed a strong gap amongst urban areas in terms of presence of places and public spaces as platforms for experimental social innovation practices. If we look at the municipalities of the Roman

3

“Urban Index” Ministry database: https://www.urbanindex.it/.

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Table 1. Three indicators introducing the three problematic dimensions. Elaborated by LRDV. Description

Green spaces Presence of nonagricultural urban green per capita spaces per capita (2012)

Related Unit of Source problematic measurement dimensions Lack of public sqm/inhab. European spaces environmental Agency + ISTAT (2012) Administrative Synthetic PRIN postfragmentation index metropoli (2011)

Arithmetic average of Public institutions’ standardized values (Zscores) of three indicatorsa dynamism (2011) Digital % SNAI (inner Percentage of people Digital exclusion areas) (2013) excluded from internet divide landline or mobile line (2013) Source: https://www.urbanindex.it/ a Public administration: total workers in public administration/total population * 100 Education: total workers in education/total population * 100 Health: workers in health/total population * 100

Table 2. Territorial gaps at a glance in Rome, Naples and Milan. Elaborated by LRDV. Green spaces per capita (2012) Rome 11,4 Naples 7,3 Milan 9,3 Source: https://www.urbanindex.it/

Public institutions’ dynamism (2011) 1,32 0,84 2,36

Digital divide (2013) 0,1 0,2 0

outskirts (ibid.), the public space has not been able so far to play a key role, not so much because of political-institutional negligence or poor attention, but because of the difficulty in reading and interpreting (so one would know how to intervene) the typically “suburban” lifestyles [53]. The use of the spaces by “suburban societies” is not the same compared to who lives in the urban core, as connectivity, accessibility to basic services and labour opportunities are slightly reduced amongst suburbs compared to the cities. Even if suburbs are nowadays considered as places that embody manifold lexicons and interpretations [54] but they can be surely seen as sub-creative sites where innovation and creativity are not produced and concentrated as in the inner cities [22]. Second: Administrative fragmentation in the accessibility to services and resources. Taking as an example the urban region of Milan, one can notice a fragmentation of the initiatives of social innovation that are meant to create a bond between the urban core and the hinterland, as a result of administrative limits and barriers. Experiences like “Oltre i perimetri” (Beyond the perimeters) in the Rhodense area and other “Fondazione Cariplo calls for tenders” in the north-east, finalized for the development for social cohesion processes, or “Suburbs at the Centre” (“Periferie al Centro”) which was

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recently launched in the Satellite di Pioltello4 district, have not found continuity yet in periurban areas, often because bound to administrative limits, supra-municipality groupings (socio-sanitary districts for example) and to governance arenas that are slowly being shaped, within the frame of the new organ that is the Città Metropolitana (Metropolitan City). Moreover, the social innovation projects in the peri-urban suburbs require a treatment that implies more policy fields compared to the urban suburbs: mobility, for example, is a key theme for populations that are still heavily depending on the use of a private means of transport for their daily moving about, and it doesn’t seem to meet innovative practices with a strong social impact [6], if not with timid attempts like carpooling being only an episodic practice linked to more or less formal groupings among the users (mainly workers of corporations, equipped with their private welfare solutions) [55]. Third: Digital exclusion. The attention is devoted to weak impacts of digitalization, both for what concerns the use of digital instruments for services and the use of digital instruments and its experimentation in the governance of public decisions on a local scale [56]. In the first case, a major example on where marginal regions lie can be provided looking at how car sharing platforms are excluding the municipalities of cities’ hinterland, configuring shared mobility on principles that risk excluding suburban populations limiting the fruition of this initiative by the residents of the urban core. What is missing to this purpose, is an agenda aiming at the promotion of bottomup experiments of shared digital mapping to collect data and requests of the citizens for smart services on a local scale (es. SoftGIS) [57]. In some contexts, these practices have found a promising development [58], thanks to the public support in the management and in the access to platform services as well as the support and the analysis of the results by the experts. On the same track, urban metabolism experiments are developing a series of complex solutions that are mainly connected to the supply chains for urban circular economy schemes [59, 60].

4 Conclusions: A Framework for Policy Making In the light of the description of the contexts, the marginal territories and the operational indications deriving from examples and from the problematic dimensions, we can conclude by framing a policy framework on which it could be useful to operate. Such an outline is based upon the best practices enacted by the three cases, which gained an increasing relevance even beyond the research field. Creating conditions allowing to constitute public spaces for open social innovation, as platforms of experimental activities that are accessible to broad categories of populations and initiatives, reinforcing social infrastructure as garrisons of innovation on the territories, preparing physical and digital places with a low access threshold, and valorising the existing networks and underused spaces [61]. Valorising public buildings in order to systematize new acceleration functions: creating a series of services at 4

About “Quartiere Satellite”, see the programme “Periferie al Centro” by the Metropolitan City of Milan (http://www.cittametropolitana.mi.it/welfare_metropolitano/progetti/Martesana_Adda_Pioltello/) and the M.O.S.T research in Piotello (http://www.mostpioltello.polimi.it/).

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disposal for professional opportunities linked to the cultural patrimony meeting the digital one and 4.0 fabrications, with the objective of contrasting the polarization of the job market, and relaunching SMEs and social enterprises [62]. Identifying new resources for financing social innovation in marginal contexts, through the development of instruments allowing for triggering, the promotion and the protection of virtuous local development processes, using, for example, the emerging mechanism of the so-called “impact finance” in order to create opportunities of economic development, exploiting local alliances like the “Fondazioni di Comunità” (community foundations) or other local coalitions of actors, as guarantors for operations that are majorly oriented towards a high social impact, rather than an exclusively business oriented5 profile. In this respect the example regarding Fondazione Foqus is beyond any doubt emblematic when talking about the capacity to attract investments and resources both through philanthropy and through the collaboration with the CSR activities of certain industrial groups and corporations. Promoting and recognizing the places where practical experiments of digital citizenship are happening. Building digital arenas and platforms for the exchange of qualitative and quantitative data and of information between operators and policy makers, aiming at improving the policies through to open local ecosystems to an accessible and democratic use of the data repositories (i.e. the project De-code) [63]. It is necessary to identify containers allowing for the spreading of experimental practices in order to proliferate a digital culture on the platforms that have to do with democratic processes, and on the exchange of information (but also services and performances) aiming at the creation of networks of digital territorial proximity. Some examples of good work that has been recognized are “Social Street” in Milan (soon to be the protagonists of the initiative “Piazze Aperte” (Open Squares) of the “Piano Quartieri” District Plan), the platform “Decidim” in Barcelona6, the many educational practices that are being spread through the use of technology in schools [64] and for the spreading of culture and of the digital competences. These three indications represent ample work processes to tackle the episodical character of the spreading of social innovation practices and projects [65], building the circumstances and the conditions for a reproducibility on a territorial scale of consolidated experiences also in marginal contexts. Author Contribution Statement:. Conceptualization: LT, LRDV, AB; Methodology: LT, LRDV, AB; Data curation: LT, LRDV, AB; Formal Analysis: LRDV, LT, AB; Writing Original Draft: LRDV, LT, AB.

5

6

Comunità di Messina foundation is a relevant example of activation and support to economic development based on such resources. I.e. Digital platform “Decidim” in Barcelona: https://decidim.org/.

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Can Cities Become “Inclusive Learning Environments”? The Contribution of Social Innovation Practices in the Italian Context Federica Fulghesu1(&), Luca Tricarico2, Andrea Billi3, and Chiara Missikoff4 1

Fondazione Giacomo Brodolini, Via Solferino 32, 00185 Rome, Italy [email protected] 2 Department of Business and Management, LUISS University, viale Romania 32, 00197 Rome, Italy [email protected] 3 Department of European and Intercultural Studies, Università di Roma La Sapienza, Piazzale Aldo Moro 5, 00159 Rome, Italy 4 Sociolab Società Cooperativa – Impresa Sociale, via Guelfa 116, 50129 Florence, Italy

Abstract. This article offers a new perspective regarding new experimental paths of urban innovation addressing urban exclusion issues, designed to overcome traditional planning strategies delivered through public services; focusing on the recent outcomes and future potential of the development with a particular focus on the ability of individuals belonging to a local community to act consciously and directly in relation to the socio-territorial context in which they live. The urban exclusion issue is explored building on the scenario traced by the most recent analysis of Eurostat and OECD that show Italy as a country with a high percentage of the population at risk of poverty and social exclusion (18.1 million people) and where the return on investment in higher education is one of the lowest. Based on this context, the analysis observes organizational approaches belonging to social innovation practices playing important roles in achieving education and cultural outcomes, enhancing social transformation delivering open and inclusive learning environments. The paper presents two significant Italian case studies in two different cities that have established “learning environments” to tackle social exclusion fostering the creation of highly accessible spaces filled with cultural and educative functions. Keywords: Social innovation regions
Urban policy
Italy


Regional development policy
Marginal

1 Introduction The idea behind this contribution is to define how certain social innovation practices are able to tackle urban exclusion through the configuration of spaces and services able to create “inclusive learning environments”. Within these spaces, we can observe © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 953–965, 2021. https://doi.org/10.1007/978-3-030-48279-4_89

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collaborative interactions shaping innovative management schemes where practitioners, entrepreneurs, foundations and public actors are able to experiment with new cultural and education activities. This work is conceptually grounded upon the discussion of two hypotheses: The first theoretical hypothesis behind the SI is to “bridge the gap” in the use of “inclusive learning environment” concept [1], traditionally used in the scholar and higher education ecosystem, focusing on the dynamics between formal education institution and its surrounding contexts. This writing focuses on informal frameworks and organizations [2] such as social innovation practices [3]—all of which are influenced by and contribute to the urban environment—playing important roles in achieving education and cultural outcomes, enhancing social transformation for an equal and open society [4]. The second pragmatic hypothesis is that cities, through social innovation practices, can generate [5]. spaces for new “inclusive learning environments”, working alongside and in opposition to urban agendas, mostly as independent initiatives arising from emergent and transformative social leaderships. Taking into account these elements, this paper aims at discussing the following themes: the comparison between social innovation concept in policymaking and practices (Sect. 2); an attempted definition of urban social exclusion Italian context (Sect. 3) and its relation with education (Sect. 4); the description of main aspects that characterize social innovation practices in urban contexts as “inclusive learning environments” (Sect. 5); the methodological framework and the analysis of the two case studies (Sects. 6, 7 and 8); and a conclusive conceptual for policy makers interested in spreading inclusive learning environments through urban policies (Sect. 6). The article predominantly refers to the Italian context, as both salience theoretical references and key concepts in sections and empirical examples relate majorly to Italian academic debate and urban context.

2 The Rise of Social Innovation Practices: Experimentation vs Planning In recent years, the concept of social innovation [6] has become increasingly important in the political debate of many countries, both in the European [7] and other macro contexts [8]. Described as a buzzword [9], policy panacea [10] or outcome of collective intelligence processes [11], in Italy the social innovation debate is becoming progressively relevant both in the public and political debate and rhetoric [12]. Despite the recent introduction [13] of highly experimental social innovation-based public policies [14], Italy suffers from a chronic absence of a comprehensive long-term thematic agendas, which has made the experimented programs less effective and dispersive in their objectives. This contribution is dedicated to the Italian context, describes the need to prioritize social innovation inside urban agendas, as part of a new, future-ready strategy to tackle inclusion issues fostering the creation of highly accessible spaces filled with cultural and educative functions. The urban scale represents an interesting level to analyse these processes because of the density of interactions among several actors [14–17], usually intertwined with local and national dynamics.

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Borrowing the words from Aaron Wildavsky [18], If “planning is everything, maybe is nothing”, we want to emphasise how inclusive learning environments can contribute in enhancing the value of experimental paths of urban innovation, overcoming traditional and old schools planning strategies delivered through public services. The value of this approach is indeed focused on valuing the specific peculiarities of local territories [19] citizens spontaneous participation and their direct action in determining social change in their cities.

3 Understanding the Context: Urban Exclusions Issues in Italy Eurostat data [20] shows Italy as a country with a high percentage of the population at risk of poverty and social exclusion (18.1 million people) that in 2016 was higher than 6, 5% points compared to the EU28 average (30% compared to 23.5%), up from 25.5% in 2008. People at risk of poverty or social exclusion live in the most densely populated areas of the European region, the same happens in Italy [21] where individuals at higher risk of poverty and social exclusion live in urban areas (in 2016 there were almost 6.3 million, equal to 30.3% of the population). The issue of poor work conditions is also a problematic feature of the economic structure of Italian cities: in 2015 the average per capita income of the most densely populated areas was lower than in 2011, while in the same areas of the EU and in the same period the average income has grown up (In Italy 19.312 euro in 2015, 19.395 2011; in EU28 from 19.728 euro in 2015, to 18.659 euro in 2011). I In our country the job issue is inherently linked to the social inequalities, especially in terms of skills and education, the latest Eurostat data [22] see Italy situated in the worst position in Europe in terms of NEET (Neither in Employment nor in Education or Training), young people between 18 and 24 who do not have a job and are not on a course of study: it’s the higher positions of the European ranking in 2018, with a percentage of 28.9% (it was 25.7% in 2017), compared to a European average of 16.5%. With an almost equivalent percentage between metropolitan areas, suburbs and rural areas. Italy shows a gap between the native and the foreign population regarding the risk of poverty and social exclusion which is at least 5 points higher than that of the EU28 [21]. This picture clashes with another indicator described by the European Commission and UN Habitat [23]: the employment rate of the foreign population in urban areas; in fact, the percentage of people between 20 and 64 years of foreign background occupied in the most densely populated Italian areas (that was around 86% in 2014), is higher than the one of the native population, around 59%. In our cities, the share of the overall working-age population is double, meaning that we have many young second generation or citizens with migrant background employed and essential to the sustainability of the life of our cities. The topic of multiculturalism and foreign workers is currently largely affecting the mainstream political narratives about the economic growth of the country, but we need to remember that. According to the OECD (international migrant database) in the last

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ten years the immigration of workers has decreased while the emigration of Italians is constantly increasing [24]. Besides, the OECD international migration outlook describes [25] the impossibility finds concrete evidence about the growth of irregular immigrants in our urban areas.

4 The Elephant in the Room: Education in Italy and Inequalities According to a survey on adult skills [26], the scores of the Italian population [27] is struggling to reach the OECD average. Unemployment is above average and young people at all levels of education are facing relevant difficulties in accessing the labour market, due to important weaknesses related to the lack of digital skills and IT education [28]. According to the latest OECD report on social mobility [29] in Italy, the return on investment in higher education is one of the lowest: graduates with university degrees achieve returns on investment on average 40% higher than graduates, 20 points less compared to 60% of the average of OECD countries. Pisa 2018 data, on the other hand, report socio-economic disparities regarding access to opportunities in the secondary, post-secondary (e.g. post-graduate technical courses) and tertiary education (e.g. universities): many high-achieving students hold lower ambitions than would be expected given their academic achievement, and this is especially true amongst highachieving students who are socio-economically disadvantaged (only about three in five high-achieving disadvantaged students expects to complete tertiary education). The latest “52nd Censis Report [30]: sulla situazione del Paese” shows how the few opportunities offered by some territories increasingly contribute in pushing southern young people into undertaking their academic studies in the central and northern regions. 172 thousand southern students are currently attending courses in the universities of the Center North (11% of the total). The net balance of this trend is particularly negative for Puglia (−35 thousand students), Sicily (−33 thousand) and Calabria (−23 thousand).

5 A Place-Based Approach to Combine Education and Culture: Social Innovation Practices in Urban Contexts Bearing in mind the gaps and differences between territories and cities, neighbourhoods and populations that inhabit them, we want to investigate a possible new logic applied to urban policies that highlights the educational value of experimentation and social innovation as a local response to nation-wide problems. The observation of practices can help to set clear priorities in urban agendas at different scales: holding human capital in high regard and considering knowledge and culture as the most important social elevators and factors in bottom-up innovation processes able to enable citizens to be autonomous and deliberate in their participation in community life. We believe that cities have the transformative potential to experiment with innovative strategies to meet

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the challenges of the future. A transformative potential that Saskia Sassen identifies as urban capability [31], as the creation of material and immaterial opportunities contributing to a peaceful coexistence of diversity (economic, political, cultural, etc.). The methodology used in the description of social innovation practices must surely state the limits of the field of analysis: framing the work of organizations that operate “from below” to bring and foster social change means navigating complexity, bypassing the formal division of administrative levels, economic sectors and policy objectives; describing the way in which they’ve acquired intangible resources (as knowledge, trust and competencies) and tangible resources (as funding and spatial assets) through a tailor-made approach guided by local actors, practicing creative solutions to solve the challenges they face every day in their within their contexts. In the “inclusive learning environments” analysed in the special issue we observe many transformative instances. The meaning of the concept of “learning environment” is related to the ability of individuals belonging to a local community to act consciously and directly in relation to the socio-territorial context in which they live. The organizations that sustain these new learning environments adopt techniques of co-creation to create opportunities for people to design their future practically experiencing the present world, accepting its challenges, playing with its rules and preserving their own free and democratic expression. These learning environments also contribute in setting critical questions inside the debate on informal and formal education practices: the first ones still seen as priority targets of institutional policies and as an exclusive way to deliver inclusive education.

6 Methodologies and Topics Covered in the Analysis of Social Innovation Practices as “Inclusive Learning Environments” Data collection and analysis was carried out by the authors based on a participatory action research methodology [32, 33], where the research practice is the result of a mixture of research activity and research interaction with the analysed organizations. This combination does not represent a limit to the research because in the analysis of practices such as those described in the examples they have produced “the democratization of knowledge production processes provides new participants with better evaluation and design tools [34], The choice of this method was enriched by a collection of data through qualitative methods (interviews with project managers) in order to emphasize the operational aspects of the analysed practices, treated according to the case study method [35]. We analyse two case studies of “inclusive learning environments” in two different Italian cities: • Bologna: Kilowatt, based in Serre dei Giardini Margherita. • Napoli: Fondazione FOQUS in the Quartieri Spagnoli Neighborhood The selected case studies were considered relevant for the longevity of the organization, the visibility of the results produced, the maturity and relevance of the

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reflections produced with respect to qualifying aspects of the definition of “inclusive learning contexts”. In particular, the following criteria were adopted: The territorial and community-based dimension of “inclusive learning environments”: The definition of contextual problems, shared priorities, responsibilities and competences among different local actors through collaborative governance schemes and the use of co-production methodologies with public actors. Impact and the outcomes of their activities: The identification of inter-sectoral impact (es. on education, culture, training, etc.) in defined areas (es. cities, neighbourhoods, regions) and targets (es. young, adults). The delivery of a set of cultural, training, experimental activities involving community groups, private actors, public bodies in order to tackle challenges, problems, exploit business opportunities linked to their contexts. Insights from testing and prototyping solutions: The identification of quantitative and qualitative data on the way in which they test and experiment innovative services in the field of culture and education. Focusing their effort in prototyping solutions through a hybrid use of spaces and highly accessible experimental services. Promoting social change through education: The identification of positive consequences generated from these practices in the way educational activities are run. The description of outcomes and the production of evidence about the inclusiveness of their operations.

7 Napoli: The Work of Fondazione FOQUS in the Quartieri Spagnoli Neighborhood FOQUS - literally FOndazione QUartieri Spagnoli - is an experimental project of urban regeneration based in Quartieri Spagnoli (Spanish Quarters), one of Naples’ most densely populated neighbourhoods. Built during the Spanish occupation in the XVI Century, the Quarters have a long record of poverty and marginality, reporting still today high rate of youth unemployment and school dropout, and the lowest availability of public green areas per inhabitant. FOQUS combines civic entrepreneurship, cooperation and sustainability with educational training and new models of community welfare, in order to foster community emancipation and social mobility of the locals. The building in which the foundation’s activities are located used to be part of the Congregation “Figlie della Carità” activities, which carried out educational and assistance for children and teenagers in the Quartieri Spagnoli neighborhood. In 2012 the religious Congregation left the space in favor of the nonprofit organization “Dalla parte dei bambini” with over thirty years of activity running innovative and experimental nursery and experimental education services for kids. FOQUS activities started in 2014, when “Dalla parte dei bambini” decided to invest to renovate 10.000 m of Istituto Montecalvario, the educational facility located in the convent and that seemed destined to be abandoned due to the lack of generational turnover of the previous owner and manager of the school: the Catholic Church.

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The urban regeneration project has therefore immediately found its roots in solid educational principles, setting its mission in broadening access to knowledge and employment in one of the most problematic areas of the city. The renovation of the building was conducted by several architects and artisans from the Quarters, who transformed the convent into a modern educational and working facility. Adopting the legal form of a private Foundation, a team of professionals worked to set up public-private partnership to fund pilot projects and many activities of business incubation, apprenticeship and training. FOQUS Director Renato Quaglia described the competences of the professionals working on the project as “horizontal”: “flexible and interdisciplinary skills not related to specific fields of knowledge but open to innovation and creativity. FOQUS is a chance for the Spanish Quarters to be seen in another light, an opportunity to face its challenges but also to develop its potentialities.” In the first years of activity, the Foundation mainly focused on the Quarters’ unemployment and school dropout issues. Besides assessing the local needs and providing innovative training programmes, FOQUS also aimed to attract new companies in the neighbourhood, to break the Quarters’ isolation. Today, 17 independent organizations are based in the building, constituting a flexible network that supports the mission of the Foundation while keeping an autonomous agenda. FOQUS also functioned as a business incubator for two organizations: a kindergarten and a school of informal training, settled up and still run by educators and operators from the Quarters. All in all, approximately 350 children daily go to school or take dance and music therapy classes in the FOQUS buildings. FOQUS also hosts “Argo”, a programme devoted to people with mental disabilities. Thanks to the partnerships with Ferrarelle SpA and Fondazione con il sud, today this center of excellence in child, adolescent and youth training welcomes thirtytwo children from 6 to 27 years [36], integrating specialized and pre-professional activities with leisure, sports and laboratory activities. Argo can be considered a socialization space that offers tailor-made support for young people with disabilities in order to support their vocational training in collaboration with the presence of a dedicated multi-professional team. FOQUS’ activities are mainly funded by private companies (through corporate social responsibility programmes), social enterprise and foundations. To date, 21 enterprises have contributed in investing in the project. The synergy between the social mission of the private and the Foundation vision of community emancipation is strong and generates solid benefits for the neighbourhood. Openn is a joint project of FOQUS and Con i bambini social enterprise can be considered as a good example of this partnership. Thanks to three years grant co-funded by Con i bambini & Fondazione con il Sud, Openn allows around 40 disadvantage children to attend the FOQUS kindergarten. The project targets also the children families’, providing a career perspective to young mothers looking for a second opportunity: FOQUS selected 12 unemployed women who did not finish compulsory school and supported them to complete their studies and attend a vocational training for school operators. They are now creating their own social cooperative, from which FOQUS will buy services in the future. This is just an example of “a model that promotes networking and deep involvement of all organizations participating in the project - regardless of their different missions – in order to improve the interaction through competitiveness and specialization” [37].

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Breaking the social isolation of the neighbourhood with activities that attract external people is part of the Foundation’s current objectives. Despite recognising the importance of strengthening the Quarters resources and of organizing initiatives that target its inhabitants, the Director Renato Quaglia claims that this is not enough: “Usually, those who work inside (of educational facilities and innovative projects) start to open a door to better relate with the neighbourhood and making their relationship more comfortable. We have an opposite idea: it is the city that must graft itself into the neighbourhood.” [38] This “graft” approach is what characterized the Foundation inclusion priority: this year, FOQUS organized in the neighbourhood a Spanish Film Festival in collaboration with the Embassy of Spain, and a Festival of independent publishing houses, overall attended by more than 10.000 visitors. Moreover, the Academy of Fine Arts of Naples decided to move its courses of graphic design, fashion and art inside the former convent. The courses allow around 500 students to cross every day the “imaginary border” that divides the city centre from the Spanish Quarters, opening them to a different public and so promoting intersection among social groups. Just a few years ago, having a school at the centre of a regeneration process and using education to contrast marginalities and support the emancipation of peripheries was unimaginable. Started in an empty building in one of the most problematic areas in the city of Naples, FOQUS represents a relevant social innovation practice encompassing training, childcare, urban services, cultural initiatives, public and private synergies.

8 Kilowatt: An Inclusive Learning HUB in Bologna Kilowatt is an experimental organization in Bologna working at the edge of social innovation, circular economy, communication and urban regeneration. Encouraged by the growing rise of the urban creative class [39] in the early 2000s and founded in Bologna in 2012 as a coworking intentionally committed to improve the socioeconomic conditions of workers in the knowledge economy, offering a space for collaboration and support. This organisational form allowed the organisation to kickstart the shaping process of a community settled in a physical place to develop collaborative activities of co-design and participative projects. Kilowatt started to catalyse the concrete interests and experiences around social innovation and alternative productive models in Bologna, through a scanning and exploration process of actors, needs and assets of the ecosystem. A significant turning point for Kilowatt arose with the opportunity to play a crucial role into a consortium coordinated by the Municipality of Bologna and other main actors (Emilia-Romagna Region, the Golinelli Foundation and ASTER- now ART-ER) of the city social innovation scene to regenerate the core of the largest public park in Bologna, i Giardini Margherita. This massive and long-term operation transformed a group of former municipal greenhouses into a metropolitan hub of 650 m2 for innovation and promotion of urban systemic change in entrepreneurship, culture and education. With a 15-years concession and an investment of more than 500.000€ to manage Le Serre (with a grant of 50.000 from Emilia Romagna Region), Kilowatt committed and succeeded in preserving the intrinsic public value, the nature of public

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space and civic arena of Le Serre for citizens and city actors. Despite the private nature of the management, the space is largely recognised as a civic landmark in the city of Bologna and, after its first years, a catalyst for national activities and international attention. The ability to combine a complex set of activities performed and sustained thanks to different hybrid models of private/public partnerships and profit/nonprofit initiatives is, without a doubt, one of the most significant features of Kilowatt. The mixed model is clearly prominent in Kilowatt governance and consists of three coexisting forms: an APS (Italian legal arrangement for non-profit associations with social purposes), a cooperative and a private enterprise with the cooperative as only associate. Each of these three entities (comprehensively managed by a team of 7 associates) is structured to feed and support the activities of the others. This internal architecture is not only the driving force of the hub, but also the first framework of this learning environment. It’s indeed in its structure that Kilowatt expresses its mission of creating and nurturing a “learning environment” that permeates both the internal processes and the public activities. Internally, Kilowatt has built a process of auto-analysis and evaluation aimed at keeping at balancing the life of a complex organism: 1) periodically adjusting qualitative performance indicators, team values and goals 2) evaluating the multi-layered relations gravitating around the hub 3) making new desires, passions and competences emerge and redefine roles and activities. Externally, Kilowatt’s work is based on relational competencies and community organizing tools: each service evolves thanks to a complex system of relations instead of the mere consideration of the need of the final user. The organisation’s learning ecosystem is deeply rooted in collaboration. For instance, the targets of the incubation and acceleration programs offered are not individual start-ups, but ecosystems and networks of young businesses committed to grow holistically and cooperate together. Due to this investment in community-based models, Kilowatt has had the opportunity to broaden its network with high impact actors, exploring the economic sustainability of participation and new forms of trust. In its overall activities, Kilowatt design and experiment a new sustainable and collaborative business model. Each one of its services is developed, offered and sustained thanks to a network, through an articulate mechanism of dialogue and mutual support that makes what already exists meeting new needs, ideas and improvements. Kilowatt Summer is an annual four-months festival of events and cultural activities free, open and accessible to all citizens: each year is focused on a specific topic, allowing the organisation to explore original paths to develop and feed other projects. The Community Garden represents one of the most interdisciplinary areas of activity within Kilowatt: besides experimenting new models of managing public green areas, it promotes the coexistence of traditional skills and innovative methods; empowering groups to practice an active and inclusive citizenship. The garden hosts groups from associations, foreign students, schools and private citizens; and it’s connected with Vetro, the internal, 100% sustainable restaurant, that promotes workplacement paths for citizens with migratory background.

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Promoting such activities, Kilowatt intentionally creates spaces where cultural differences can confront each other using tools designed to encourage practical experimentation. Kilowatt Baby is an experimental educational service realised with the patronage of the University of Bologna and open to kids until 6 years. Situated learning, creativity and a strong focus on soft skills are the keys that have made this service one of the distinctive features of the hub as an inclusive learning environment: with one educator every four children and a strong focus on the co-design of educative services with parents and pedagogists, KwBaby explicates the attention of Kilowatt on supporting high-quality personal and professional life for citizens and organisations. Low environmental impact activities and public sustainable choices in terms of materials and production can be seen as an example of Kilowatt’s ethical and political commitment inside society, crucial in representing a future-ready model in creating a socially responsible and ethical learning model. Interdisciplinary and intersectoral activities, collaboration and a new, holistic way to promote entrepreneurship are the key cornerstones of the learning system created by Kilowatt, that this year has published its first five year impact report [40], adopting the Theory of Change and the community organising tools as guiding methodologies to state [41], once again, the importance to develop a structured and active network of organisations participating in its projects and initiatives.

9 Discussion and Conclusive Remarks This paper draws out an exploration and analysis framework useful to identify and investigate emerging forms of informal welfare in which place and community led practices take a crucial role, not only in putting forward effective solutions to social exclusion issues in urban contexts, but also in offering a tangible, experimental alternative to the traditional policymaking process. In this context education and accessible learning opportunities are the cornerstones of a capability-based policy that enables citizens to participate in shaping these informal welfare practices and benefit of their services. This picture and the mentioned analysis framework allow us to identify three main strong policy leading trends: • The emergence of Transformative Placemaking approaches, • The evolution of community-based practices from fragmented community actions to new forms of co-production in public problem solving, • The transformation of niche, informal learning methodologies and initiatives in tools to widely tackle social exclusion. The persistence and growing complexity of socio-economic inequalities across diverse geographical areas is thrusting “place” to the forefront of many economic policy conversations [42]: planners and designers, community development organizations and practitioners have significantly shifted their attention to test and scale placemaking theories and initiatives. Despite the multiple interpretations, we can refer to Placemaking as the production sustainable places that should be included in the

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missions of the various disciplines that address the organization and management of the built environment, also referring to a set of practices for achieving this goal through the application of rules and the use of appropriate tools [43, 44]. This great attention has brought to light major global urban regeneration projects to revitalize urban areas in decline through massive redesign operations of old structures and abandoned public spaces or the creation of new spaces dedicated to communities, businesses and social initiatives. While investment and commitment in these substantial changes of the cities and their often most sensitive neighbourhoods physiognomy represent a crucial element in unlocking the full potential of cities in a deeply urban age, effective Placemaking policies not only need to address lower-income places by investing in better physical structures and services, but also in human needs and assets [45], focusing on the peculiarities of small-scale urban areas that require site personalized interventions and respond to highly specific social dynamics (e.g. the Quartieri Spagnoli where FOQUS is active) bringing people in the transformative process since its beginnings. Physical solutions alone are not enough. Proximity and tailormade participative processes seem to be the key to a new wave of hybrid, people-place strategies able to humanize placemaking processes by shaping a holistic template for creating connected, vibrant, and inclusive communities [42]. Social innovation practices like Kilowatt and FOQUS, emerge and thrive at the intersection of social capital, entrepreneurship, knowledge sharing, knowledge-based networks, calling for a new vision of innovation that, in order to inform effective policies, is no longer about a technology base or a financial investment. It is more about time, imagination, knowledge, initiative and trust [46, 47]. Author Contribution Statement. Conceptualization: LT, FF, CM, AB; Methodology: LT, FF, CM, AB; Data curation: FF, CM, AB, LT; Formal Analysis: FF, CM, AB, LT; Writing Original Draft: FF, CM, LT, AB; Reviewing: FF, CM, LT, AB.

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28. Tricarico, L., Bielli, S.: Tra Educazione e Digitale in Italia: Criticità e Opportunità Di Innovazione. Nesta Italia (2018). https://www.nestaitalia.org/blog/tra-educazione-e-digitalein-italia-criticita-e-opportunita-di-innovazione/ 29. OECD: Un ascensore sociale rotto? Come promuovere la mobilità sociale. OECD Centre for Opportunity and Equity (2018). https://bit.ly/2RCMswQ 30. Censis: 52° Rapporto Censis sulla situazione sociale del Paese (2018). http://www.censis.it/ rapporto-annuale/52%C2%B0-rapporto-sulla-situazione-sociale-del-paese2018–0 31. Sassen, S.: Does the city have speech? Public Cult. 25(2 70), 209–221 (2013) 32. Greenwood, D.J., Whyte, W.F., Harkavy, I.: Participatory action research as a process and as a goal. Hum. Relat. 46(2), 175–192 (1993) 33. Whyte, W.F., Greenwood, D.J., Lazes, P.: Participatory action research: through practice science in social research. Am. Behav. Sci. 32(5), 513 (1989) 34. Busacca, M., Paladini, R.: Cittą, botteghe artigiane e innovazione sociale. Spunti a partire dal caso di Venezia. Quaderni di ricerca sull’artigianato 7(2), 233–266 (2019) 35. Yin, R.K.: Discovering the future of the case study. Method in evaluation research. Eval. Pract. 15(3), 283–290 (1994) 36. Artribune (Redazione).: Quartieri spagnoli. L’esempio di Foqus a Napoli. https://www. artribune.com/arti-visive/2017/06/foqus-quartieri-spagnoli-napoli/. Accessed 13 June 2017 37. Information from the Foundation’s website. https://www.foqusnapoli.it/en/il-progetto-foqus/ 38. Interview of R.Q.: FOQUS Project Manager 39. Florida, R.: Cities and the creative class. City Commun. 2(1), 3–19 (2003) 40. https://kilowatt.bo.it/bilancio-impatto-kilowatt/ 41. Tricarico, L., Galimberti, A., Campanaro, A., Magoni, C., Labra, M.: Experimenting with RRI tools to drive sustainable agri-food research: the sass case study from sub-saharan Africa. Sustainability 12(3), 827 (2020) 42. Vey, J., Love, H.: Transformative placemaking: a framework to create connected, vibrant, and inclusive communities. Brookings (2019). https://www.brookings.edu/research/ transformative-placemaking-a-framework-to-create-connected-vibrant-and-inclusivecommunities/ 43. Palermo, P.C., Ponzini, D.: Placemaking and Urban Development, New Challenges for Contemporary Planning and Design. Routledge, Abingdon (2015) 44. Tricarico, L., Quaglia, S., Sganzetta, L.: Community entrepreneurship in sustainable food places. Territorio 87, 105–112 (2018) 45. Berube, A.: Policy to help people and help places is not a zero-sum game. Brookings (2019). https://www.brookings.edu/research/policy-to-help-people-and-help-places-is-not-a-zerosum-game/ 46. Carrillo, F., Yigitcanlar, T., Garcia, B., Lönnqvist, A.: Knowledge and the City: Concepts, Applications and Trends of Knowledge Based Development: Concepts, Applications and Trends of Knowledge-Based Urban Development. Studies in Human Geography. Routledge, Abingdon (2014) 47. Tricarico, L., Geissler, J.-B.: The food territory: cultural identity as local facilitator in the gastronomy sector, the case of Lyon. City Territ. Archit. 4(16), 1–9 (2017). https://doi.org/ 10.1186/s40410-017-0072-2

Social and Sustainability Inclusion: The Case Study of MAAM in Rome Irene Litardi(&) and Lavinia Pastore University of Rome “Tor Vergata”, Via Columbia 2, Rome, Italy {litardi,pastore}@economia.uniroma2.it

Abstract. The aim of the paper is to analyze the state of the art of bottom-up actions that lead to cultural and social regeneration using an in-depth case study in the city of Rome: the MAAM (Museum of the Other and the Elsewhere), a converted factory that has been occupied and it has a twofold use: it is a social housing and a contemporary art museum. The objectives of this paper are: a) a literature review of bottom up organizations that are able to transforms from illegal to institutional (still remaining illegal from a juridical point of view) b) a qualitative descriptive analysis of the case study MAAM enriched by interviews ad hoc to the “pioneers” on cultural processes and experiences in the studied areas c) a documental analysis of the case study. In particular, the authors have organized the parameters into eight specific categories through the information analyzed in the documents, that help to have a mapping of the practices, their similarities and distinctions. The scheme is useful to replicate the study in other Urban areas and compare the results. Keywords: Urban sustainability Stakeholder engagement


Urban regeneration
Social innovation


1 Introduction The characteristics of the city have remained unchanged for almost 700 years for then undergoing to a radical transformation only in the last 200 years, starting from the industrial revolution. With regards to the elements of preindustrial and industrial cities are the most relevant ones are politics, as the form of government, and social inequality. The latter factors, in particular, strongly divided and characterized cities until the 70s, by characterizing them with high inequalities. The result was a social pyramid, in which at the top there were located the rich side of the society and at the bottom the unskilled workers (blue collar). The growth process of the city was interrupted and the post-Fordist city, kind of organization of the cities up to the present day, has replaced of new rules and balances. This led to the formation of the service sector, which initially supported the industrial activity, for then became the leading sector of the economy. The conversion of the urban fabric due to the delocalization of the productive system and a concentration of tertiary services has produced a series of industrial property divisions and impoverishment of some classes of the population with consequent abandonment and degradation of areas located near the urban centers (Litardi and Pastore 2017). The reconversion of industrial buildings can translate into © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 966–974, 2021. https://doi.org/10.1007/978-3-030-48279-4_90

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the possibility of economic and social rebirth for impoverished urban areas. Bauman’s (2006) belief is that public places “recognize the creative value and life-enhancing value of diversity encourage differences to engage in meaningful dialogue”. This contribution starts from the idea that future cities could be crossed by processes of cultural regeneration based on the involvement of the communities. This assumption is rooted in the definition of urban space as a set of cultural fields and narratives that affect a community (Warner 2002) and therefore cannot even be imagined without the involvement (Atkinson 2003) of the community itself. The aim of the research is to analyze the state of the art of bottom-up actions that lead to cultural and social regeneration of industrial buildings abandoned. In particular, the authors analyzed a unique case study located in Rome: the MAAM (Museum of the Other and the Elsewhere), a converted factory that has been occupied and it has a twofold use. It is a social housing and a contemporary art museum at the same time, it is defined by its pioneer a “Living Museum”. After an analysis of the literature of bottom up organizations that are able to transform from illegal to institutional (Sect. 1). The authors focused their research on a qualitative descriptive analysis (Vaismoradi et al. 2013) of the case study MAAM (Sect. 4) enriched by interviews ad hoc (Kvale 1996) to the “pioneers” on cultural processes and experiences in the studied areas and a documental analysis (Bowen 2009) of the case study (Sect. 3). The scheme presented in the results (Sect. 5) is useful to replicate the study in other urban areas and compare the results. This research is part of a broaden study of urban changing processes that has been conducted from the authors in Rome and Copenhagen.

2 Literature Review The processes that bring to the conversion of urban areas into “urban spaces” are very different from each other, in literature have been identified four process (see Table 1): (1) gentrification, (2) urban regeneration, (3) urban requalification and (4) self-made urbanism. During a first research in 2015 we focused on understanding the characteristics of these processes and what distinguished one case from another, taking into consideration the role of “process activators” or “pioneer”, stakeholders directly or indirectly engaged and the role of public administration (PA). Requalification and regeneration could be processes that are not necessarily dependent on each other (see Table 1), but when the “pioneer”, i.e. the actor who implements the process of change, is the Public Administration, an attempt is made to implement both processes, for example: “Macro Testaccio” in Rome, a former redevelopment slaughterhouse converted into a museum of contemporary art, the “Greenways” (Little 1990) in Europe (see Sect. 3) and in New York the “High Line”, a road that crosses the Chelsea district, re-qualified and converted into a real “overhead” park (Litardi et al. 2018). While, The Self-made urbanism is mainly due to the movements of occupation of abandoned spaces post-crisis 2008. It can be expanded to a form of collaborative economy implemented by local communities often urban in order to go to make up for the lack of services and opportunities that the PA does not offer (Litardi et al. 2016). In this process, culture is difficult to categorize, it plays a hybrid cross, becoming social drivers. Self-organization and forms of self-production

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Process

Object

Pioneer Stakeholder

PA Requalification Pubic space, service and public building Gentrification Private building Private

Self made urbanism

Public space and abandoned property

Regeneration

Private building and public space

Civil society

PA role

Results

Resident and PA

Urban decoration

Middle-upper class, professional, speculators

Branding

Community aggregator

Increase property value, improve green area and public transport New middle-upper class of resident, new business, international brand, increase property value Rebirth of unused spaces, cultural activities

Urban decoration and community aggregator

Increase property value, new business, new cultural activities, citizens participation, a sense of belonging

Public spaces, abandoned buildings population area, community centers, collectives and neighborhood committees Private Residents, PA, private, and PA neighborhood committees

Source: Litardi et al. (2016).

of the city are the protagonists of this century. Rome is a city that has built itself and continues through the social production of its inhabitants, intentional or unconscious protagonists, rather than through planning and public policies. Self-made urbanism often becomes an instrument of resistance to surrender and neoliberalism and the absence of public administration, a “right to the city” (Harvey 2008) and to living, producing “commons goods” (Mattei et al. 2010). The self-organization and selfproduction of the city is declined in Rome in many different and often ambiguous ways, the MAAM is an emblematic case of a post-industrial space that has seen in the organization the maximum point between the right to housing and art. The framework of our research in these years has been the city of Rome for two fundamental reasons. First, Rome is the city where the authors live and are involved in the processes of urban change that cross it. The second reason is the liveliness and complexity of the practices and projects that have been attempted in recent years. Some of these projects promoted by public administration involved Archi-Star built large Contemporary Museums, which offers exhibitions by artists and creative people, such as MAXXI and MACRO, a kind of traditional museum in contraposition to MAAM.

3 Research Methodology The purpose of the research is to analyse which kind of sustainable development model has been created in urban changes process and in specific case of the MAAM (Museum of the Other and the Elsewhere) in Rome. The author did interviews ad hoc (Kvale 1996) to the “pioneers” on cultural processes and experiences in the studied area. The aim with this interview is understanding the story behind a participant’s experiences (McNamara 1999) and the impact of cultural heritage in self-made urban project and

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what is the role of Public Administration to promote these changes. In particular, the interview are 20 questions1: • the questions 1 and 2 are general information of the interviewed; • numbers 3, 4, 5 and 6 are general questions on the cultural project; • 7, 8, 9, and 10 are specified questions on the role of the project in the community and territory; • the questions 11, 12 and 13 are focusing on the role of Urban Stakeholder (Mathur et al. 2007); • the last questions (from number 14 to 20) are based on the role of Public Administration in the project and territory and the future of the project and urban areas in follow years. This phase has been carried out during one year from the authors and the same openended questions are asked to all interviewees. The key stakeholders were interviewed: – the founder of MAAM (aside from the first interview he has been interviewed also other 2 times to in deepen certain aspects that were not clear about the case study) – one of the housing movement (Blocchi metropolitani) – one of the internal cultural activators of the museum MAAM – one of the external cultural activator of the musem MAAM This approach facilitates faster interviews that can be more easily analysed and compared. The Case studies analysis (Sect. 4), carried out in a Roman neighbourhood called “Tor Sapienza”, and in particular in MAAM, based on an ethnographic approach for understanding of organizations has undergone changes (Ybema 2009). This research process has been held in a participatory context (Greenwood et al. 1993). During the visit the inhabitants and the interviewees were interested of the research and motivated in the analysis of the case study that they have contributed to arise and very inclined to give their contribute. The authors have also applied passive participant observation method (DeWalt et al. 1998; Spradley 1980; Schwartz 1955) since they have participated to different assembles of the Metropoliz residents and to organized “tours” of the MAAM museum. The aim was to observe both the internet perception of the residents toward the museum and the relationship with the external visitors during the tours. The main finding of the analysis shows a substantial connection between the kind of action carried out and the possible degree of social engagement, along with the shared perception of common profiles in cultural resources. The need to activate cultural investments within a strategic framework, and the symmetrical weakness of occasional action is emphasized. The case study analysis is enriched by a qualitative research methodology as documental analysis for reviewing and evaluating electronic documents (Bowen 2009). During the research, the information has been systematized, summarized and elaborated in order to present a map of the use and interpretation of unprecedented territory’s initiatives and their critical reading on the basis of the main theories and models considered. In particular, the authors have organized the parameters into nine

1

The annex with the extended interviews is available on request since its length of this publication does not consent to report it here fully.

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specific categories through the information analysed in the documents (Labuschagne 2003), that help to have a mapping of the practices, their similarities and distinctions such as: (a) Case study name; (b) Urban area; (c) number of Residents; (d) Funders/promoters; (e) Year; (f) Urban Stakeholders; (g) Urban Changes Process; and (h) Civic Engagement Process. This scheme is useful to replicate the study in other urban areas and compare the results.

4 Case Study of the “Living Museum”: MAAM in Rome At number 913 of via Prenestina, to the limits of the city of Rome near the GRA (Grande Raccordo Anulare, high-speed road that limits the city as a big ring), from the “ashes” of the ex-factory Fiorucci2 is born Metropoliz – Città Meticcia. It is a space occupied in the second half of the 2000 by a multi-ethnic community that defines its inhabitants “Metropolitan”, because for them Metropoliz is not Italy but a country where everyone has the right to live. A community about 200 of men, women and children of Italian, Peruvian, Romanian, Ukrainian and Moroccan origins. In 2009, thanks to an idea of the anthropologist Giorgio de Finis and the documentary3 Fabrizio Boni, decide to build a rocket to go on the moon to claim the right to housing. The city of Rome, as is now known, is a city of 2,5 million residents but it is estimated that the inhabitants are about 5 million, where 50% of public buildings are unused despite there are very high difficulties to be able to have a home. The first cultural experiment is “Space Metropoliz”, a documentary that tells the story of building a rocket that involved “Metropolitan”, physicists, academics, ufologists, artists, anthropologists, students and citizens to send a provocative message to the Public Administration: “There is no space on earth, so we are going to live on the moon”. In an interview Giorgio de Finis tells us that “Globalization has betrayed the feeling that the world is one and you can move freely, but in reality there are more barriers than before this given by the gap of economic inequality between rich and poor and only goods and rich they move freely”. Following the documentary project there is also the cultural project called “MAAM - Museum of the Other and the Elsewhere”, selfmanaged model of museum and without cost thanks to the inhabitants to make the place liveable and the artists to self-finance their own works. Artists, Metropolitans and civil society have tried to regenerate a place abandoned since the 80s, unhealthy from a hygienic and environmental point of view through art and culture. So from the intervention with anti-fouling painting on pre-existing gate of D’Elia (Litardi 2018), to the corridor where once pigs were slaughtered now it is a gallery with a murales of the “Porcina Chapel – eMAAMcipazione” by Pablo Mesa Cappella and Gonzalo Orquín4, which revisits the path of pigs in the factory, turning it from death to life, the offices upstairs converted into children’s playroom, the canteen a social cellar with the murales

2 3 4

Fiorucci was a factory of cured meats and sausages. https://www.spacemetropoliz.com/. http://nucleoartzine.com/maam-cappella-porcina/.

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of Lucamaleonte to the wall, up to the tower, that becomes an observatory, it is present the telescope of Gian Maria Tosatti, every space every place in the ex-factory of Tor Sapienza is a lived work art experience. Table 2. Case study data. Case study Urban area

Residents MAAM Funders Year Stakeholders

MAAM Periphery east of the city of Rome, Tor Sapienza district located between the IV and V Town Hall. Surface of Tor Sapienza 77466 km2 and 25549 inhabitants About 200 Giorgio de finis e Fabrizio Boni blocchi metropolitani 2009 Space Metropoliz 2012 MAAM - Promoters; - Inhabitants, visitors, artists taking part, commercial activities; - Researchers, associations, other artists, other public and private organizations that would like to replicate the project Self-made urbanism

Urban changing process Stakeholder Bottom-up engagement process Source: Authors’ elaboration.

Metropoliz is an example of how a community can use art to express real needs and desires. The cultural offer of the city of Rome is usually far from a bottom up approach of the MAAM, both in terms of organization and in terms of cultural services offered. The emblematic and unique example of the MAAM, has not found for years an interlocutor in the Public Administration. In 2017 there seemed to have been an opening by the Municipality of Rome because after 5 years of museum activity, some councillors of the Capitoline junta participated in the MAAM birthday, and in the launch of the new catalogue. The Public Administration, after almost 10 years from the start of Metropiliz, made us think of recognition at least of the existence that can no longer be ignored. Chimera passed with the sentence of the Civil Court of July 2018 which sanctioned the payment for sanction of failure to clear the building, occupied since 2009, by the Ministry of the Interior which will have to pay a penalty of 27.9 million euros to the Ca. Sa srl of the manufacturer Pietro Salini5. The words of Judge Alfredo Matteo Sacco, who signed the 18 pages of the sentence, are very heavy compared to the management of the abusive occupations of the last ten years of the building located in the Tor Sapienza district: “They specifically complain about the lack of prevention and there is also a lack of repression of illegal occupation. 5

https://www.artribune.com/professioni-e-professionisti/politica-e-pubblica-amministrazione/2018/ 07/musei-politica-pubblica-amministrazione-maam/.

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The abusive occupation does not only harm the interests of the owner, but also damages the general interest of the affiliates in orderly and peaceful coexistence and takes on an unequivocal subversive value”. The MAAM model has managed to become a museum-living emblem, in sharp contrast with the standardized cultural offer for mass tourism or super-élites. However, no collaboration of Public Administration and the Private property, has not permit a development of this model and a future abolition of the MAAM as the “Kunsthaus Tacheles” in the centre of Berlin. In this last case, in 2012 the entire area of 25,000 m2 was purchased by the large American real estate company “Perella Weinberg Real Estate” for around 150 million Euros and the building was definitively closed. Considering its value as a historical monument, it is the subject of a radical restructuring aimed at the complete recovery and restoration of the structure, which will be included in the future architectural context that will be built in the entire surrounding area, probably making the fact fall as a case of gentrification. The difference is found in the basic assumptions of the MAAM which is born as a project for the Metropoliz and its inhabitants and who wants to talk to everyone saying what is a public space and not vice versa. We then return to that definition of urban space or as a set of cultural fields and narratives that affect a community. The MAAM is never a neutral space, it aspires to be a space of cultural production open the different publics where its primarily functions as living space with environmental, hygienic and legal problem is not just a background, but it is the backbone of the cultural experience. As Giorgio de Finis himself says “The MAAM also experiments a different way of building a museum. It is a Cave of Lascaux, combining shelter, living and art. How to go back, start from scratch”.

5 Discussion and Conclusion The case of the Metropoliz could be considering into the category that in literature is called self-made urbanism (see Table 2). The definition of self-made urbanism is based on the non-legality of self-organized organization and development of the city or certain urban areas. This terminology is coined after 2008 when the phenomenon of spaces, often formerly industrial, abandoned and occupied by communities left on the margins of society, becomes more and more widespread, even though it certainly has much older origins. Metropoliz, through the cultural leverage, which often in these processes of urban change has a hybrid role of connector, builds a narrative and a defence tool. Could we consider self-made urbanism a practice or a process that can be embedded into social innovation stream of studies? The answer, according to the authors, is for positive, since the MAAM has been a place where new solutions and ideas have met unsolved social needs and crate new relationships (Murray et al. 2010). The MAAM has brought to the residents an added value both in terms of the cohesion of the internal community and of the opening with the territory, of national and international image, creating a significant relationship between art and society. Art becomes a form of “barricade” that defends the inhabitants from the dangers of eviction being the property privately owned.

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This case, compared to others we have studied in the city of Rome, is particularly significant for three fundamental reasons that are key success factors: (1) Residents are also project stakeholders; (2) The process was managed in a participatory and co-management context regarding to the artistic aspects; (3) there has been a very determined and clear medium-term perspective that refers to its creator Giorgio De finis without which the project would probably have disappeared as often happens in similar cases. In the introduction of Giorgio de Finis to the 2017 catalogue, we find a summary of the mission and vision for which this project was born: “Try to stitch together the two extreme points of the contemporary metropolis, the highest place par excellence, that of the art museum (whose precious shell is entrusted, from the competing world-cities, to the star-arches) and the lowest and degraded, the slum. The MAAM fights a model of city that, through the tool of the financialization of real estate, systematically moves the economically weaker sections away from the desirable areas of the global city, reserved for investors and mass tourism, increasing the gap between the center and the periphery. The former is increasingly homologated (and uninhabited), so as to appear a new non-place (with its shops, hotels, museums all the same), as opposed to a suburb-landfill that risks becoming a permanent theatre of a struggle between the poor”. The national and international attention and the importance of this case does not lie in the fact that it can be a replicable model - assuming that there are truly replicable models - but in the ability to transform weaknesses and weaknesses into strengths, making it a “Super-place” (Augè 1992) and Antifragile (Taleb 2013). In a further development of the study the authors intend to develop the impact chain of MAAM according to Clark et al. (2004) and to co-design the Theory of Change (ToC) with the key stakeholders. The outcome areas that we will employ are an interesting mix of soft, hard and cashable outcomes coming from social housing projects, cultural projects and “community-based services” Tricarico (2017).

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DeWalt, K.M., DeWalt, B.R., Wayland, C.B.: Participant observation. In: Bernard, H.R. (ed.) Handbook of Methods in Cultural Anthropology, pp. 259–299. AltaMira Press, Walnut Creek (1998) Evans, G., Shaw, K.: The Contribution of Culture to Regeneration in the UK: A Report to the DCMS – LondonMet (2004) Florida, R.: Cities and the Creative Class. Routledge, New York (2005) Florida, R.: The Rise of the Creative Class: And How it is Transforming Work, Leisure, Community and Everyday Life. Basic Books, New York (2002) Glass, R.: Introduction: aspects of change. In: London: Aspects of Change. Ed. by Centre for Urban Studies. MacKibbon and Kee, London (1964) Greenwood, D.J., Whyte, W.F., Harkavy, I.: Participatory action research as a process and as a goal. Hum. Relat. 46(2), 175–192 (1993) Harvey, D.: The right to the city. New Left Rev. 53, 23–40 (2008) Jeffrey, N.: Stakeholder Engagement: A Road Map to Meaningful Engagement. Doughty Centre, Cranfield School of Management, Cranfield (2009) Kvale, S.: Interviews. An Introduction to Qualitative Research Interviewing. Sage Publications, Thousand Oaks (1996) Labuchagne, A.: Qualitative research-airy fairy or fundamental? Qual. Rep. 8(1), 100–103 (2003) Litardi, I.: La rigenerazione urbana. Il ruolo della cultura e delle nuove professioni lavorative. Ocula 19(19), 58–76 (2018). https://doi.org/10.12977/ocula2018-12 Litardi, I., Pastore, L.: Metropoliz – Città Meticcia. Storia di una comunità abitativa che si fa cultura. In: Leggere la rigenerazione urbana. Sotrie da dentro le esperienze, pp. 73–78. Pacini Editore, Pisa (2017) Litardi, I., Pastore, L., Trimarchi, M.: Culture and the city public action and social participation in Rome’s experience. J. Bus. Econ. 7(7), 1168–1181 (2016) Little, C.E.: Greenways for America. The John Hopkins University Press, Baltimore (1990) Mattei, U., Reviglio, E., Rodotà, S.: beni pubblici. Dal governo dell’economia alla riforma del Codice Civile. Accademia Nazionale dei Lincei, Rome (2010) McNamara, C.: General Guidelines for Conducting Interviews. Authenticity Consulting LLC, Minneapolis (1999) Murray, R., Caulier-Grice, J., Mulgan, G.: The Open Book on Social Innovation (2010). https:// youngfoundation.org/wp-content/uploads/2012/10/The-Open-Book-of-Social-Innovationg. pdf. Accessed 23 Jun 2019 ONU: Agenda 20130, New York, USA (2015) Schwartz, M.S., Schwartz Green, C.: Problems in participant observation. Am. J. Sociol. 60(4), 343–353 (1955) Spradley, J.P.: Participant Observation, pp. 58–62. Harcourt College Publishers, Orlando (1980). ISBN 0-03-044501-9 Taleb, N.N.: Antifragile, ilSaggiatore (2013) Tricarico, L.: Community action: value or instrument? An ethics and planning critical review. J. Archit. Urban. 41(3), 221–233 (2017) Vaismoradi, M., Turunen, H., Bondas, T.: Content analysis and thematic analysis: implications for conducting a qualitative descriptive study. Nurs. Health Sci. 15(3), 398–405 (2013) Mathur, V.N., Price, A.D.F., Austin, S., Moobela, C.: Defining, identifying and mapping stakeholders in the assessment of urban sustainability. In: Horner, M., Hardcastle, C., Price, A., Bebbington, J. (eds.) International Conference on Whole Life Urban Sustainability and its Assessment, Glasgow, 2007 (2007) Warner, M.: Publics and counterpublics. Public Cult. 14(1), 49–90 (2002) Ybema, S., Yanow, D., Wels, H., Kamsteeg, F.: Organizational Ethnography: Studying the Complexities of Everyday Life. Sage, London (2009)

Micro-Festival: An Informal Structure Can Create a Social Innovation Process. Towards a Preliminary Investigation Giulia Alonzo(&) Sociology and Business Law, Bologna University, Via Zamboni 33, 40126 Bologna, Italy [email protected] Abstract. This research project will examine the relationship between cultural festivals and the territories on which they insist, with a particular attention to marginal and deprived areas, in order to analyze the effects of this relationship. As a preliminary step, we need to examine the state of the art, circumscribing the festivals’ action field and defining the territories that this research wants to analyze. Festivals, through the creation of a ritual dimension, can play a relevant role in the creation of a collective identity Festivals are a moment of social aggregation, bringing common needs back into shared spaces. Therefore we see more and more events that explore different and alternative formats, widening the usual dynamics of established festivals. In doing so, they try to attract new audiences and widen their usual target, in an innovative audience engagement process. A particularly interesting trend is the development of the micro-festival format, a small event, with a short duration. Thanks to their informal structure and their ability to interact with the local population, microfestivals can attract new audiences and start a social innovation process, in order to produce desirable outcomes in terms of improving economic competitiveness, environmental sustainability and social solidarity. The starting point to identify the case studies will be Trovafestival, an online portal active since 2017. The identification of Good Practices in the context of micro-festivals will be the last step of the research, which has the broadest objective of monitoring and analyzing the liveliness of the territories hosting cultural events. Keywords: Micro-festival


Social innovation
Welfare

1 Introduction A festival is an event of limited duration grounded in a particular place, creating social, economic and political relationships with its context, and consequently changing the perception of that territory from the outside. But how does the festival create cultural awareness in the “host” inhabitants? What happens when the festival turns the lights off? In which ways the territory changes, evolves, together with the festival? This research project will examine the relationship between cultural festivals and the territories on which they insist, with a particular attention to marginal and deprived areas, in order to analyze the positive and negative effects of this relationship, and to identify some Good Practices. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 975–982, 2021. https://doi.org/10.1007/978-3-030-48279-4_91

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As a preliminary step, we need to examine the state of the art, circumscribing the festival’s action field and defining the territories that this research wants to analyze. Festivals, through the creation of a ritual dimension, can play a relevant role in the building of a collective identity, therefore becoming an instrument of integration: festivals are a moment of social aggregation bringing common needs back to shared places. In Italy there are more than a thousands of festival every year, but there is not an available census. The only tool currently available is Trovafestival, an online portal active since 2017, built with the goal to create a bond between cultural events, territories and the target of the event. Among the mapped festivals, we can find several micro-festivals: small events, with a short duration. This new trend is the focus of the second part of this research. Thanks to their informal structure and their ability to interact with the local population, micro-festivals can attract new audiences and start a social innovation process, in order to produce desirable outcomes in terms of improving economic competitiveness, environmental sustainability and social solidarity. More and more events explore different, alternative, and creative formats, widening the usual dynamics of established festivals. In doing so, they try to attract new audiences and widen the usual targets, in an innovative audience engagement process. Some case studies will be mentioned and they will be the starting point for future research. The third part of this paper addresses one of the central points of this research: understanding the contribution of a cultural micro-festival to the BES, an alternative measurement to the Italian GDP based on the assumption that happiness cannot be measured only by individual wealth, and economic indicators. However, the methodology and the approach are still in a preliminary definition phase. The paper is far from being exhaustive. Research is the first step to understand the possible feasibility and to analyze the paths to be taken at a later time after identifying the case studies and the possible approaches to be adopted to answer our starting questions.

2 Cultural Festival and Social Innovation for Local Development Festivals are events with a defined and limited spatio-temporal scope, attributable to conceptual and organizational models that partially take up the concept and practice of the party and celebration, updated and re-proposed through their contemporary substitute that is the festival [1, 2]. By cultural festivals we mean the initiatives aimed at the cultural development of a community. They are often connected to the world of books, and in this case they are designed to inform and discuss novels, poetry and literature, or scientific or humanistic themes or disciplines (through readings, book presentations, discussions…) with both a popular and spectacular approach. There are also the festivals focused on performing arts, cinema and video, dance, music, theatre, and visual arts (figurative, sculpture, photography, illustration…). Some small festivals focus on a single discipline, but many others are multidisciplinary events. The performance society, as Bauman defined it, transforms the subject into the actor and the

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director of the creation of its own intellectual, religious and political culture. The individual establishes his own values, becoming the judge of his own and of others behavior. This new subject often appears unable to listen and to dialogue with others, in a reality increasingly mediated by a screen, in a highly individualistic society that produces the “progressive erosion of communities bonds leading to the dismantling of once cohesive collectivities” [3, 4]. Cultural festivals traditionally fulfill several functions: celebration or reinvention of the artistic heritage; tourist attraction and enhancement of a territory, of its resources and its reputation; an opportunity to experiment with new artistic forms and with different relationships with the audience; increasing the community cognitive capital; an opportunity for social exchange and integration, and the creation of new networks… A cultural festival can create connections and opportunities for dialogue and listening, but it also suggests to rediscover (or to discover) the cultural heritage of a territory. It is a moment of social aggregation that brings common needs back to the places of sharing. This allows people to regain possession of the public space, giving access to a ritual that is distant, even if temporarily, from the daily dimension, recreating a sociality based on participation in collective experiences and emotions [2–6]. Through festivals, territories can and must seek to enhance social cohesion, also in view of a socially sustainable development, in line with the peculiarities of the context in which the festival operates. Festivals, with their rituals, invite intellectual and emotional participation, bringing shared feelings back to the public space, as the anthropologist Alessandro Falassi pointed out: “a periodically recurrent, social occasion in which, through a multiplicity of forms and series of coordinated events, participate directly or indirectly and to various degree, all members of a whole community, united by ethnic, linguistic, religious, historical bonds, and sharing a world view” [7]. 2.1

The Importance of Mapping Cultural Festivals: An Instrument to Enhance Territories

The Italian writer Ennio Flaiano used to satirize about “Festivalia”: Italy is the land of festivals [8]. There are probably several thousand festivals every year, although unfortunately we do not have a complete and reliable census. The best available tool unique for completeness - for Italian festival mapping is Trovafestival, the online portal that I created together with Oliviero Ponte di Pino. Its database lists almost 1000 cultural festivals all over Italy in the different cultural and artistic fields [9]. It is the result of a daily editorial work, using various sources (research on the internet, news in the press, reports from the festivals): this unique resource is available to the general public, to professionals, and researchers (the Study Center of the Italian Publishers Association and the ASK Center of the Bocconi University of Milan already used it [10].

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3 Case Study: The Triage Micro-Festival, Cultural Heritage and Social Innovation Morning on the beach, lunch in the typical restaurant to taste local food and wines (or teas and coffees), in the afternoon an exhibition, and in the evening a live show, perhaps in the town square framing the event. This could be the typical day of an average postmodern tourist, who is more cultured than his parents. This “new cultural tourist” uses mainly online information, that allows visitors to deepen the knowledge on themes of interest. Internet also provides information on hotels, restaurants, venues, shops… This information must always be up to date and updatable. The “new cultural tourist” has a greater propensity to spend, and more free time than his predecessors, and is eager to fill it with cultural experiences, with a flavor of authenticity, and the possibility of involvement. This includes the aesthetic enjoyment and the satisfaction of a strong playful-relational need, that gives the feeling to be part of a temporary community linked by common interests [2, 11]. Consumption represents, since the “differentiation” theorized by Bourdieu, the main existential investment tool, as well as the means of building and expression of personal identity [12–14]. Festival goers love to be part of these new “social tribes”: for them, cultural consumption and participation becomes the aggregating push to share collective rituals and to be part of these temporary communities, made up mostly of young people who do not find the right feedback in classic cultural institutions, and to create a new social relationship [2, 15–17]. More and more events centered on a unique and a precise theme or experience (often on a multidisciplinary perspective) create and experiment alternative formats, different from the usual dynamics of literary and performing arts festivals. For instance, in the afternoon a walk into the woods to listen to poetry readings and to rediscover slowness, and in the evening a one-man-show or a concert: it happens at L’importanza di essere piccoli, a poetry and music festival born in 2011 from an idea by Daria Balducelli and Azzurra D’Agostino on the Tuscan-Emilian Apennines. Or the presentation of a book, a dance performance, a dinner with local food and wine, a theatre show or a concert, and a djset during the night, as in Terreni Creativi, hosted in the greenhouses in the Albenga Plain. Innovation combined with the rediscovery and redemption of the territory is one of the cornerstones of the success of a new cultural event. Stazione di Topolò takes place in Topolove, “the smallest city in the world”, with only thirty inhabitants. In July this small mountain village in the Natisone Valleys, on the border between Italy and Slovenia, becomes a creative centre, a crossroads for artists of various disciplines, who since 2011 have met in Topolove for a site-specific frontier laboratory, where cultures, languages and sounds meet. What do events like L’importanza di essere piccoli, Terreni Creativi, and Stazione di Topolò have in common? They are both micro-festivals, a trend that is spreading throughout Europe. “Micro” refers primarily to the size of the festival, which includes both the limited number of participants and the number of scheduled events. What distinguishes micro-festivals from other kind of events is often the independence, the economic accessibility, and the innovative formula involving artists and the audience.

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In France almost 40% of festivals are defined - or define themselves - “petits” (small), and they represent an alternative to traditional festivals and fairs. Microfestivals were originally born in the music field, as small events of very short duration (three days at the most), with great care in every detail, and focused on a specific genre. Now the phenomenon concerns all the fields of culture, with a 48% increase in Europe from 2015 to 2018 [18]. These events tend to create a direct relationship with the location that hosts them, usually at a distance from the chaos of large cities and tourist resorts: they offer a human dimension and the authenticity that enriches and completes the cultural experience. Micro-festivals can highlight the identity of a territory, with its natural, structural and cultural resources. The event becomes a communication and marketing tool in a wider promotion project, which can also incorporate the promotion of tourism. Monitoring the economic and social impact of cultural events is one of the goals of many researchers that study festivals. According to the research conducted by Guido Guerzoni in 2008 on a sample of 27 cultural festivals, the economic impact of a cultural festival on its territory, including direct, indirect and induced effects, is equal to seven times the investments made for the realization of the festival itself [19]. The Strada degli Scrittori Festival was born in 2017 to achieve this goal in the heart of Sicily, and in particular through the discovery of the birthplaces of great writers such as Camilleri, Sciascia, Pirandello, Rosso di San Secondo, Tomasi di Lampedusa. The Sicilian Government Council decided to support “the creation of the itinerary, that will involve archaeological sites, wineries, and food and wine, the possible establishment of workshops for young people, in order to highlight the local production of different products and naturalistic sites of particular value, and hospitality and related services”. The goal was to “involve local communities, with their administrations, the various associations operating in the area, the food and wine chains, farmhouses, entrepreneurs, hoteliers, restaurateurs, theaters, and schools”. The president of ANAS (the company in charge of the Italian Road System), Gianni Vittorio Armani, in February 2016 officially renamed the Strada Statale 640 “di Porto Empedocle” in “La Strada degli Scrittori” [20]. Unfortunately the festival lasted only one edition, in 2017. Borgate dal Vivo, a literary festival conceived in 2016 by the Revejo Association in Val di Susa, follows an itinerant formula as well. This event was born to “promote and enhance mountain areas at risk of depopulation, turning the spotlight on this issue through the organization of cultural events”. In 2019 the festival offered about 50 itinerant events in the mountains between Liguria, Piemonte, Lombardia, and Valle d’Aosta in just two months, in peripheral areas too often abandoned or considered of a lower level compared to the cultural circuits of the metropolitan areas. The curators are young people who, perhaps after finishing their studies in big cities, return to their origins in search of new job opportunities. These festivals plan a systemic creation of events and projects for local cultural development, as well as tourism promotion. In this way, a festival becomes active part in a process of community building, and in the enhancement of territorial identity. Micro-festivals do not compete with bigger festivals on the basis of attendance. The audience is mainly local: indeed one of the goals of these projects is cultural development in locations considered peripheral, or even marginal, and that are usually

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excluded from several social and cultural policies, with a scarcity of infrastructural connections and of cultural structures (libraries, theaters, cinemas…) [21–25]. In Italy, according to Trovafestival, three festivals out of five take place in the provincial capitals: 617 out of 1042, with a peak in metropolitan areas as Milan with 84 festivals, Rome with 59, Turin with 45, Bologna with 29, and Florence with 25. In some of these big cities you can also find several small festivals that target market niches. Another interesting issue comes from the success of some festivals and microfestival that take place far from the capitals, almost 400. These areas represent approximately 51.6% of Italian Municipalities (4,181), hosting 22.3% of the population, equal to 13.3 million inhabitants, and their territory occupies around 60% of the national surface [26]. What happens of festival relation with the territory and its inhabitants, when it becomes bigger, attracting more visitors from outside?

4 The Contribution of a Cultural Micro-Festival to the BES: A Methodological Approach Thanks to its informal structure and its ability to interact with the local population, micro-festivals fall within the definition of “social innovation”, as can be found in the program lines of the European Commission for “Europe 2020” [27]: new ideas that meet social needs, creating social relationships, and establishing new collaborations, in a process of change that can produce positive outcomes in terms of economic competitiveness, environmental sustainability and social solidarity. The research will study the contribution of a cultural micro-festival to the BES (Benessere Equo e Sostenibile, fair and sustainable well being). Starting from the assumption that people happiness cannot be measured only by individual wealth, identified by GDP (in Italian PIL), the BES takes into consideration 12 alternative dimensions [28]. These dimensions are: environment, health, economic well-being, education and training, work and life balance, social relations, safety, subjective well-being, landscape and cultural heritage, research and innovation, quality of services, politics and institutions [14, 29, 30]. The BES is based on the analysis of 130 indicators, disaggregated at territorial level and by social groups (gender and generation), in order to observe their distribution and detect the presence of significant inequalities. The creation of the BES uses different sources, in particular integrating information from statistical and administrative resources. To better understand the environment and the impact of micro-festivals, and of cultural events in general, we can possibly concentrate on some of these data. In the table below we focused on the four dimensions that can be of greater importance in the study of micro-festivals and of their impact on local well-being (see Table 1). On the basis of ISTAT indications, these data are provided by surveys on the labor force, by surveys of different aspects of daily life, on the elaboration of data from the final balance sheets of municipal administrations and surveys of local companies [28].

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Table 1. The BES four dimensions that can be important in the study of micro-festivals and of their impact on local well-being. Subjective well-being •Satisfaction for one’s life •Leisure satisfaction

Landscape and cultural heritage •Current expenditure of municipalities for culture •Density and relevance of the museum heritage •Dissemination of farm businesses

Social relations •Social participation •Civic and political participation •Voluntary activities •Generalized trust Work and life balance •Employment rate (in cultural event) •Transformations from unstable jobs to stable jobs •Satisfaction for the work done

Starting from these metadata, we will try to analyze the impact of a group of selected micro-festivals in Italy and possibly in some other EU Countries. In the case studies, we will conduct analyses, such as surveys, on the various protagonists of the festivals (from the organizers, to the inhabitants, to the audience of the events, etc.), in-depth interviews with some personalities identified during the research… One of the goals is to have an overview of the impacts from a quantitative and a qualitative point of view. Quantity. Perhaps the easiest information to find, through surveys and interviews. A numerical analysis such as the number of workers hired and external collaborators of the festivals, the number of synergies put into practice, the number of events, the number of participants and their spending on the territory… Qualitative. Assuming that a micro-festival creates a dialogue with the territory in which it takes place, how does the festival create cultural awareness in the “host” inhabitants? What remains when the festival turns off the lights? In which ways the territory change, evolve, together with the festival?

5 Future Research A successful micro-festival can play a key role in a cultural policy that enhances a territory and its peculiarities. The event becomes an open-air experiment, in which the spectator feels part of a change, a geographical, social and political rebirth, starting from culture. But what do we mean by rebirth, and how does this rebirth finds its roots in the territory where the cultural event takes place? This paper is the first step of a broader and more complex research, which aims to identify, through the quantitative and qualitative analysis of the Good Practices we have chosen, the social and political repercussions of culture in a territory. The ambition, which does not end in these lines, would be to understand, through data analysis and field investigations, what the meaning of culture actually is, in our society, in order to rethink it as the engine and instrument of a new Renaissance of our urban and peripheral areas.

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References 1. 2. 3. 4. 5.

6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30.

Argano, L.: Manuale di progettazione della cultura, 1st edn. FrancoAngeli, Milano (2012) Maussier, B.: Festival management e destinazione turistica, 4th edn. Hoepli, Milano (2010) Bauman, Z.: Per tutti i gusti, 1st edn. Laterza, Roma-Bari (2016) Bauman, Z.: Stranieri alle porte, 1st edn. Laterza, Roma-Bari (2016) Bollo, A.: Nuovi scenari e vecchie liturgie del consumo culturale. Che cosa accade e perché è così difficile prevedere il presente. In: De Biase, F.: L’arte dello spettatore. 5th edn. FrancoAngeli, Milano (2015) Getz, D., Page, S.J.: Event Studies: Theory, Research and Policy for Planned Events, 2nd edn. Routledge, New York (2016) Falassi, A.: Time Out of Time: Essays on The Festival, 1st edn. University of New Mexico Press, Albuquerque (1987) Flaiano, E.: Ombre bianche, 5th edn. Adelphi, Milano (2012) Trovafestival Homepage. https://trovafestival.com/. Accessed 29 Feb 2020 See Aie Homepage. https://www.aie.it/ and Bocconi University Homepage. http://www.ask. unibocconi.it/wps/wcm/connect/Cdr/Centro_ASK/Home/. Accessed 08 Jan 2020 Goffman, E.: La vita quotidiana come rappresentazione. 2nd edn. Il Mulino, Bologna (1997) Bauman, Z.: L’etica in un mondo di consumatori, 4th edn. Laterza, Roma-Bari (2011) Bourdieau, P.: La distinzione. Critica sociale del gusto. 1st edn. Il Mulino, Bologna (2001) Paltrinieri, R.: Felicità responsabile, 4th edn. FrancoAngeli, Milano (2013) Gemini, L.: In viaggio. immaginario, comunicazione e pratiche del turismo contemporaneo. 2nd edn. FrancoAngeli, Milano (2008) Maffesoli, M.: Il tempo delle tribù. il declino dell’individualismo nelle società post-moderne. 1st edn. Guerini e Associati, Milano (2004) Moralli, M.: Innovazione Sociale. Pratiche e processi per ripensare le comunità. 1st edn. FrancoAngeli, Milano (2019) France Festival Homepage: http://www.francefestivals.com/. Accessed 25 Jan 2020 Guerzoni, G.: Effettofestival 2008 - The Economic Impact of Cultural Deepening Festivals, 1st edn. Carispe Foundation-Events Foundation, La Spezia (2008) Strada degli Scrittori Homepage. https://www.stradadegliscrittori.it/. Accessed 30 Dec 2020 Argano, L., Bollo, A., Dalla Sega, P., Vivalda, C.: Organizzare gli eventi culturali, 1st edn. FrancoAngeli, Milano (2018) Bonetti, E., Cercola R., Izzo, F., Masiello, B.: Eventi e strategie di marketing territoriale. Gli attori, i processi e la creazione di valore. 2nd edn. FrancoAngeli, Milano (2017) Caliandro, C., Sacco, P.L.: Italia reloaded: ripartire con la cultura. 1st edn. Il Mulino, Bologna (2011) Coca-Stefaniak, A., Bathgate, I.: Events and Festival as Innovation Testbeds for SustainaBility, 1st edn. Lambert Academic Publishing, Riga (2013) Paiola, M., Grandinetti, R.: Città in festival. Nuove esperienze di marketing territoriale, 1st edn. FrancoAngeli, Milano (2009) Pongovernance Homepage. http://www.pongovernance1420.gov.it/it/. Accessed 29 Jan 2020 European Commission Homepage. https://ec.europa.eu/growth/industry/innovation/pol-icy/ social_en. Accessed 27 Jan 2020 Istat Homepage. https://www.istat.it/it/benessere-e-sostenibilit%C3%A0/la-misurazione-delbenessere-(bes)/il-rapporto-istat-sul-bes. Accessed 26 Jan 2020 Bruni, S., Mazzantini, G.: Gli indicatori del Bes quali strumenti di better regulation per la quantificazione degli impatti nelle Air e nelle Vir. Public Manag. 1(2), 101–130 (2018) Stiglitz, J., Sen, A., Fitoussi, J.P.: La misura sbagliata delle nostre vite, 1st edn. Etas, Mi-lano (2013)

Fostering New Value Chains and Social Impact-Oriented Strategies in Urban Regeneration Processes: What Challenges for the Evaluation Discipline? Cristina Coscia

and Irene Rubino(&)

Department of Architecture and Design, Polytechnic of Turin, Turin, Italy {cristina.coscia,irene.rubino}@polito.it

Abstract. Urban regeneration processes represent a key element for contemporary cities aiming to pursue sustainable development strategies; however, the challenges set by present socio-economic conditions require that smart and novel solutions able to effectively achieve urban regeneration goals (e.g. enhancement of inhabitants’ quality of life through actions on buildings and the urban environment, improvement of housing conditions, reduction of spatial social inequalities, etc.) be conceived. In this context, new approaches leveraging on the social innovation framework and aiming to generate a positive social impact are progressively emerging, facilitating not only the achievement of pre-defined goals but also the generation of new value chains that still need to be fully explored and evaluated. Given this framework, in this paper we firstly present the relationships occurring between urban regeneration, social innovation, social impact and values, underlying the increasing role of stakeholder engagement and of new investment paradigms. Secondly, we summarize the main evaluation approaches that have been applied so far to the description and measurement of social impact, then proposing a preliminary classification of the frameworks used to evaluate innovative urban initiatives and social impactoriented investments. Thirdly, we advance that social-impact oriented initiatives entail further components of value that have not been generally taken into account into traditional urban regeneration approaches, then proposing an original definition of this concept of value. Finally, we suggest that the new value chains that are generated by innovative and social impact-oriented urban regeneration initiatives require the development of evaluation approaches able to capture these specific components of value. Keywords: Social impact


Social innovation
Urban regeneration

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 983–992, 2021. https://doi.org/10.1007/978-3-030-48279-4_92

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1 Towards the Implementation of Effective Urban Regeneration Processes: Introducing the Social Impact and Social Innovation Frameworks 1.1

The Social Dimension of Urban Regeneration

Contemporary cities are facing unprecedented transformations, and the ambiguous changes occurring to present socio-economic conditions, together with the significant presence of neglected, abandoned, under-used (and overall devalued) urban spaces are currently urging regeneration practices. Urban regeneration has been defined in many ways so far, and over time the concept has progressively shifted “from the idea of physical transformation to a more holistic approach to regenerating cities in economic, social, physical and environmental terms via place-specific strategies” [1, p. 2]. In this framework, topics such as -for instance- social housing, cultural and social entrepreneurship, conversion of real estate resources into community assets, reduction of spatial socio-economic inequalities and facilitation of low-carbon initiatives (www. c40reinventingcities.org/) are currently informing the agendas of urban realms and actors inspired by principles of shared value and responsibility. More specifically, an important goal is now particularly represented by the identification and implementation of trajectories able to combine the renewal of the urban environment with a positive turn of the existing economic and social conditions, also in light of the multidimensional sustainability framework [2]. In this context, the attitude towards the design and execution of initiatives able to generate a positive social impact is generally assuming increasing relevance, as testified by the academic literature, current practices [3–5], and new-born research centres focusing exactly on the analysis and dissemination of this topic (www.cottinosocialimpactcampus.org/). As acknowledged, the implementation of social impact-oriented initiatives entails not only a definition of social impact, but also the development of theories informing the desired change, the empirical application of an impact-oriented approach and finally the measurement of the social impact engendered. Far from being a mere juxtaposition of social goals to urban regeneration actions, the integration of social impact-oriented objectives in urban agendas involves that new forms of investment, collaboration and value propositions are elaborated, as to find effective and viable solutions to identified problems. In fact, it is more and more evident that the achievement of these goals is no longer possible through the simple replication of traditional operational models, and new paradigms are required. 1.2

The Need for Effective and Creative Solutions in Urban Regeneration Processes: Links with Social Innovation Concepts and Practices

Given the novelty and creativity of the solutions needed, it can be stated that social impact-oriented initiatives are to some extent interwoven with the concept of social innovation. In fact, social innovation is frequently defined as the process of inventing, securing support for and implementing a novel solution to a social problem; the new solution must be more effective, efficient, sustainable or just than existing ones, and the value created must accrue primarily to society as a whole rather than private individuals [6]. Even though a univocal definition of social innovation has not been developed yet

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and its meaning tends to depend on the context of application, some authors have underlined that social innovation takes place when problems that could have not been fixed with the intervention of a single type of actor are solved, thus entailing collaboration between the public, privates and the civil society [7]. To be truly innovative, solutions should not only have a positive effect on society, but also enhance its capability to act and ultimately enable its empowerment thanks to the creation of better capabilities, relationships and use of resources and assets [7]. An empirical example of social innovation practice is represented, for instance, by UK community enterprises [8, 9], i.e. structured social enterprises that have acquired a growing role in regeneration practices of specific urban areas thanks to their ability to effectively promote capacity building processes and satisfy the needs of local inhabitants. Overall, the social innovation concept has not only become a source of inspiration for cities desiring to adopt a smart attitude towards contemporary challenges, but it has also become central in the political debate; for instance, the Social Innovation Guide of the European Commission shows that important issues are: 1) the track record and nature of the organisation that is pitching the project and its risk; 2) the “selective gate” process; 3) growing support for new types of partnership, e.g. public-private and public-social [10]. If on the one hand the social impact and social innovation frameworks are progressively spreading, on the other one it has been advanced that structured reflections on the topic are definitely necessary; more particularly, scholars have underlined that key issues that deserve deeper attention are represented by the definition and analysis of stakeholder engagement, the development of mixed governance models and the experimentation of strategies for sustainable financing [11]. 1.3

The Creative Side of Financial Resources: Impact Investing and Private Actors

The financing aspect is particularly relevant also considering the emergence of the socalled impact economy. Differently from other sustainable investment approaches and from initiatives of corporate social responsibility [4], impact economy and impact investing aim to intentionally and proactively combine economic return with social impact, providing solutions to social problems difficult to solve according to the sole logics of the market or on the exclusive basis of public funding [12]. On the one hand, market mechanisms and financial sustainability issues are definitely taken into account; however, on the other one they are at the same time reinterpreted, and capitals are finalised to provide effective and sustainable solutions to existing problems (e.g. arising from the growing demand of social services from the lower-income segments of society, from the aging population and from climate change issues). Up to now, one of the main obstacles to the spread of impact investments and impact entrepreneurship has been represented by early stage risk capital, since business models are not well established yet. In terms of financing, other ways possibly leading to innovative urban regeneration are investments from private subjects. The role of private actors - such as investors and philanthropists- for the regeneration of places is known. However, some recent examples particularly underline that private expenditures originally performed by single actors may also facilitate the generation of value chains encouraging public

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financing and/or investments from other private subjects. This is the case, for instance, of Favara, a town located in Sicily (Italy) that has become a best practice of culture-led urban regeneration thanks to the initial investments in arts and culture performed by a single couple. The creation of the Farm Cultural Park in 2010 has not only transformed the semi-abandoned historic centre of Favara into a cultural centre able to attract creative talents and visitors, but it has also rebuilt the local social capital, created new jobs and attracted investors, overall generating positive spillover effects [11]. Then, it is worth mentioning that also financial measures undertaken by public administrations can function as catalyst of urban regeneration, as shown for instance by the Tax Increment Financing (TIF), which in some countries subsidizes communityimprovement projects [13]. Figure 1 offers a conceptual systematization of the inter-relationships possibly occurring between urban regeneration, social innovation and emerging forms of socially oriented investments.

Fig. 1. Urban regeneration, social innovation and impact investing: a conceptual proposal (source: authors’ own elaboration).

In this framework, a key element is represented by the evaluation of the impact generated: in fact, this step is fundamental not only to stimulate self-evaluation and assess the effectiveness of the interventions, but also to build know-how and even grant the share of profits in the event of pay-by-result contexts [14–16]. However, the development of appropriate methodological frameworks able to evaluate the social impact generated is particularly difficult and still on-going. Given this premise, how the evaluation discipline should evolve in order to provide effective

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tools able to capture social impact? Is the development of appropriate evaluation approaches and metrics a mere technical issue or is it related to the creation of a new concept of value? In light of this foreword, in Sect. 2 we will summarise the main evaluation frameworks and approaches that have been applied so far to the evaluation of social impact; then, in Sect. 3 we will make some reflections on the relationships occurring between the value chains generated by social impact projects and the evaluation discipline, proposing an original definition of these values and making some suggestions on the characteristics that evaluation approaches should have in order to be able to capture these specific components of value. Finally, in Sect. 4 we conclude with final remarks.

2 The Importance of Assessment and Measurement: Evaluation Approaches and the Challenge Set by New Components of Value The definitions of social impact available in the literature are various, but they generally entail the concept of change. The literature has underlined that the evaluation of social impact is particularly difficult since: the characteristics of the interventions are frequently different, and standardized approaches neither exist nor are thus always recommendable; evaluation and assessment require human and financial resources; social impacts usually take place in the long run [17, p. 21]. Overall, evaluation of social impact has been performed so far according to at least one of the following approaches [18]: 1) qualitative (e.g. description of the processes and changes occurred); 2) quantitative (e.g. quantifications of the beneficiaries of an intervention); 3) monetary (i.e. quantification in monetary terms of the effects engendered by a project). Other authors have classified evaluation approaches into the following categories instead: 1) processual models (i.e. models paying particular attention to the relationships occurring among stakeholders, to the identification and analysis of cause-effects links and to the value chains engendered by these exchanges; as an example, it is possible to mention the theory of change and network analysis approaches); 2) multicriteria (or dashboard) models (which usually take into account multiple indicators and frequently entail weighting systems); 3) synthetic models such as the SROI (Social Return on Investment), which expresses a value in itself but it is also suitable to be integrated into multicriteria and hybrid analyses as well [19, 20]. With special reference to urban regeneration, it is possible to provide here a preliminary (and still on-going) classification of the evaluation frameworks followed. On the basis of the scale of the interventions, of the actors involved and of the level of the decision-making process, it is possible to identify: 1) approaches that have been applied to the evaluation of the social impact related to important urban interventions (e.g. Social Impact Assessment, Action Plans, Environmental Impact Assessment frameworks), such as in the case of the 2012 London Olympics; these approaches have particularly considered macro-sectors of social development, such as employment, general wellbeing, health and urban safety, social inclusion, community engagement and so on [21]; 2) analyses focusing on the feasibility and impact of hybrid investments (where investors play a particularly

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innovative role), such as in the case of evaluations especially concerning social housing initiatives [20, 22]; these approaches may include social impact investment analysis and social return on investment, and best practices in the field are -for instance- the Italian social housing initiatives of Milan, Turin, Ravenna and Parma [20]; 3) approaches that take into account the presence of incentive mechanisms for private investments, where a proactive role is played by private actors [14–16, 27] as well as by public administrations (as in the case of the city of Baltimore [13]); in this context, it is interesting to note that the risk component leaves ground to the responsibility concept; 4) approaches that analyze the cause-effects relations of actions performed by actors that have a clear social and ethic mission, such as in the case of entities operating in the third sector [23, 24]. As described, the application of these approaches already varies in the present evaluation practice according to the nature of the projects, the objectives of the evaluation and available resources; however, it could be advanced that procedures aiming at evaluating social impact-led urban regeneration strategies should consider that the application of social innovation principles and of new investment paradigms may generate new value chains and new, intangible components of value. For what concerns value chains, previous paragraphs and Fig. 1 have highlighted that a key element for the development of innovative urban regeneration solutions is the engagement of multiple stakeholders (e.g. public actors, private investors, the civil society…), which leads both to shared responsibility (or at least to shared decision-making) and to the creation of original networks. In this case, the participation into the network, the cascade effects engendered by this engagement and the active role played in the initiative may all create unexplored value chains that need to be firstly mapped and then evaluated. New components of value are then related for instance to the adoption of new investment paradigms. On the one hand, investments aiming at achieving social impact generate economic profits and they can even be considered strategic since they allow to differentiate risk; however, on the other hand it must be noted that these types of investments usually generate economic profits that are lower than the ones enabled by market-oriented operations. Therefore, an intangible component of value related to the ethics of the initiatives and to the personal and social return may exist. In fact, impact investing and other socially-oriented types of money allocation seem to share some characteristics with philanthropy and donations in general: as in these cases, components of value for investors may thus lie in the “warm glow” generated by the satisfaction of providing support to disadvantaged people/conditions, in the relational dimension (e.g. relational value created from the interaction with other stakeholders) and also in the reputational one (e.g. gaining of appreciation and social recognition in a social context where multidimensional sustainability principles are shared and ethic operations are valued). Considering this framework, it could thus be proposed that one of the biggest challenges for the evaluation discipline probably lies in the development of approaches, metrics and tools able to capture the multifaceted nature of these new values [25–27].

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3 Widening the Perspective: Conceptualizing the Economic Value of Social Impact-Oriented Initiatives (SIOIV) As the traditional evaluation discipline appraises the value of public assets including use values, non-use values and externalities (e.g. concept of total economic value and its variations), we suggest that the economic value of social impact-oriented initiatives (SIOIV- Social Impact-Oriented Initiatives Value) in urban regeneration processes should take into account multiple dimensions and components of values as well. More particularly, the SIOIV should take into account: all the actors and stakeholders involved (including investors, intermediaries, public actors, policy-makers, beneficiaries, individual beneficiaries, target of beneficiaries, etc.); the relationships and value chains created through collaboration in the project (since the ideation and planning phases); the tangible and intangible values created for each actor; the direct and indirect social and economic consequences engendered by the intervention in the short, medium and long run, including cascade effects that would have not been engendered without the project. For instance, the value created for investors could include not only the profits generated by the investment but also a “warm glow” value (as previously described), a relational value (typical of impact investing and social innovation initiatives) and a reputational one. For what concerns beneficiaries, the value generated for single individuals as well as the value stemming from the changes engendered in the community/society at large should be considered. Then, the values created for all the stakeholders involved and the produced externalities should be calculated too. Given the multidimensional nature of the values and the novel nature of the initiatives, evaluations should capitalise on both quantitative and qualitative approaches, especially when the contexts of application are particularly new and there is a deep need of firstly understanding the processes (before quantifying them). Monitoring activities and the performance of ex-post evaluations could then contribute to inform previsions and strategic assessments of similar future projects. Overall, the evaluation process should progressively shift from a qualitative description and/or quantification of beneficiaries, etc. to the calculation of the produced value. Given the special characteristics of social impact-oriented initiatives described above, it could also be envisioned to re-interpret some well-established techniques. For instance, in analogy with the willingness to pay approach, one of the components of value for investors could be investigated through their “willingness to donate/renounce” (e.g. with respect to other investment options). Figure 2 illustrates some of the components of value that could be considered in a SIOIV evaluation. Then, other well-established evaluation techniques that could be reinterpreted and applied under a new light are -for instance- Cost-Benefit Analysis (CBA) and Costeffectiveness analysis (CEA). Given the hybrid nature of social-impact oriented initiatives, approaches usually employed to evaluate public interventions and able to capture the social value component could in fact to some extent inspire the evaluation of social-impact oriented initiatives too. Additionally, these methods should be remodeled on the basis of differentiated risk analysis principles, with particular regard towards the measurement of the ethic and social components of risk.

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Fig. 2. The value of social impact-oriented initiatives: multiple dimensions.

4 Conclusions and Future Steps of Research Urban regeneration, social innovation and investments finalised to the achievement of a positive social impact can be considered as interconnected, since they all aim to find novel and effective solutions to social problems. However, the novelty of these approaches sets many challenges that still need to be explored with further research. Considering the novelty of the contexts, monitoring and evaluation should overall represent activities able to describe the new value chains facilitated by the projects, as well as the tangible and intangible components of value engendered for different stakeholders. Additionally, given that urban regeneration usually aims to implement solutions with long-term effects, it is important that evaluation approaches will be able to take into consideration long-term consequences. In the future it will also be necessary to better investigate both the quantitative and qualitative components of value, re-frame the theories focusing on investments, develop appropriate metrics and finally further refine the classification of the evaluation frameworks and models previously anticipated. Far from being an exercise with theoretical or rhetorical objectives, a deeper reflection on the different components of value engendered by social impact-oriented initiatives in urban regeneration contexts could overall be useful to better identify the approaches, methods (and possibly the metrics) more suitable to evaluate the overall value of the initiatives.

References 1. Korkmaz, C., Balaban, O.: Sustainability of urban regeneration in Turkey: assessing the performance of the North Ankara urban regeneration project. Habitat Int. 95, 102081 (2019). https://doi.org/10.1016/j.habitatint.2019.102081

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2. Coscia, C., Lazzari, G., Rubino, I.: Values, memory, and the role of exploratory methods for policy-design processes and the sustainable redevelopment of waterfront contexts: the case of Officine Piaggio (Italy). Sustainability 10(9), 2989 (2018). https://doi.org/10.3390/ su10092989 3. Coscia, C., Chiaravalloti, T.: Urban voids and public historical-artistic heritage: a roadmap for the Carlo Alberto complex in Acqui Terme. Territorio 84, 128–142 (2018) 4. Coscia, C., Russo, V.: The valorization of economic assets and social capacities of the historic farmhouse system in peri-urban allocation: a sample of application of the Corporate Social Responsible (CSR) Approach. In: Bisello, A., Vettorato, D., Laconte, P., Costa, S. (eds.) Smart and Sustainable Planning for Cities and Regions 2017, pp. 615–634. Springer, Cham (2018) 5. Mangialardo, A., Micelli, E.: The grassroots participation create new value? Simulation models for bottom-up enhancements processes of public real-estate properties. Valori e Valutazioni 19, 41–52 (2017) 6. Phills, J.A., Deiglmeier, K., Miller, D.T.: Rediscovering social innovation. Stanford Social Innovation Review. Fall 2008. https://ssir.org/articles/entry/rediscovering_social_innovation. Accessed 15 Nov 2019 7. The Hope Institute: Social innovation in Asia: trends and characteristics in China, Korea, India, Japan and Thailand. In: Morris-Suzuki, T., Jeong Soh, E. (eds.) New Worlds from Below, pp. 249–274. ANU Press, Informal life politics and grassroots action in twenty-firstcentury Northeast Asia (2017) 8. Le Xuan, S., Tricarico, L.: Le community enterprises in Gran Bretagna: imprese sociali come modello di rigenerazione. Impresa Sociale 2, 27–34 (2013) 9. Tricarico, L.: Community action: value or instrument? An ethics and planning critical review. J. Archit. Urban. 41(3), 221–233 (2017). https://doi.org/10.3846/20297955.2017. 1355278 10. European Commission: Guide to Social Innovation (2013). https://ec.europa.eu/eip/ageing/ library/guide-social-innovation_en. Accessed 20 Nov 2019 11. Della Lucia, M., Trunfio, M.: The role of the private actor in cultural regeneration: hybridizing cultural heritage with creativity in the city. Cities 82, 35–44 (2018). https://doi. org/10.1016/j.cities.2018.05.003 12. Alijani, S., Karyotis, C.: Coping with impact investing antagonistic objectives: a multi stakeholder approach. Res. Int. Bus. Fin. 47, 10–17 (2019) 13. The Board of Finance of Baltimore City, Department of Finance, Bureau of Treasury Management: Tax Increment Financing Policy and Project Submission Requirements. Dossier, 23 January 2012 14. Mulgan, G., Reeder, N., Aylott, M., Bo’sher, L.: Social impact investment: the challenge and opportunity of social impact bonds. The Young Foundation, London (2011). https:// youngfoundation.org/wp-content/uploads/2012/10/Social-Impact-Investment-Theopportunity-and-challenge-of-Social-Impact-Bonds-March-2011.pdf. Accessed 20 Nov 2019 15. Ragin, L., Palandjian, T.: Social impact bonds: using impact investment to expand effective social programs. Comm. Dev. Invest. Rev. 9(1), 63–67 (2013) 16. Del Giudice, A.: I Social Impact Bond. Franco Angeli, Milano (2015) 17. Agrawal, A., Hockerts, K.: Impact investing: review and research agenda. J. Small Bus. Entrep, 1–29 (2019). https://doi.org/10.1080/08276331.2018.1551457 18. OECD: Social Impact Investment. Building the evidence base. OECD report (2015). https:// www.oecd.org/publications/social-impact-investment-9789264233430-en.htm. Accessed 20 Nov 2019

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19. Bengo, I., Caloni, D.: La misurazione di impatto. Una proposta per un percorso condiviso. Social Impact Agenda per l’Italia (2017). http://www.socialimpactagenda.it/wp-content/ uploads/2017/12/LA-MISURAZIONE-DI-IMPATTO-UNA-PROPOSTA-PER-UNPERCORSO-CONDIVISO.pdf. Accessed 10 Nov 2019 20. Camoletto, M., Ferri, G., Pedercini, C., Ingaramo, L., Sabatino, S.: Social housing and measurement of social impacts: steps towards a common toolkit. Valori e Valutazioni 19, 11–40 (2017) 21. Glasson, J., Wood, G.: Urban regeneration and impact assessment for social sustainability. Impact Assess. Proj. Apprais. 27(4), 283–290 (2009) 22. Walker, R.M.: The changing management of social housing: the impact of externalisation and managerialisation. Hous. Stud. 15(2), 281–299 (2000) 23. Impronta Etica: Le Linee-guida per la misurazione dell’impatto sociale (2016). https://www. improntaetica.org/le-linee-guida-la-misurazione-dellimpatto-sociale/. Accessed 15 Nov 2019 24. Zamagni, S., Venturi, P., Rago, S.: Valutare l’impatto sociale. La questione della misurazione nelle imprese sociali. Impresa Sociale 6, 77–97 (2015) 25. De Filippi, F., Coscia, C., Guido, R.: From smart-cities to smart-communities: how can we evaluate the impacts of innovation and inclusive processes in urban context? Int J. EPlanning Res. 8(2), 24–44 (2019). https://doi.org/10.4018/IJEPR.2019040102 26. Fregonara, E., Coscia, C.: Multi criteria analyses, life cycle approaches and Delphi Method: a methodological proposal to assess design scenarios. Valori e Valutazioni 23, 107–117 (2019) 27. Coscia, C., Curto, R.: Valorising in the absence of public resources and weak markets: the case of “Ivrea, the 20th Century Industrial City”. In: Stanghellini, S., Morano, P., Bottero, M., Oppio, A. (eds.) Appraisal: From Theory to Practice, pp. 79–99. Springer, Cham, Switzerland (2017)

Are Bottom-Up Enhancement Processes Just a Temporary Trend? Empirical Evidence in Italy Alessia Mangialardo(&) and Ezio Micelli Department of Culture and Arts, IUAV University of Venice, Dorsoduro 2206, I-30123 Venice, Italy [email protected]

Abstract. The experiences of urban regeneration promoted through social innovation are counted in hundreds in Italy and often significantly contribute to the new use of assets and parts of cities otherwise underutilized or abandoned. In many areas of the country, in particular those most affected by the real estate crisis, assets have changed their function: public property has ceased to represent a reserve of financial value and has become a strategic resource for bottom up social and cultural projects. The research question we intend to face in this paper concerns the lasting or transitory nature of such processes. It is at stake the ability to change permanently the status of public property, no more a deposit of rent available for administrations financially distressed, but resources enabling new forms of local development. We investigated in depth some Italian case studies to better highlight the economic, social and cultural traits of bottom-up regenerations experiences. Some initial results of the research suggest that the ability to transform social and human capital into economic and financial value seems therefore uncertain and, in the absence of a national provision on the matter, depend on the choices made by local authorities. Keywords: Public real estate property
Urban reuse
Commons
Bottom-up urban regeneration
Grass-roots participation

1 Introduction Thanks to the numerous experiences carried out by the activism of local citizenship in different parts of Italy, the abandoned public real estate assets has become at the disposal of local administrations to be privatised when necessary and has started to welcome projects of horizontal subsidiarity and local development in different aspects. Apparently heterogeneous projects - including craft activities combining the use of new technologies and digital, fab-lab, cultural production sites, temporary residences for artists and urban gardens - share the same places and the same mission, demonstrating that even the most diverse actions can have the same community vision. The value attributed to real estate assets change: it is no longer just economic and financialbut becomes an enabling container to carry out new projects of urban life, social, cultural and technological innovation. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 993–1002, 2021. https://doi.org/10.1007/978-3-030-48279-4_93

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The aim of this research is to investigate the evolutionary models of bottom-up processes to enhance public real-estate properties carried out by the activism of local citizens in order to understand if administrations consider them as a phenomenon potentially able to change the relationship with cities or if it is transitory and destined to characterise in the short term the debate on the abandonment of public real estate assets. In some European countries similar processes have been codified and are already being promoted in the agendas of some major cities [1, 2]. In Italy, however, the potential for bottom-up real estate development often leaves administrators and technicians uncertain, suggesting the need for further analysis. The study is divided into five sections. The first deals with some theoretical considerations on the process of development of public property based on bottom-up mobilization approaches. The second presents the data used for the analysis of the case studies. The third section illustrates and critically deepens the case studies. The fourth interprets the phenomena emerging from the case studies examined and the last, finally, summarizes the results that emerged and defines future research developments.

2 The Evolution of Bottom-Up Experiences in Italy For some time, administrations have considered buildings no longer useful for publicity purposes as a reserve of value to sell if necessary. The National Legislator has promoted numerous policies for the valorisation of unused assets aimed at an increasingly easy conversion of real estate value into financial value. The rule contained in the Finance Act of 2008 is exemplary: the local owners of disused properties recognise the no longer strategic nature of the asset to be valorised and, with a single procedure, assign a new urban destination to the buildings by directly selling them. For example, numerous disused barracks, historical buildings, hospitals and schools have been converted and transformed into residences, tourist accommodation or tertiary activities. For years, demand has been considered to be willing to absorb the supply of public real estate assets to be decommissioned. The conjuncture in the real estate market since the end of the last decade has deeply transformed the general picture of the traditional logic of real estate resources valorization with the consequent disappearance of investors and developers for years always attentive to the public sector’s dispositions. Traditional processes of conversion of traditional assets are simply no longer applicable: the supply remains unused and the financial capacity of the demand has decreased significantly [3]. In the absence of demand, some public authorities have accepted the decline in real estate values by experimenting with innovative approaches to enhance the value of their property that can jointly generate value for the community and, subsequently, for their buildings [4]. Founded on the richness of social capital present in the territory [5–8], bottom-up valorisation processes reconvert abandoned public assets into resources that communities use to carry out innovation projects in the profit and nonprofit sector. The objective is no longer to extract a real estate income, but to experiment new forms of economic development and social inclusion [7, 9–11] also through the economic support of public and private entities.

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Bottom-up valorisation processes change the way to conceive public property: from a reserve of financial value, disused buildings are transformed into a common at the service of the city’s social development. From this perspective, the commonstake on a broader meaning. It is not just a resource available to the community to be monitored from a patrimonial and legal point of view but the meaning shifts to a management perspective. It is the beneficiaries who give value to the assets because they are responsible for maintaining, using, preserving and improving the use of the buildings in order to carry out social and cultural projects. The common is therefore an integrated system capable of regenerating common resources to make them available to the community and to preserve them over time [12, 13]. Since 2014, the central government has recognised the importance of bottom-up processes as a positive governance model [12]. The central government through this provision gives local authorities the power, without any obligation, to promote and regulate participatory mechanisms “for the protection and enhancement of the territory” through the determination of specific regulations. Many municipalities have adhered to this provision by decreeing their own regulations. Nevertheless, there are still a number of municipalities that are opposed to the development of such practices because they believe that the obstacles and risks involved are greater than the expected benefits. While on the one hand, most Italian municipalities have promoted specific regulations aimed at fostering participatory processes for the care of abandoned real estate assets and the financing of similar ones is increasingly numerous, on the other hand, the lack of solid regulatory bases is one of the main reasons for the significant heterogeneity in the management and development of similar ones. The more or less satisfactory results of the processes of valorisation of the public real estate assets highlight the need to understand the mechanisms underlying the most successful practices, to study their strengths and weaknesses in order to verify whether such initiatives may represent a solution to the regeneration of the abandoned real estate assets or whether they are only a temporary parenthesis [14, 15].

3 Cultural Valorisation Projects: The Characteristics of the Analysed Sample Ten experiences, located throughout Italy, have been examined to critically analyze the bottom-up processes. The ten case studies were selected from an extensive dataset produced by the authors for previous research [6]. These cases were then chosen because of the relevance and quality of the regeneration process started and are considered, in the literature and in the national debate, among the most representative of the bottom-up experiences in Italy. For each case study the information was collected through specific interviews, field surveys and desk research activities. In order to compare the experiences, each case study was analysed according to the following characteristics: the triggering phase of the initiative, the assetholders involved, the governance model adopted and, finally, the methods of legal agreement between administration and users.

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With regard to the trigger phase of the initiative, the actors who carried out the idea and the legal methods to formalize were sought. The assetholders involved refer to the holders of monetary and non-monetary resources that contribute to the development of the initiative. To this end, or each case study authors searched the funding involved. The governance methods aim to verify the economic sustainability of the interventions and the management of the buildings. The fifth and last aspect, finally, aims to verify from a legal point of view the contractual relationship most used. The data collected have been reworked in a table and have made it possible to highlight several aspects (see Table 1). Table 1. Descriptive statistics of the case studies Name of the project Trigger phase Assetholder Governance Juridical formula Centro culturale Zo 1 2, 3, 6 1 1 Cre-Ta 2 1, 4, 6 2 2 Factory Grisù 2 4, 6 1 2 Mercato Sonato 2 3, 5, 6, 7 1 2 Casa Bossi 1 3, 6 1 2 LaboratorioAperto 1 1, 5, 6, 7 2 2 Ex AsiloFilangieri 1 3, 6 1 2 Base Ansaldo 2 5, 6 2 1 Area Ex Fadda 2 4, 5, 6 2 2 Casermarcheologica 1 3, 6, 7 1 2 Legend Trigger phase: Spontaneous movement: 1; Administration: 2 Assetholder: European funding: 1; National public funding: 2; National private funds: 3; Regional funds: 4; Municipal funds: 5; Self-financing: 6; Crowdfunding: 7 Cultural activities: 1; Cultural and technological activities: 2 Governance: Cooperative: 1; Association: 2 Juridical formula: Lease: 1; Bailment at no charge: 2

The first concerns the trigger phase. Most of the experiences analyzed (6 out of 10) were undertaken by the local administrations who put their abandoned assets at stake through public calls for tenders. Nevertheless, 40% of the projects analysed started thanks to the desire of local citizens to bring an abandoned building back to life through projects for the local community. With regard to the resources used for the development of the project and the renovation of the buildings, the research shows that bottom-up processes are mostly supported on a local scale. Only two cases out of ten - Open Laboratory and Ansaldo Base - have had access to European public funds and only one - Centro Zo - on a national scale. Nevertheless, 4 out of 10 cases also used the contribution - economic and educational - from philanthropic entity of national interest. In particular, Culturability, the Unipolis Foundation’s call for proposals, that annually finances the best social innovation projects. Furthermore, regional funds have been dispensed to 3 projects, municipal funds to 4, while the crowd-funding flatforms have been employed for three projects. Finally, all the experiences were partially self-financed.

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With regard to the governance model, in all cases there is a single entity - represented by different legal forms - appointed by the administration to manage the initiative. The choices to enhance and carry out bottom-up processes are different. In particular, the extraordinary maintenance operations to secure the buildings and to start up the activities are mostly supported by external financing, although there is no lack of experience where these expenses are supported by the managers, such as Casa Bossi. Again, as happens in Area Ex-Fadda or Factory Grisù, the association that manages the building assigns to different users the spaces. Then, users renovate spaces at their own expense. Finally, the last aspect analysed concerns the legal formula used to regulate the occupation of publicly owned spaces. The 20% of the experiences analyzed have stipulated a regular rental contract with the administration at an agreed rent, while in 80% of the cases the property is granted on loan for free use for a defined period of time - in 5 cases - or indefinitely - in 3 cases. The occupancy of the spaces to different users can be assigned in a temporary or permanent way. In the first case, the managing body usually requires a fee (as for the AsiloFilangeri, Casa Bossi or CasermArcheologica) while in the second case the occupation of the assets can be paid in the form of rent (Base Ansaldo) or services (as for Area Ex Fadda). The management expenses and ordinary maintenance operations are mostly borne by the managing body that receives the resources through the renting of the spaces (Ansaldo Base) or through extra activities - for example the bar/restaurant of Area Ex Fadda - with the exception of Cre-Ta in Cassola, where the administration contributes significantly to support the activity. In all cases, a single association is responsible for managing the building and assigning space to the various users.

4 The Case Studies Examined: A Critical Review The progressive depreciation of the properties following the numerous attempts to bid in deserted auctions - as happened at LaboratorioAperto and Factory Grisù - was not enough to restore the interest of developers and investors. The properties have - temporarily ceased to be the exclusive object of the market development in favour of an increase in the social and cultural values for the territory. However, administrations can simultaneously pursue the two strategies: Casa Bossi in Novara, although it hosts self-organized cultural activities, has been on sale for years, even if no offer has been received to date. As far as triggers are concerned, the experiences analyzed have shown a profound change in the administrations’ conception of the traditional relationship between planning and asset management. While on the one hand, as in the case of the municipality of Bologna, local authorities favour and encourage the initiation of participatory processes in abandoned public assets by establishing regulatory frameworks to promote the initiation of such practices, on the other hand not all administrations consider bottom up processes as a consolidated practice. Many local authorities - especially in small and medium-sized towns - have exceptionally recognised the occupation of assets by local activism by granting buildings for temporary use. The former FilangeriAsilo in Naples was conceived by occupying a former nursery school. After an initial scepticism of the Province of Naples on the feasibility of the legal passage, in 2016 a resolution of the City

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of Naples recognized the kindergarten and seven other public buildings valued in the same way, as commons. In both cases, the management of the buildings is carried out through calls for tenders. These calls are no longer focused on maximizing the economic and financial value of the building but to generate social impact in the territory. With regard to the governance model, the cases analyzed have demonstrated a crossing of the borders of the private, public and non-profit sectors, facing opposing institutional systems. The hybridity of the activities goes beyond the dual vision of social mission and financial sustainability [16]. The accusation of misunderstandings and loss of earnings towards the administration at the AsiloFilangieri in Naples or Creta in Cassola demonstrate the difficulty of local authorities in managing such situations. The Municipality of Naples has established the temporary projects to be hosted in the building every three months. Although the administration’s willingness to host only non-profit events was explicit, the relationship with activities capable of marginality was the reason for the accusation of impartiality. At the Centro Zo in Catania, the increase in rent was considered the compromise to promote a social innovation project that took on the role of an innovative business format with a social background. The last element is linked concession time. The case studies analysed highlighted a double possibility. The majority of the experiences have stipulated a contract with the administration- of rent or free loan for use - for a defined time ranging from 4 to 12 years. In this case, as widely supported by the international literature, the administration considers the valorisation strategies on a cultural basis as a “middle period” [17] in order to guarantee the possibility to start the activities, to make the space known to different actors and to wait for traditional market operators. The second option provides for the administration to grant the properties for an indefinite period, as in the case of Casa Bossi. The objective in this case is to regenerate “excess assets” [15] to activate new economies for the local community. The temporariness in this case is linked to the administrator and the manager of the assets, which can change over the years.

5 Tactical and Strategic Vision of Administrations Towards Bottom-Up Processes The analysis of the case studies in the previous paragraph has highlighted some trajectories that characterize the evolution of such practices. The risk of turning these initiatives into a passing fad depends on how administrations conceive such initiatives. In particular, from the interpretation of the ten experiences elements emerged two elements. The second concerns the long-term prospects that administrations have with regard to the enhancement of abandoned assets. The first element concerns the way administrations interpret the ability or otherwise of such initiatives to generate profit. By analysing the trigger phase of the experiences, administrations have shown that the best way to promote the initiation of such practices is to entrust the management of buildings to users through calls for tender. In this case, administrations no longer focus on maximising the economic and financial value of the building, but on promoting the best participatory idea capable of generating social

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impact on the territory and on the ability of communities to organise themselves from an economic and social development perspective. This allows administrations to justify to local citizens the granting of ad hoc funding - necessary for the development of the initiatives - and the free or almost free transfer of real estate assets. In all cases analyzed the activities are not for profit and rarely generate economic margins, demonstrating that even the initiatives hosting the most technological and innovative activities are not entrepreneurial projects [7, 9, 18, 19]. Production and enterprise, therefore, assume their sustainability not only and not so much as an economic issue, but as an element capable of organizing human and social capital in an original way otherwise destined to be irreparably lost. However, the relationship with projects able to generate a margin linked to service and production activities seems problematic. The governance and management of such initiatives is therefore complex because the hybridity of bottom-up initiatives goes beyond the dual vision of social mission and financial sustainability [19, 20]. Administrations would not be able to justify at a legal level a willingness to favour by means of financing and the conferment of real estate asset - initiatives for business purposes. How can they defend the presence of a bar that does not pay the rent with respect to the same type of commercial activity that pays a market rent outside the property? It is easy for governments to contribute assets to non-profit entities while it is a problem for profit-generating activities. For this reason, the best possibility to regulate and control the initiatives is centralized management system. In this case, the administration entrusts the management of the project to a social entrepreneur which is responsible for ensuring the maintenance of the social mission of the activities. This actor represents the subject - in the form of an association such as CasermArcheologica or a temporary social enterprise such as OxaSrl or SandeiSrl - able to reunite different projects adapting them to the changing situations of the local economy and society. The second element derives from the legal formula by which properties are entrusted. The case studies have highlighted a double possibility. Most of the experiences have stipulated a contract with the administration - lease or loan for free use - for a defined time ranging from 4 to 12 years. Temporary uses can guarantee the possibility to start the activities, to make the space known to different actors and to wait for the expression of interest by the traditional market operators [15, 16]. The second option provides for the administration to grant the properties for an indefinite period, as in the case of Casa Bossi. The objective in this case is to regenerate “excess assets” [14, 21] and return them to the community to activate new economies. The choice between the two strategies depends essentially on how administrations perceive such initiatives and it can assume a strategic or tattic vision. In the first case, the administration considers the enhancement strategies on a cultural basis as flexible processes that, after a certain period, return to the starting point. As Klunzman [22] argued: “Every regeneration story begins with poetry and ends with real estate”. Behind the rhetoric of temporal uses there is a tactical use of resources that consider the temporariness as an element to reactivate the social dimension of a place to carry out prestige and place-marketing projects. As is the case at Base Ansaldo, the spaces are entrusted for temporary use and after a few years, the

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rent is reformulated to market rates. Or as Casa Bossi where the administration has entrusted management of the property for an indefinite time but in the meantime the building continues to be for sale. The second approach considers change as an irreversible break with the previous conditions. In this case, returning to the market is not convenient. Administrations activate enhancement policies with infrastructural nature. The temporariness in this case is linked to the manager of the property, which may change over the years. Asilo Filangeri is the only one of the properties considered to have been counted as a common good. In this case, the assets is permanently entrusted to the local citizenship to carry out collective projects.

6 Conclusions In Italy, processes to enhance public abandoned real estate patrimony promoted by the activism of local citizens are more and more widespread. Nevertheless, in the absence of specific national regulations, the relationship between the authorities-owning estates and the managers of the activities are different. The objective of this paper was to investigate the more or less transitory nature of such processes through an in-depth qualitative analysis of ten case studies located throughout the Italian peninsula. Three controversial aspects emerged. The first element concerns the ways of triggering bottom-up valorisation processes, which highlights a different level of institutional learning. Some cities have promoted the initiation of such practices by establishing specific regulatory principles and have made buildings permanently available as collective infrastructures to promote projects for the local community. At the other side, other administrations have had a more hostile attitude towards the approval of initiatives that arose spontaneously. In both cases, the management of the buildings is carried out through calls for tenders that are focused on the best idea capable of generating social impact. The second aspect refers to the governance model. The cases analyzed have shown how difficult it is at economic, legal and management level to overcome the fronts of the private, public and non-profit sectors, facing opposite institutional systems. In this case, the administrations operate in completely different ways. As a result, the outcome of these efforts depends essentially on how the administration favours such practices. The last aspect that emerged from the survey concerns the time dimension with which buildings are assignes. Administrations in this case show a tactical attitude, when they consider bottom-up valorisation processes as a temporary solution due to an adverse real estate market situation, or a strategic one, when buildings become a permanent collective infrastructure available to the community. Future research may cover different areas. From a policy point of view, the divergences between the specific public policies implemented by administrations could be investigated. From the point of view of urban studies and evaluation, future research could address the impact that bottom-up valorisation processes generate in the territory.

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20. Valier, A.: New value from stalled real estate investments. Empirical evidences from some Italian experiences. Empirical evidences from some Italian experiences. In: International Symposium on New Metropolitan Perspectives, pp. 289–296. Springer, Cham (2018) 21. Vecchio, G., Tricarico, L.: May the force move you: roles and actors of information sharing devices in urban mobility. Cities 88, 261–268 (2019) 22. Klunzman, K.: Keynote speech to Intereg III Mid-term Conference, Lille. In: Regeneration and Renewal, 19 November 2004, p. 2 (2004)

Social Innovation in Productive Assets Redevelopment: Insights from the Urban Development Scene Federica Scaffidi(&) Institute of Urban Design and Planning, Leibniz Universität Hannover, Herrenhäuser Strasse 8, 30419 Hannover, Germany [email protected]

Abstract. Urban planners, geographers and architects have long examined experiences of regeneration of neglected areas and abandoned assets. Nowadays, the European experiences are oriented towards a new metropolitan perspective that includes innovative approaches and strategies of socially innovative redevelopment. A relevant role is played by non-profit entities whose ambition is to create new socio-economic and cultural values, affecting the urban space. This paper aims to provide a valuable insight about the spatial dimension of social innovation through the analysis of a specific case of brownfield re-cycling. Through qualitative and quantitative methodologies, with exploratory surveys, interviews and demographic analysis, the research shows the experience of the reactivation of the Spinnerei cotton mill of Leipzig (Germany). The results illustrate how social enterprises become activators of the urban development process and links between local community and municipality. Furthermore, the research argues that these hybrid practices need to be oriented and classified, defining new approaches of urban planning in collaboration with social enterprises and creating an innovative network between the different stakeholders. Keywords: Assets re-cycling
Socia innovation
Urban development process

1 Introduction Nowadays, contemporary literature aims to re-discuss the methodological and practical approach to the development of resources in a state of neglect, adopting new methods with a multi-scale, proactive and more inclusive approach (Areces 2007; Carta 2016; Schröder 2018; Mangialardo and Micelli 2016, 2020). Urban planning processes and tools have to change their paradigm and invest in new strategies for the reactivation of disuse and neglected sites (Schröder 2017). As Carta affirms (2017, 96): «[…] It is not enough, therefore, to pump recycling sensitivity into traditional processes of urban and territorial planning. We need a disruptive innovation of urban planning processes and instruments: we need an eco-systemic planning approach based on a paradigm shift, as it must act at the same time on production materials in disuse or abandoned ones (areas undergoing deindustrialization, factories consumed by the crisis or transitioning agricultural areas), on logistic materials (railway and industrial areas in decline or © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1003–1011, 2021. https://doi.org/10.1007/978-3-030-48279-4_94

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undergoing functional refurbishment), and on housing areas left empty in small depopulated towns» . Many of these assets are in decline or in stay of progressive abandonment. These resources should be reactivated, creating new life cycles for the specific resource and for its context (Bocchi and Marini 2015; Micelli 2014). This research focuses on the development of productive sites in a state of decay and/or neglect by means of social innovation practices. The re-cycling strategy invites to produce new values for the assets and the surrounding, developing socio-cultural benefits for the community and creating new economies, jobs and tourist flows (Scaffidi 2019a, 2019c). According to Bocchi (2014, 482): «In this sense re-cycle combines closely with the legacy of the past, but researching in such legacy or “tradition” seed of the future, in favour of new evolutionary processes. Within this perspective even the “keepsakes”, more or less useless, more or less affectionately preserved – whether abandoned or obsolete infrastructures or buildings – become valuable assets for the project, because the novelty of re-cycle, in relation to other more or less traditional concepts such as those of rehabilitation, reuse, regeneration, or even mending and repair, lies precisely in this creative and re-inventing capacity […] which reports to deeply humanistic and not flatly technical dimension the process of architectural, urban-territorial, landscape re-cycling. Far beyond “modification”, in favour of a more substantial and ambitious re-invention or re-creation» . In accordance with the development of a cyclical process for the site, the local community would have an important and active role in the development of the place over time (Scaffidi 2019c). Citizens’ involvement can be activators of cultural heritage re-cycling, especially about productive sites. Brownfields are effectively examples of heritage whose value is hardly recognised. For this reason, social activities can help to restore the local identity of these sites, make the community aware of the values of productive assets and changing their negative image perceived by the community. The ensuing abandonment has therefore created “monsters” scattered across the territories, further reinforcing the common misconception of ancient industrial vestiges as a dangerous and degraded environment. On the contrary, this cultural heritage consists of specific and unique examples of the tangible and intangible heritage related to the productive, mining and industrial activity. Therefore, it is necessary their maintenance and development by implementing “integrated conservation” processes, in accordance with the “Amsterdam Declaration” (1975). Urban planning tools and processes should promote the active participation of stakeholders, in order to sensitise people to the recycling of these assets and avoid the renewed abandonment after renovation. The present article contributes to this debate, trying to reverse this attitude, contributing to the rediscovery of these cultural resources and fostering increased social innovation in maintaining and re-cycling these commons. The paper has the goal of creating a scientific model that promote and innovative local development process, considering the different scales of intervention and encouraging a fruitful interaction between the community and its surroundings. The research presented here is not considered a final result, but it aims to provide a contribution to the existing body of knowledge and the basis for future elaborations.

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Brownfield Sites as Assets in a State of Disuse

Cultural assets in a state of neglect or decay are in dire need of redevelopment. These resources are part of human cultural heritage even though time and vicissitudes have defaced them. For this reason, it is in the interest of the human beings, of researchers, local specialists and inhabitants to preserve and reactivate them. In this context, the paper focuses on a subcategory of this heritage, namely related to productive areas. Communities often overlook this type of architectural remains despite their high potential. Areces1 (2007) once remarked that the Pyramids or the Parthenon are perceived by citizens as part of our universal history, on the contrary an iron factory or a textile factory or a hydraulic system are more rarely considered as rightful elements of cultural heritage. Brownfields are effectively perceived as degraded, as a sign of brute human spoiling of the beauty of nature. This is a reason why communities often do not recognise the value of these resources to the point of wishing to tear them down. Therefore, it is important to sensitise people to the development of these resources by a different approach which consider these resources as commons. It is necessary to create an ad hoc methodology, a multi-scalar and open procedural process for the re-cycling of these assets and their context. Especially former productive resources, that have been subject to irreparable damage, have been marred and reduced to empty shells (chimneys) due to the indifference of nearby populations and cultural institutions. Even when they were reactivated, these assets were not always oriented to well thought-out uses, rather they were subject to economic and political interests which prevented appropriate enhancement and conversion measures. Although redeveloped, these landmarks often fall back into abandonment or misuse because local communities are not properly engaged in the process. As pointed out by Arena and Iaione (2012), it is essential that the ongoing political debate about management and maintenance of cultural heritage in Italy introduces new principles, and organisational models drawing on governance techniques. People, citizens and associations should work towards a common goal; all subjects should work in a collaborative and cooperative effort to devise innovative solutions, reconciling individual and collective interests (Arena and Iaione 2012; Tricarico and Pacchi 2018; Tricarico 2017). The involvement of local stakeholders in reactivation processes, especially regarding neglected resources can reduce conflicts and creates a sense of community able to creating an effective development over time of the site as evidenced by good practices of contemporary literature, such as the Spinnerei cotton mill in Leipzig.

2 Research Design and Methods Considering the purpose of this paper, the analysis of the Baumwollspinnerei has been carried out through a mixed methods study. In this regard the research methodology was structured in two main parts: indirect and direct investigation. The first part was oriented to the literature review and demographic analysis, focusing on the different 1

M. A. A. Areces: former lecturer at the University of Oviedo (Spain), currently president of the INCUNA association (Industry, Culture, Nature) and TICCH Spain.

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research strands about the redevelopment of neglected assets, the state-of-the-art regarding the reactivation of the Spinnerei cotton mill, the analysis of the population structure (aging index, labour force dependency ratio) and the demographic trend of the city of Leipzig. For this phase, a quantitative research method was adopted. The second part was developed following a qualitative methodological approach, through dialogic surveys and semi-structured qualitative interviews to local actors, in order to observe and understand the urban spaces of the cotton mill area. The data collected from surveys, interviews, literature review and demographic investigation were useful for framing the case of the former cotton mill and analysing it through the theory of the socially innovative re-cycling (Scaffidi 2019b). The research, therefore, aimed at analysing the case through the theoretical and empirical points of view, studying the site and its demography, speaking with people, interviewing local actors such as the director of Halle 14, Michael Arzt and observing how this intervention affected the urban space. Considering this aim, the research was based on the following questions: How was redeveloped the Spinnerei cotton mill? How social innovation influenced its redevelopment? What are the effects on the local territory? Starting from the research findings, is it possible to develop new approaches for the urban development process and the stakeholders’ engagement?

3 Social Innovation in Neglected Brownfields: Baumwollspinnerei in Leipzig The Spinnerei cotton mill (Baumwollspinnerei) is located in Germany, in an industrial district of Leipzig (state of Saxony). As can be seen in Fig. 1, the municipal demographic trend is characterised by a growth trend, with a positive variation of 15% (Scaffidi 2019a).

Fig. 1. Demographic trend of the municipality of Leipzig. Source: Author’s elaboration based on www.population.city/germany/leipzig/

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From the analysis of the demographic indicators, it is possible to verify the aging level of the population with a high aging index of 137. The findings show a social and economic burden of the non-active population (0–14 years and 65 years and over) on the active population (15–64 years) of 68, greater than the German national average of 52 (Scaffidi 2019a). Therefore, the research results illustrate an age dependency ratio where there are 68 non-active people every 100 workers. On the other hand, the study reveals a labour force dependency ratio (the aging level of the working-age population) of 41. In this demographic context is located the former Spinnerei cotton mill. The paper focuses on the reactivation of this former productive area supported by the interest of the local community, social enterprises and administration. Baumwollspinnerei was built between 1884 and 1907 (Second Chance 2013), but on 1993, the production activity was stopped and a progressive process of abandonment negatively impacted the place. Thanks to the administration’s decision to facilitate the rents at reduced prices, many artists and craftsmen settled in the cotton mill spaces giving it a second chance and creating a new direction in its development (Cottino and Zeppetella 2009; Natoli et al. 2016; Scaffidi 2019a). The Baumwollspinnerei (Fig. 2) have been reactivated thanks to theses social enterprises that created new life cycles with a high cultural vocation.

Fig. 2. Spinnerei cotton mill. Source: Author’s elaboration.

As Michael Arzt stated during an interview, the turning point in the redevelopment process occurred when in 2001 the company “Leipziger Baumwollspinnerei Verwaltungsgesellschaft mbH” acquired the entire property and promoted a development policy based on arts, culture and creative industries (Scaffidi 2019a; Second Chance 2013). Starting from this strategic reactivation, many initiatives have been promoted to recycle other neglected urban areas of the neighbourhood, giving rise to a progressive urban regeneration of the site (Cottino and Zeppetella 2009; Natoli et al. 2016). The

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lively and creative nature of the cotton mill is clearly expressed in its cultural activities, that make this place a combination of artistic experiences, exhibitions, workshops, and socio-economic activities. Its spaces are part of the city, where students, workers, professors, artists and tourists live together this heterogeneous place (Fig. 3).

Fig. 3. The cotton mill life. Source: Author’s elaboration.

The Spinnerei cotton mill generates socially innovative initiatives, hosting business incubators, entrepreneurial and non-profit activities, which contribute to creating an international, challenging and innovative place. One focus of this cultural engine is Halle 14 (Fig. 4). An open, inclusive and collaborative space located in building no. 14, managed by the Federkiel Foundation, a social enterprise whose ambition is to develop artistic events and community involvement (Scaffidi 2019a; Second Chance 2013). Halle 14 is not only a contemporary art centre, it is also a space for conferences, workshops, cultural initiatives aimed at stimulating the debate among people about culture and the effects on the urban site. Halle14 is a place for networking and sharing, thanks to the initiatives promoted and the environments that have been created. One of these places is the library of contemporary art, a space for artists, researchers, students and art experts. As pointed out by Michael Arzt, Halle 14 is one of the many examples of social innovation and culture in the reactivation of the cotton mill spaces. Baumwollspinnerei became an artistic district and a cultural engine for the surrounding area and it has given rise new life cycles with innovative economies, sociocultural environments and spaces of entrepreneurial innovation (Garcia-Zamor 2013; Natoli et al. 2016). It positively affected the social context, since the Municipality of Leipzig has started a financing program that involved unemployed people (Scaffidi 2019a). To date, these peripheral neighbourhoods of Leipzig have become lively places

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Fig. 4. Halle 14. Source: Author’s elaboration.

with many creative initiatives, murales and artistic events that encouraged residents and workers to move to this part of the city. The municipality, indeed, carried out an urban creative strategy for the integrated urban development program, giving an active role to arts and culture. The whole process promoted an urban development of this site, recycling neglected spaces, maintaining and preserving the building of the cotton mill, involving young people and unemployed, attracting new financial resources able to create an innovative development of the asset over time.

4 Conclusions. New Visions for the Urban Development Discipline Contemporary literature and the selected case study show how social innovation and cultural assets re-cycling contribute to local development. As shown in the following diagram (Fig. 5), the interaction between cultural resources management and the social approach can promote good practices that improve social, cultural, economic and touristic development of the place and it contributes to the creation of restored realities. The renovated sense of belonging to the place make the community proud of the site in which they live and work, and create active citizens involved in the urban regeneration processes. The sense of community encourages the reactivation of local resources and neglected spaces, thanks to the new perception of the places as assets to be enhanced and redeveloped, considering them as common goods. In this scenario, brownfields are considered as neglected resources that can be reactivated over time if a processual, strategical and collaborative approach would be adopted by local administrations, social enterprises and community. The citizens’ involvement in the reactivation of

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abandoned assets have an important role for local regeneration and the development of socio-economic benefits and innovative realities. For this reason, an innovative approach should be carried out, using new forms of cooperation, technologies and interactions between communities, activists, researchers and administrations, that mutually influence their development. The urban planning should define new reticular, transversal and open trajectories, able to integrate in its planning processes and policies multi-levels and interdisciplinary interventions, and stakeholders’ involvement in order to develop the socially innovative re-cycling of neglected assets. In conclusion, this research is not conceived as a final report, but it aims to provide a contribution to the existing body of knowledge and provide the basis for future tools able to influence urban policies, community life styles and other local stakeholders.

Fig. 5. Conceptual diagram. Source: Author’s elaboration. Acknowledgements. The author of this article acknowledges the support and information provided for the research by the Spinnerei cotton mill and Michael Arzt. The author would also like to thank the anonymous reviewers for their constructive feedback. Declaration of Conflicting Interests The author declares no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.

References Areces, M.A.A.: Arqueología Industrial. El pasado por venir. Cicees, Gijón (2007) Arena, G., Iaione, C.: L’Italia dei beni comuni. Carocci Editore, Roma (2012) Bocchi, R.: Re-cycled paper. In: Marini, S., Santangelo, V. (eds.) Re-cycle. Op_Positions I, Aracne Editrice, Roma, pp. 13–21 (2014) Bocchi, R., Marini, S.: Re-cycle Italy. Alla ricerca di nuovi cicli di vita per i territori dello scarto e dell’abbandono. Techne, n. 10, pp. 16–18 (2015)

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Carta, M.: Innovation, circularity and local development. In: Carta, M., Lino, B., Ronsivalle, D. (eds.) Re_cyclical Urbanism. Visions, paradigms, projects for the circular metamorphosis, List, Trento, pp. 92–103 (2016) Cottino P., Zeppetella P.: Creatività, spazi pubblici e riuso sociale degli spazi, Forme di sussidiarietà. In: Cittalia, Fondazione Anci ricerche (2009) Garcia-Zamor, J.: The Role of Cultural Promotion As an Integral Component of Leipzig’s Urban Development. Urban Studies, pp. 87–91 (2013) Second Chance, Revitalisation through arts and culture. New developments for 5 european industrial complex, Central Europe Cooperating for Success (2013) Mangialardo, A., Micelli, E.: Social capital and public policies for commons: bottom up processes in public real estate property valorization. Procedia Soc. Behav. Sci. 223, 175–180 (2016) Mangialardo, A., Micelli, E.: The role of the social entrepreneur in bottom-up enhancement of Italian public real-estate properties. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation of the Management of Contemporary Cities. Springer (2020) Micelli, E.: Il recycle come opzione e come necessità. Le condizioni economiche del riuso tra stagnazione e ripresa. In: Marini, S., Santangelo, V. (eds.) Re-cycle. Op_Positions I, Aracne Editrice, Roma, pp. 142–151 (2014) Natoli, C., Pironti, M., Pisano, P.: Eredità industriale, smart factory e attività culturali e creative. una proposta sostenibile fra tutela e rigenerazione. In: XXXVII Italian Conference Proceedings Scienze Regionali, pp. 1–21, Ancona (2016) Scaffidi, F.: Il ri-ciclo socialmente innovativo del cotonificio Spinnerei di Lipsia come un’opportunità per definire nuovi scenari di sviluppo urbano. inFolio, pp. 58–62 (2019a) Scaffidi, F.: Re-cycle Italy: un nuovo paradigma per la riattivazione delle aree depotenziate e in disuso. inFolio, pp. 38–42 (2019b) Scaffidi, F.: Soft power in recycling spaces: Exploring spatial impacts of regeneration and youth entrepreneurship in Southern Italy. Local Economy, pp. 632–656 (2019c) Schröder, J.: Open habitat. In: Schröder, J., Carta, M., Ferretti, M., et al. (eds.) Dynamics of Periphery, pp. 10–29. Jovis, Berlin (2018) Schröder, J.: Towards an architecture of territories schröder. In: Carta, M., Ferretti, M., Lino, B. (eds.) Territories. Rural-Urban strategies, pp. 14–35, Jovis, Berlin (2017) Tricarico, L.: Community action: value or instrument? an ethics and planning critical review. J. Archit. Urbanism 41(3), 221–233 (2017) Tricarico, L., Pacchi, C.: Community entrepreneurship and co-production in urban development. Territorio 87, 69–77 (2018) Population City Leipzig. http://www.population.city/germany/leipzig/. Accessed 06 Jan 2019

Opportunities and Challenges of Social Innovation Practices in Urban Development and Public Real Estate Management. Italy as a Case Study Mara Ladu1(&) and Silvia Bernardini2 1

2

University of Cagliari, Via Marengo 2, 09123 Cagliari, Italy [email protected] SKY WALKER S.r.l, Via Broseta 67/E, 24128 Bergamo, Italy [email protected]

Abstract. The reuse of public real estate assets has long been at the core of the political agendas of various governments, called upon to develop strategies to restore functionality to a substantial number of buildings and open spaces subjected to divestment phenomena. This is an arduous challenge because of the effects generated by the 2008 economic and financial crisis, but also because of the difficulty of public entities in identifying new uses that meet the needs of contemporary society. To deal with these issues, Italian politics has implemented a series of initiatives aimed at applying the principle of subsidiarity, introduced by the Constitution itself. Horizontal subsidiarity is the basis for testing new social innovation practices aimed at promoting social inclusion, creativity and youth employment. This contribution aims to demonstrate that public real estate can represent an extraordinary resource to support bottom-up initiatives and to redesign the urban geography of a new collaborative welfare system. After examining the state of the art, the contribution analyzes the main tools adopted to regulate forms of care and collaborative management of urban common goods, which constitute the basis for supporting new social innovation practices. The QuxQu project represents an interesting experiment of applied design thinking that opens up new reflections on the possibility of guaranteeing an economic sustainability of the process and its diffusion in the local context, also in order to activate virtuous processes of reuse of public real estate assets and regeneration of entire neighborhoods (The paper derives from the join reflections of authors. However, Sects. 1 and 2 can be attributed to Ladu M.; Sects. 3 and 4 to Bernardini S.; Sects. 5 to Ladu M., Bernardini S.). Keywords: Social innovation


Public real estate
Urban regeneration

1 Introduction The issue of reuse and enhancement of public real estate assets has long been at the core of international political agendas [1–3]. The frequent divestment phenomena have in fact required the various entities to develop ideas and strategies to restore © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1012–1022, 2021. https://doi.org/10.1007/978-3-030-48279-4_95

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functionality to a substantial number of assets (buildings and areas) belonging to the State and to other public bodies [4, 5]. This request is becoming increasingly pressing also in light of the sustainable development objectives to be pursued worldwide [6], and the principles of efficiency, effectiveness, decentralization and transparency introduced by the theories of New Public Management and Public Governance to restructure the public administration system [7, 8]. However, restoring functionality to significant assets in terms of size and values appears to be an arduous challenge in Italy, not only because of the 2008 economic and financial crisis, which led to the contraction of public resources and private investments, but also because of the structural problems affecting the Italian political system, including [9–12]: the deficit of knowledge about the public assets; the lack of a longterm management strategy and of a clear regulatory framework; the objective difficulty of public administrations in identifying new uses in line with the needs of the society. To cope with these situations, Italian politics has implemented a series of initiatives aimed at promoting the enhancement of the state assets, in line with the development dynamics of their respective urban and territorial contexts [13]. Within this framework is inserted the ordinary and cultural Federalism, which allows the Territorial Bodies to become owners of the state buildings, abandoned or not used at best, falling within their territory, in order to plan future reuse within larger urban redevelopment and regeneration schemes. The Federalism policy intends to apply the subsidiarity principle, which has its origins in the constitutional dictate. In fact, the Italian Constitution identifies the recognition of local autonomies among the fundamental principles, to be implemented through the administrative decentralization of state services (Italian Constitution, Art 5). Although this principle falls within the logic of vertical subsidiarity, which is expressed in the process of decentralization of competences towards the entities closest to local communities, considered the most suitable to detect and respond to individual territories, in recent decades Italian politics has opened up broader perspectives. Following the reform of Title V of the Constitution of 2001, the State and the other territorial entities are called to favor the autonomous initiative of citizens, individuals and associates, for the performance of activities of general interest (Italian Constitution, Art 118). This important cultural advance, already foreseen in the Law n. 328/2000 [14], introduces the principle of horizontal subsidiarity in the constitutional dictation, which takes the form of active involvement of citizens, individually or in association, in institutional tasks and administrative functions, that is to say in decision-making processes and activities directly incidents in their living context [15]. This principle was further strengthened by the subsequent Law Decree 12 September 2014, n. 133 which gave municipalities the opportunity to collaborate with citizens and the third sector for implementing proposals in territories to be redeveloped. The legitimization of the civil society initiatives in developing activities of public interest represents a great opportunity for the growth of the country, especially in a moment of austerity which has caused a profound crisis in the welfare state system [16]. Within this framework, institutions and public bodies are progressively recognizing in the world of associations and the third sector a privileged interlocutor, which has been recently invested by an important reform process [17].

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The principle of horizontal subsidiarity outlines a framework of new opportunities and opens up a series of bottom-up experiments in terms of the temporary use and management of public real estate assets [16, 18, 19], to be understood in the renewed meaning of urban common goods [20]. Social innovation can be a determining factor in triggering forms of reuse of public spaces [21], as well as more complex processes of physical, economic and social regeneration of entire neighborhoods. In fact, the effects generated by the 2008 financial crisis, together with the progressive development of a new economy based on culture, knowledge and innovation, has led to significant transformations in social welfare systems and employment offer, also to respond to emerging social needs. New job opportunities arise from creativity and youthful innovation, always more frequently linked to technological progress and its application in all fields of human life. These phenomena have direct impacts on our cities: groups of citizens, neighborhood associations, cooperatives and other forms of organization promote processes of urban transformation [22], of reuse of public buildings and sites in different ways, creating new typologies of spaces, functions and facilities (cohousing, bad-sharing, community hub, co-working, fab lab, start-ups etc.). Based on these considerations, this contribution explores the concepts of horizontal subsidiarity and the common good introduced in Italy, illustrating the contents of the main tools adopted to encourage the care and collaborative management of urban common goods within a system of shared rules (Sect. 2). Furthermore, it examines the QuxQu project - the Neighborhood for the Neighborhood, to be understood as an applied design thinking experiment (Sect. 3) and identifies future developments (Sect. 4), also in reference to the role that social innovation plays or can play in activate virtuous processes of reuse of public real estate assets and urban regeneration. Finally, the last paragraph discusses the research results and conclusions (Sect. 5).

2 Collaborative Management of Urban Common Goods in Italy The principle of horizontal subsidiarity introduced with the reform of Title V of the Constitution represents an important element of innovation in the public administration system, allowing a wide potential for improvement in the offer of public services. Horizontal subsidiarity is also expressed in the forms of collaboration between public administrations and active citizenship to ensure effective management of public real estate assets [23] and, more generally, of the so-called “common goods” [24]. This expression was introduced into the Italian regulatory dictation by the Delegated Bill presented in 2008 by the Commission chaired by Stefano Rodotà. In reforming the codicistic discipline of public goods, the Delegated Bill distinguishes three categories of goods: common goods; public goods; private property. Common goods are defined as «things that express functional utility for the exercise of fundamental rights as well as for the free development of the person», whether they belong to public or private subjects. For this the collective use must be guaranteed, as well as the safeguard for future generations. Furthermore, if the owners are public legal entities, the common assets are managed by public entities and are placed out of business. The concession is

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allowed only in the cases foreseen by the law and for a limited duration, with no possibility of extensions. The theme has also been addressed on a local scale, with reference to the urban dimension. In fact, local administrations are increasingly inclined to encourage the participation and involvement of active citizenship not only in socio-cultural initiatives but also in the management of disused public buildings and open spaces [16]. At the same time, an institutional and administrative culture is emerging that is careful to integrate the practices of temporary reuse and collaborative management of urban common goods into public policies, while numerous experiences have bridged an effective technical-administrative, managerial and regulatory gap attributed to these forms of use, considered experimental and precarious until today [25]. Within this framework, one of the most interesting results of this renewed approach to public real estate management is the adoption, by many Italian cities, of the “Regulation on collaboration between citizens and administration for the care and regeneration of urban common goods”, drawn up in 2014 by the Labsus association Subsidiarity Laboratory, in collaboration with the Municipality of Bologna [19, 26]. The Labsus Regulation, updated in 2017 [27], defines urban and rural common goods as «the tangible and intangible assets, public and private, that citizens and the administration recognize as functional to the well-being of the community and its members, the exercise of fundamental human rights and the interest of future generations, consequently taking action towards them pursuant to article 118 paragraph 4 of the Constitution, to guarantee and improve their individual and collective enjoyment». It establishes principles and methods to be followed in order to foster an effective collaboration between institutions and citizens in the public real estate management, which it is intended to regenerate, even only temporarily, through bottom-up initiatives aimed at promoting urban creativity, social innovation or production of services, pending the establishment of final uses. The heart of the regulation is the “Collaborative Pact”, with which the Municipality and citizens agree on the methods for carrying out interventions on urban common goods, ranging from occasional care, to constant and continuous care, up to collaborative management and regeneration projects [27], paying attention to define uses compatible with potential historical and architectural values [28]. The Collaboration Pact defines the objectives and duration of the collaboration, the methods of collective enjoyment, but also the consequences of any damage to people or things. Recent experiences highlight how the cultural and social initiatives, regulated by the Collaboration Pact, contribute to filling many public spaces in a state of abandonment with new meaning, even within more complex urban regeneration schemes [16, 29]. The same State Property Agency promotes the Temporary Use projects for the enhancement of public real estate assets [30]. It is a process of revitalizing the state’s real estate assets for social, cultural and economic purposes, even in the presence of an already defined enhancement program. The Agency selects the private operators (entrepreneurs or associations) to whom to entrust the properties and start the reuse path for a variable period (minimum 6 months) during which the public use is guaranteed. In fact, it is an initiative aimed at reactivating the heritage pending the necessary interventions to guarantee a new functionality. This is the case of the project for the temporary use of the Palazzo Fondi, a building of great historical and artistic value in

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the heart of Naples, long since disused, intended to host the new AGCOM headquarters. The Agency together with Ninetynine Urban Value have chosen to temporarily return these spaces to the citizens by converting them into a multifunctional and transitory place that welcomes international exhibitions, vernissages and events (Fig. 1 a, b).

Fig. 1. a, b. The “PAM - Photo Art Market” event hosted from 17 to 19 May 2019 in the courtyard of Palazzo Fondi, via Medina, 24 - Naples.

The Labsus Regulation, together with the framework of policies and projects implemented by central and local public administrations, represents a great opportunity to promote social innovation, to manage bottom-up initiatives of cultural and social interest, also through the reuse of public spaces, opening to new experiences capable of redesigning the urban geography of the rising collaborative welfare. In the following paragraph, the authors examine a social innovative practice in the Municipality of Bergamo, where the social activity carried out by the association QuxQu could ensure a significant offer of services in the future, many of which could be located in disused public assets, thus developing a widespread network in city neighborhoods. The unicity of this Social Innovative practice is that we deduct design thinking activity, but talking to the creator, He didn’t really Know what design thinking is…

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3 Business Case. QuxQu: Applying Design Thinking to Social Contest Thanks to a demographical research regarding the city and its neighbourhoods realized by CAIRE for the Municipality of Bergamo in 2017, the architect Mario Beltrame [31] analyzed the composition of the inhabitants of its neighborhood, San Paolo, and matched the resulting data. This gave evidence to a highly livable area, also in the classic facilities that make a safe place rather than in a building operation to revalue the property, as well as in a desire of the inhabitants to work with a view to social networks to guarantee 360° services and livability. In this context were born reflections and discussions about the French project “Lulù dans ma Rue” (a neighborhood newsstand project where everyone could access to find solutions to everyday problems) probably thanks to the fact that in a territory where there is the possibility of relationship there is also the ability to go beyond the appearance of good living and the mere aesthetic sense, in favour of a shared research for a serenity of living rightly based on mutual knowledge and trust. The Quxqu project [32], therefore, arises from the matching between neighborhood needs, the desire to improve the relationship, restore the concept of trust, to the advantage of those who have problems of time and/or loneliness, restoring small service activities that allow disadvantaged people or in work difficulties, to spend their time performing a service to the community and recovering small fees to manage moments of difficulty. The format was born, together with the name (Neighbourhood For Neighbourhood, so the acronym “Quxqu”) in the sustainable logic of a commitment of the Neighborhood to the Neighborhood, creating a format that can be easily repeated in the concept (restore trust by improving the livability of the neighborhood) but differentiating itself for the intrinsic need of each living area, and consequently modulating different types of service, applying the divergent/converging classic themes of design thinking [33] in an experimental and unconscious way. If Quxqu seems an isolated case, the methodological process that led to the creation of what seemed to everyone little more than a fantasy, that is, a consolidated service in the area, should not go unnoticed. But where did the divergence of design thinking not work well? To date, surely in terms of sustainability. If this idea had matured not on the level of social value but on a possibility of business development (as in fact some “NextDoor” [34] or “Togoodtogo” [35] webapps are being realized), economic sustainability would have been the first milestone to kick off to a more in-depth study of the business model, and probably to intervene on the operations linked to the implementation of the service. But the need to intervene on a social level has overshadowed this aspect (right or wrong), leading it to be taken into consideration only too late, i.e. when requests for services (which arrive on voluntary mobile phones) do not have a time or an “education” to time management, and therefore they put the “switchboard operators” in trouble and that sometimes extra price lists are required which could be considered as new services, but which in fact need reflection and running in defining the cost and in the implementation (where it is worth it). An unordered procedure between proposal-feedback-request-activation-feedback-definition of cost-sale service, which is not yet affected by planning and a proposal ordered on the market. Nothing new for those who know well in the context of the medium and small Italian

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companies, where the need is perhaps to throw your head down and work, without realizing where the market strategies are going and where the lack of cost management is likely to lead, because in terms of capacity and economy, the processes are not clearly traced and everyone finds themselves doing everything a little without precise coordination, with the only purpose of reaching the end of the month.

4 QuxQu: The Year After… So, the question is: what does Quxqu support to date? Certainly, people and relationships, the ability to donate time and at the same time to identify new services, but above all the possibility of accessing calls for tenders and microfinance from the individual municipal administrations. So, a first obstacle to overcome is linked to the economy, that is, to think about what new economic strategies can be to make the project sustainable. For example, in the logic of facilitating people with different abilities, willing on the one hand to make themselves useful and on the other to recover money by exploiting skills that have never been valued, the fund of the Municipality or a tax exemption of the business makes more sense, as happens in France? On a territorial level, what can be the vacant spaces that the municipality can allocate to let the staff organize back office activities that affect the organization of Quxqu’s services? And in the logic of the exchange, where the same spaces need maintenance, which tools can be accessed to provide labor and activities without affecting the economy of scale too much? But above all the constant divergence that leads to always recruit new people and to implement the list of possible services, what is converging towards? If the goal is only and only social in nature, the project economy should not provide the circulation of money. This thing would suddenly wipe out the problem of taxation, company name and the duties related to the administration of an association which, however small, has a budget deposit obligation (under Italian law). But if the need is the reintegration of forces excluded from the world of work and at the same time revitalization of neighborhoods thanks to the recovery of the relationship and trust as an extrinsic value, then the project must necessarily be reviewed on an economic (not profitable but sustainable) basis and articulated with a business model that guarantees its survival independently from the time dedicated by the volunteers. And it cannot remain a single neighborhood operation, but must necessarily co-create moments of sharing experiences, and sharing learning activities with other similar projects, otherwise it will not evolve in the correct way, that is, in the sharing of the needs of all the stakeholders who participate, both of those who it benefits by necessity, by those who participate in it by necessity or for pleasure, by those who speak of it as a highly efficient city instrument. Perhaps then the materiality matrix recently adopted in various areas (from school, to public administration, to the company) could become a critical but adequate tool for effective measurement of how Quxqu can imagine its own path of growth, out of the standards entrusted so far, but more productive and more focused on the survival of value as the main trust, and the economy as an end for the sustenance of the activities that lead to the correct realization of the services. In the logic of materiality, however, the Kpi’s are still to be understood and discovered: if company margins and turnover

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rise in the highest positions for reasons of worker retention and continuous productive activity, on the level of external communication what could be adopted for the social project that regenerates “workers out of the market” and empty spaces starting from turnover as a necessity? It is a question ahead of time, because to date perhaps the only real problem of Quxqu project, as of the format, is visibility. A visibility of an integrative model of restoration of a social value for the construction of a conscious and evolved middle class. But as long as Quxqu remains the “neighborhood toy” of those who work to arrogate the authorship of the idea, instead of generating sharing and reflection of a wider range and style, the model will follow only and only the requests that will come from the market, instead of reviewing the garrison activities working together with other contexts to anticipate needs and achieve a more formal and profitable recovery of social value. At this point, let’s ask ourselves, in particular about Bergamo, if politics has helped the project or not. Maybe, politics is the freezing element of a project of this type, because it is primarily concerned with the prestige of the communicability of the output. It could help, but this would imply constant reflection, questioning of ideas, a continuous struggle to facilitate and create a new form of taxation, absolutely not compatible today with both the company and with the revolution of the third sector (especially in Italy) which in fact aims to wipe out the innumerable small realities within which who knows what forms of evasion nestle … So, what could bring Quxqu out of context looking for new practices? Certainly, the network, which however must be managed, followed and involves costs, which should be the result of a collective profit and not of a voluntary expenditure of individuals. Can you twist the model? Everything can be done, with the risk on one hand of upsetting the work team, on the other of losing the ‘bohemian charm’ of what many believe should be the true social spirit. But in a world like ours, where there is a need for good practices like air, a change like this is probably the more necessary the more you believe in the social project: trust and sustainable regeneration for a better world for everyone.

5 Conclusions The contribution highlighted the significant cultural evolution that has taken place in Italy regarding vertical and horizontal subsidiarity, which has led to a progressive restructuring in the public governance of central and local authorities. The decentralization of state functions and services to government bodies closest to local communities has led to a profound restructuring of the public administration system and decision-making processes, including in the field of management of public real estate assets. This process then extended to involve the local populations themselves, the whole world of associations and the third sector, for the performance of activities of general interest, up to tracing the characteristics of a new collaborative welfare system. Within this framework of clear social innovation, disused or underused public spaces could represent a strategic resource to support the implementation of bottom-up initiatives within a current framework of rules, which in Italy is currently expressed within the Labsus Regulation, adopted by more than 200 Italian cities.

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The experience of the QuxQu association in Bergamo is a clear example of social innovation and applied design thinking. The association was born from the matching between neighborhood needs, the desire to improve the relationship, restore the concept of trust, to the advantage of those with problems of time and/or loneliness, restoring small service activities that allow people in need or in difficulty work, to spend their time performing a service to the community and recovering small fees to manage moments of difficulty. This contribution highlighted the strengths and weaknesses of the experience over a year of activity. An important obstacle is linked to the economic and financial sustainability of the project, which requires thinking about new economic strategies that go beyond the financing guaranteed by the Municipality. Secondly, a challenge not to be underestimated concerns the projection of the associative activity on a territorial level, and therefore its organization in the neighborhoods of the city. This aspect leads to think about the vacant spaces that the municipality can allocate to Quxqu’s activities to implement the offer of services and the tools necessary to regulate forms of use and collaborative management of the same common goods. The Municipality of Bergamo adopted in 2016 the Regulation for collaboration between citizens active and the administration for the care and regeneration of urban common goods. This political choice opens up a series of interesting perspectives, also in reference to the evolution of the QuxQu project. The opening of local governments towards new forms of collaboration with active citizenship is an expression of the renewed awareness that disused public real estate assets will be continue to perform the prominent role as a urban reference point only if host those functions able to address the demand of contemporary society, such as for spaces for all services attributable to the new collaborative welfare, but also to support start-ups and activities identifiable in the new frontier of industry 4.0.

References 1. Manase, D.: Public Sector Property Asset Management. Wiley, UK (2015) 2. Kaganova, O., Telgarsky, J.: Management of capital assets by local governments: an assessment and benchmarking survey. Int. J. Strateg. Property Manag. 22(2), 143–156 (2018) 3. Migliore, A.: Valorisation of public real estate. From strategies selection to the proposal of a procedural model for enhancement (2019) 4. Imbesi, P.N.: Il “riqualificar facendo” e le aree dismesse. Il senso di un’esperienza di progettazione partecipata. Gangemi Editore, Roma (2012) 5. Abis, E., Ladu, M.: Il paesaggio della città pubblica. Il patrimonio immobiliare e il sistema del verde nella città storica. In: Abis, E. (eds.) Paesaggio storico urbano. Progetto e qualità per il castello di Cagliari, pp. 266–299. Gangemi, Roma (2015) 6. UNGA (United Nations General Assembly): Transforming our world: the 2030 Agenda for Sustainable Development. Resolution adopted by the General Assembly on 25 September 2015. A/RES/70/1 (2015) 7. Kaganova, O.: Managing government property assets: international experiences. The Urban Institute (2006)

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8. Marona, B., van den Beemt, A.: Impact of public management theory on municipal real estate management in Netherlands and Poland. European Real Estate Society (ERES), p. 317 (2018) 9. Falanga, C., Cuzzola, E., Nasso, I.: La dismissione del patrimonio immobiliare pubblico. Guida pratica per gli enti locali. Maggioli Editore, Rimini (2013) 10. Gaeta, L., Savoldi, P., (eds.): Orientamenti per la gestione del patrimonio pubblico. Documento Società Italiana degli Urbanisti (2013) 11. Ladu, M.: Strategie e strumenti per rigenerare il patrimonio immobiliare pubblico nell’era della Smart City. In: Atti della XXII Conferenza Nazionale ASITA, Bolzano, 2729/11/2018, pp. 609-616. ASITA (2018) 12. Ladu, M., Borruso, G., Balletto, G.: Il ruolo delle piattaforme digitali nei processi di valorizzazione del patrimonio immobiliare pubblico. In: Atti della XXIII Conferenza Nazionale ASITA, Trieste, 12-14/11/2019, pp. 587–594. ASITA (2019) 13. Passalacqua, M.: La gestione patrimoniale: i beni pubblici (2019) 14. Turchini, A. (ed.): Terzo settore e servizi di welfare. Indagine sui provider non profit di servizi sociali. INAPP, Roma (2019) 15. Marchetti, M.C., Millefiorini, A. (eds.): Partecipazione civica, beni comuni e cura della città. FrancoAngeli, Milano (2017) 16. Ladu, M.: Creatività e partecipazione nel governo della Smart City. Il riuso temporaneo e la gestione condivisa del patrimonio immobiliare pubblico per la rigenerazione della città storica del futuro. Smart for City, 1, pp. 6–11 (2019a) 17. Longoni, M.: La Riforma del Terzo Settore: Il nuovo codice del no profit. Class Editori (2018) 18. Mangialardo, A., Micelli, E.: New bottom-up approaches to enhance public real estate properties. In: Stanghellini, S., Morano, P., Bottero, M., Oppio, A. (eds.) Appraisal: From theory to practice, pp. 53–62. Springer, Cham (2017) 19. Ladu, M.: Pratiche innovative di riuso del patrimonio immobiliare pubblico per una città inclusiva. In: Atti della XXII Conferenza Nazionale SIU. L’urbanistica italiana di fronte all’Agenda 2030 per lo Sviluppo Sostenibile, Matera 5–7/06/2019. SIU (2019b). in Press 20. Ostrom, E.: Governing the Commons. The evolution of Institution for Collective Action. Cambridge University Press, Cambridge (2015) 21. Tricarico, L. (eds.): Innovazione sociale. In: Califano, A. (eds.) Cittadini, territori, economie alla prova del digitale Linee guida per trasformare la rivoluzione tecnologica in un’opportunità, pp. 37–45. Fondazione Giangiacomo Feltrinelli, Milano (2019) 22. Tricarico, L.: Impresa culturale, impatto sociale e territorio: nuovi approcci e strategie di sviluppo. In: Caroli, G.M. (ed.) Evidenze sull’innovazione sociale e sostenibilità in Italia: IV Rapporto CERIIS sull’Innovazione Sociale, pp. 107–127. Franco Angeli, Milano (2018) 23. Morollo, F.: Valorizzazione del patrimonio culturale: sussidiarietà orizzontale e prospettive di “democrazia diretta” per lo sviluppo dei territori. DPCE Online 39(2) (2019) 24. Mattei, I.: Beni comuni. Un manifesto. Editori Laterza, Bari (2012) 25. Cantaluppi, G., Inti, I., Persichino, M. (eds.): Temporiuso. Manuale per il riuso temporaneo di spazi in abbandono, in Italia. Altra economia, Milano (2015) 26. Labsus, Comune di Bologna: Regolamento sulla collaborazione tra cittadini e amministrazione per la cura e la rigenerazione dei beni comuni urbani (2014) 27. Labsus: Regolamento sulla collaborazione tra cittadini e amministrazioni per la cura, la rigenerazione e la gestione condivisa dei beni comuni urbani (2017) 28. De Medici, S., Pinto, M.R.: Valorizzazione dei beni culturali pubblici e strategie di riuso. Techne 03, 140–147 (2012) 29. Labsus. http://www.labsus.org. Accessed 30 Jan 2020

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30. Agenzia del Demanio. http://www.agenziademanio.it/opencms/it/progetti/temporaryuse/. Accessed 30 Jan 2020 31. Beltrame Mario Linkedin. https://www.linkedin.com/in/mario-beltrame-93331669/. Accessed 30 Jan 2020 32. QuxQu. http://www.quxqu.org/. Accessed 30 Jan 2020 33. https://it.wikipedia.org/wiki/Design_Thinking. Accessed 30 Jan 2020 34. Nextdoor. https://it.nextdoor.com/. Accessed 30 Jan 2020 35. Toogoodtogo. https://toogoodtogo.it/it. Accessed 30 Jan 2020

Who Drives the Growth? Empirical Evidences from Real-Estate Market Values of 12 Italian Metropolitan Cities Alessia Mangialardo(&) and Ezio Micelli Department of Architecture and Arts, Dorsoduro 2206, 30123 Venice, Italy [email protected]

Abstract. In recent years, Italian government have established metropolitan cities with the aim of recognising the importance of certain territorial poles for national development. With Law 56/14 the national legislator has established ten metropolitan cities grew to 14 in 2015. A few years after their establishment, the development of metropolitan cities has not been the same, but some territories have grown more than others. The aim of the research is to study qualitative and quantitative aspects of urban development and to show an evident signal of different attractiveness of cities. it was investigated whether greater or lesser development of metropolitan cities could be attributed to the high concentration of major activities in some cities or whether the polycentric city model ensured more distributed growth. Real-estate market values have been analysed to validate the research question with the assumption that the change in urban rents was taken as a summary indicator of the different capacity of metropolitan cities to respond to the severe economic crisis between in 2008 and 2012. The results highlighted an important phenomenon of concentration of economic development in the city of Milan, the only one of the twelve cities examined to record a positive change in mean real estate values over the period considered. Keywords: Urban concentration


Polycentrism
Urban development

1 Introduction The growing urbanisation of territories is a widely debated phenomenon at international level. The consequence of the concentration of richness and economic development drivers in some metropolitan areas appears to be an incontrovertible trend. In recent years, Italian institutions have pursued policies to favour some major cities to which a wide network of minor realities can be connected. With Law 56/14 the national legislator has established ten metropolitan cities (Milan, Turin, Venice, Bologna, Genoa, Bari, Naples, Reggio Emilia and Rome, to which, of course, the status of capital is attributed). Palermo and Cagliari have been added and, successively, Catania and Messina. Nevertheless, observing the evolution of cities, it is possible to understand how some of them are more advanced than others. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1023–1031, 2021. https://doi.org/10.1007/978-3-030-48279-4_96

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In their institution, the legislator’s aim was to select poles of reference to bet the development of the country. Six years after their institution, there is no research aimed at investigating the results of this legislative measure. The purpose of the paper is to investigate whether all metropolitan cities have had the same path of economic development or whether their performance has been differentiated, trying to verify, in this case, the reasons behind a different level of growth. The research can be investigated through the analysis of the real-estate values of metropolitan cities, as they express overall the qualitative and quantitative aspects of urban development and easily show a different and evident signal with respect to the attractiveness of different cities. To this end, the real estate values following the economic crisis of 2008–2012 have been analysed. After 2012 some cities have started to grow more than others that seem to have run aground. The writing is divided into four parts. In the first one is briefly reported a conceptual framework of scholars who argue that concentration is an inevitable feature for contemporary cities and of those who instead argue that a network of medium size realities can ensure a rapid growth. The second part illustrates the real estate values of metropolitan-tan cities and the variables that explain the different degree of economic development. The third paragraph summarizes the results of the tests carried out in the variables under examination. Finally, the fourth section interprets the results of the analyses.

2 Concentration or City Networks to Develop Metropolitan Cities? For many decades now, the majority of the global population has lived in cities and this percentage seems to be growing exponentially, even in the near future. While international literature and empirical evidence demonstrates the undisputed predominance of cities, the size and rank of cities that are more well-balanced than growth is less evident. Nevertheless, on a global level and in Italy, not all cities seem to grow in the same way. Our peninsula has selected fourteen metropolitan cities to transform them into poles of reference for the development of the surrounding minor areas. Metropolitan cities are different in many ways - including location, size, number of inhabitants, economic and social status, and infrastructure level. Six years after the establishment of metropolitan cities, it seems legitimate to ask whether they have grown in the same way or whether some of them have taken over and are leading the development of Italy. Recent studies have highlighted how the engine of city growth is linked to the development of innovative activities and projects. Empirical evidence in American cities shows that metropolitan areas with the highest concentration of human and social capital are the pole of technological start-ups [1]. Cities that host innovative, creative and technological activities are undergoing a significant development and are growing at an economic and demographic level [2] while the less productive and innovation-related cities are facing a de-mographic and economic decline [3, 4].

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Cities develop not only thanks to population growth but also to the variety of activities that they can host. Scale and variety are therefore the two relevant elements for the development of cities. For similar reasons, some Italian metropolitan cities do not succeed as well as others. Nevertheless, Italian economic growth for decades has also been based on the connections of a network of cities that believed in complementarity rather than competition. The industrial districts of Veneto, Marche, Emilia Romagna and Tuscany have shown how the collaboration of small and medium enterprises is absolutely able to compete on a global scale. The reticular development model can represent a valid alternative to the predation of some densely populated cities [5–7]. The aim of the research is to investigate the economic development of metropolitan cities in order to verify whether they have pursued a path of concentration or cooperation.

3 Real-Estate Market Values of Metropolitan Cities and the Other Variables of Models The capitals of the twelve metropolitan cities established by law no. 56 of 7 April 2014 have been selected for the survey: Milan, Turin, Genoa, Venice, Bologna, Florence, Rome, Naples, Bari, Reggio di Calabria, Cagliari, Palermo. The values of Messina and Catania, included in the list in 2015, were not examined. The period examined is from 2012 to 2017. 2012 represents the last year of the 2008 economic crisis [5], while the last available data are in 2017 (see Table 1). Table 1. Average real-estate market values of metropolitan cities City E/mq 2017 Turin 2.083 € Genova 1.938 € Milan 3.778 € Venice 2.698 € Bologna 2.622 € Florence 2.565 € Rome 2.954 € Naples 2.101 € Bari 1.682 € Reggio di Calabria 824 € Palermo 1.196 € Cagliari 1.388 € Average 2.152 €

E/mq 2012 2.745 € 2.371 € 2.985 € 3.010 € 3.220 € 2.966 € 3.272 € 2.374 € 1.768 € 959 € 1.452 € 1.629 € 2.396 €

Difference % 2017/2012 −24,13% −18,26% 26,59% −10,39% −18,57% −13,53% −9,73% −11,47% −4,90% −14,05% −17,62% −14,79% −10,90%

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Table 1 shows the average values at urban level provided by the Italian Revenue Agency. It was chosen to analyse the residential sector as it is most sensitive to market fluctuations. In order to verify the economic development of metropolitan cities, the two variables referring to manufacturing and the advanced services sector have been searched, since they represent the main drivers of the urban economy. The manufacturing variable was taken from the ISTAT website, which sums up all the local units of manufacturing activities (see Table 2). Table 2. Number of local units in the manufacturing sector of metropolitan cities City E/mq 2017 Turin 5.145 Genova 2.714 Milan 9.339 Venice 1.516 Bologna 1.672 Florence 2.881 Rome 9.223 Naples 4.030 Bari 1.255 Reggio di Calabria 563 Palermo 2.037 Cagliari 748 Average 3.427

E/mq 2012 5.569 3.042 9.713 1.706 1.868 3.059 10.261 4.381 1.426 658 2.275 849 3.734

Difference % 2017/2012 −7,61% −10,78% −3,85% −11,14% −10,49% −5,82% −10,12% −8,01% −11,99% −14,44% −10,46% −11,90% −9,72%

In the metropolitan cities analysed, the manufacturing sector fell by an mean of 10%. Milan and Florence withstood the crisis better than other cities. The variable on advanced services was also taken by ISTAT. In particular, with regard to the totality of the local units divided by sector that ISTAT lists, those considered to be the most representative of advanced services were selected: information and communication services, insurance and financial activities, accommodation and refreshments, professional activities, health, art and other activities. Table 3 represents the sum of the employees of the local units considered. The numbers analyzed show that the advanced services sector has grown independently in all cities by about 7%, with Milan and Rome leading the path.

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Table 3. Number of local units for advanced service activities in metropolitan cities City E/mq 2017 E/mq 2012 Difference % 2017/2012 Turin 42.046 39.785 5,68% Genova 22.946 22.356 2,64% Milan 107.123 97.027 10,41% Venice 11.526 11.007 4,72% Bologna 23.981 22.532 6,43% Florence 23.515 21.997 6,90% Rome 143.964 131.743 9,28% Naples 33.504 31.058 7,88% Bari 12.997 12.184 6,67% Reggio di Calabria 4.867 4.523 7,61% Palermo 18.527 17.217 7,61% Cagliari 9.665 9.356 3,30% Average 37.888 35.065 6,59%

4 Data Analysis: The Relation Between the Growth in RealEstate Market Values and Economic Development The data presented in the previous paragraph have been processed through regression analysis to understand how real estate values are affected by the economic development thanks to the manufacturing and advanced services sector [8–11]. The advanced service sectors, with a relevant content of knowledge, techno-logy and creativity can represent a significant element of growth of cities. The development of the advanced services sector increases the wealth of businesses and households and, as a result, a change in the demand function of buildings with an increase in attractiveness.

Fig. 1. Population variation of metropolitan cities and advanced services

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The regression analysis shows the connection between the development of the advanced services sector and the increase in real estate values. The significance of the regression test shows how market values decrease less - with the exception of Milan, which is growing exponentially - than the growth of the advanced services sector (see Fig. 1).

Fig. 2. Variation in real estate values and number of employees in manufacturing

On the contrary, the connection between manufacturing activities and real estate values was not significant (see Fig. 2). In the metropolitan cities analyzed, the decline in local manufacturing units is evident and even reaches percentages of over 14%. Milan is a clear outlier: the city characterised by a significant increase in the knowledge economy, the manufacturing sector is decreasing but in a considerably less significant way.

5 Concentration as a Driver for the Development of Metropolitan Cities The Italian territorial evolution is evident even also from the analysis of real-estate market values. The decline is evident in all metropolitan cities considered with the exception of Milan, which is growing by more than 26% points and is the only Italian city with average values at urban level that exceed 3,000 euros per square meter. The process of concentration is evident. Milan, which clearly separates the numeres - real estate, manufacturing and services - from the other metropolitan cities, is the urban reality that shares the knowledge economy with a double-digit growth of the local units of advanced services. This element must also be put in relation to the manufacturing sector: the decline in manufacturing activity is minimal when compared to other metropolitan cities. The industrial design and fashion sectors - for which Milan is a global leader - are in close connection with the services of the creative economy.

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The triumph of Milan, now consolidated, is reiterated in the number of real estate investments made by international investors who have concentrated most of their resources in the tertiary sector as recent studies have analyzed [9, 12–15]. This phenomenon indicates a lack of attention from international investors compared to other cities. If Milan is growing exponentially, the same cannot be said for Rome, the leader of Italy. This paradox shows that the capital is not able to keep up with the production of value of advanced services. The data on the evolution of advanced services indicate a growth also in Rome and the numbers are second only to the Milanese leader. The decrease in real estate values can be explained as follows. The variable analyzed on advanced services holds together activities with different added value. Financial and similar activities are concentrated in Milan and not in Rome. In the same way, the relationship between manufacturing and services for objects with a significant added value (especially in the fashion and design sector) are based in Milan. The increase in services in the tertiary sector is then linked to the significant growth of the tourist sector, which in recent years has transformed a large part of the national territory. Analizing only the variables referring to the tourism sector, the data show that Rome has grown by almost 20%, while in Milan only by 13.4%. The hospitality sector does not guarantee the same increase in income as other advanced sectors and between 2012 and 2017 the decline in real estate values is negative, as happened in most Italian cities, first of all Naples, with an increase of over 23%. The great concentration of Milan should not hide other virtuous cases of medium size cities that recognize a different level of growth. Although Florence is experiencing a decline in real estate values of more than 13%, the growth of local units in the advanced tertiary sector and the modest decline in the manufacturing sector - a few points higher than Milan - highlight the possibility for the Tuscan capital to establish itself as a centre of excellence in the textile and leather district [13, 16, 17]. On the contrary, the values that have emerged in the metropolitan cities of southern Italy are controversial and indicate that southern cities do not seem to be sufficiently equipped to meet the challenge of territorial concentration. Not only the South, but also some metropolitan cities in Northern Italy do not seem to be equipped for the current transformations. Genoa, Turin and Venice show dynamics of territories that have been considered for a long time exempt from territorial declining. The evolution of metropolitan cities is a visible sign of the hierarchy of space with areas “places that doesn’t matter”. [18, 19] whose economic and social unease is increasingly evident.

6 Conclusions Despite being officially recognized in 2014, metropolitan cities were identified in the early 1990s as elective places to lead the development of the Italian peninsula. The aim of the research was to verify whether metropolitan cities have responded to the task entrusted to them in the same way, taking into account the economic crisis that hit Italy in the first decade of 2000.

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The aim of the research was to verify whether metropolitan cities have re-shifted in the same way and with the same capacity to respond to the crisis at the end of the last decade. There were two hypotheses underlying the study. The first was a highly concentrated development, in analogy to what was found in numerous studies on the territorial structure of the United States. The second, on the other hand, considered growth to be more consistently distributed with respect to the networked and polycentric nature of our territories. The data used for the validation of the hypotheses are real-estate market values: the change in rents was taken as a summary indicator of the different capacity of metropolitan cities to respond to the severe crises that hit Italy between 2008 and 2012. The results highlighted an important phenomenon of concentration on the city of Milan, the only one of the twelve cities examined to record a positive change in average real estate values over the period considered (2012–2017). All the other cities, on the other hand, experienced a drop in mean values with a trend between 10 and 20%. Concentration can be motivated by the significant development of the knowledge economy, which has seen a considerable increase in Milan. The relationship with manufacturing gives new vigour to high value-added goods. The other metropolitan cities follow, albeit with considerable detachment, Milan although there are some exceptions that point to a possible revival - Rome and Florence - the signs of a promising in reasons of significant potential due to a favourable geographical vocation to represent economic and social spheres. Future research could carry out such an analysis on the rest of small and mediumsized Italian cities in order to understand how they have responded to the economic crisis. Further research will be able to connect the surveys on economic development with the demographic and infrastructural evolution of the territories.

References 1. Florida, R.: The Rise of the Creative Class. Basic Books, New York (2002) 2. Florida, R., Adler, P., King, K., Mellander, C.: The city as startup machine: the urban underpinnings of modern entrepreneurship. In: Iftikhar, M.N., Justice, J.B., Audretsch, D.B. (eds.) Urban Studies and Entrepreneurship. TUBS, pp. 19–30. Springer, Cham (2020) 3. Moretti, E.: The new Geography of Jobs. Boston & New York, Houghton Mifflin Harcourt (2012) 4. Sassen, S.: The global city: introducing a concept. Brown J. World Aff. 11(2), 27–43 (2005) 5. Fabrizi, C., Pico, R., Casolaro, L., Graziano, M., Manzoli, E., Soncin, S., Esposito, E., Saporito, G., Sodano, T. (eds.) Mercato immobiliare, imprese della filiera e credito: una valutazione degli effetti della lunga recessione. Questioni di Economia e Finanza-Banca d’Italia 263, pp. 1–57 (2015) 6. Antoniucci, V., Marella, G.: The influence of building typology on the economic feasibility of urban developments. Int. J. Appl. Eng. Res. 12(15), 4946–4954 (2017) 7. Glaeser, E.L.: Are cities dying? J. Econ. Perspect. 12(2), 139–160 (1998) 8. Sardi, A., Garengo, P., Bititci, U.: Measurement and management of competences by enterprise social networking. Int. J. Prod. Perform. Manag. 68, 109–126 (2019)

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9. Camagni, R., Capello, R., Caragliu, A.: The rise of second-rank cities: what role for agglomeration economies? Eur. Plan. Stud. 23(6), 1069–1089 (2015) 10. Canesi, R., Marella, G.: Residential construction costs: an Italian case study. Int. J. Appl. Eng. Res. 12(10), 2623–2634 (2017) 11. Capello, R.: The City network paradigm: measuring urban network externalities. Urban Stud. 37(11), 1925–1945 (2000) 12. Berry, C.R., Glaeser, E.L.: The divergence of human capital levels across cities. Pap. Reg. Sci. 84(3), 407–444 (2005) 13. Intesa SanPaolo: Economia e finanza dei distretti industriali, Intesa San Paolo Direzione studi e ricerche (2018). For more information: https://group.intesasanpaolo.com/it/research/ Categoria-/distretti/2019/Economia-e-finanza-dei-distretti-industriali. Accessed 18 Jan 2020 14. D’Alpaos, C., Bragolusi, P.: Buildings energy retrofit valuation approaches: State of the art and future perspectives. Valori e Valutazioni. 20, 79–94 (2018) 15. Rodríguez-Pose, A.: The revenge of the places that don’t matter (and what to do about it). Cambridge J. Reg. Econ. Soc. 11(1), 189–209 (2017) 16. Valier, A.: New value from stalled real estate investments. Empirical evidences from some Italian experiences. Empirical Evidences from Some Italian Experiences. In: International Symposium on New Metropolitan Perspectives, pp. 289–296. Springer, Cham (2018) 17. Forte, F., Antoniucci, V., De Paola, P.: Immigration and the housing market: the case of Castel Volturno, in Campania Region, Italy. Sustainability. 10(2), 343 (2018) 18. United Nations, Department of Economic and Social Affairs, Population Division (2016). The World’s Cities in 2016 – Data Booklet (ST/ESA/ SER.A/392), For more information: https://www.un.org/en/development/desa/population/publications/pdf/urbanization/the_ worlds_cities_in_2016_data_booklet.pdf. Accessed 18 Jan 2020 19. Rodrz-Pose, A.: The revenge of the places that don't matter (and what to do about it). Camb. J. Reg. Econ. Soc. 11(1), 189–209 (2018). https://doi.org/10.1093/cjres/rsx024

Metropolitan Cities and Digital Agenda: Strategy and Monitoring Methodology Demetrio Naccari Carlizzi(&) and Agata Quattrone P4C - Prepare for Change, Sant’Anna II Tronco, 18/H, 89100 Reggio Calabria, Italy [email protected]

Abstract. The approach to innovation in Metropolitan Cities (MCs) appears to be the result of territorial intuitions and strategies, often with solutions dedicated to individual sectors of the administration and a poor attitude towards interoperability, openness, reuse and cooperation. To center the Sustainable Development Goals (SDGs), especially in the Italian Public Administration (PA), it is necessary to combine investments in digital and innovation management to prepare and facilitate the use of technologies. The purpose of this paper is to evaluate the adequacy of the programs dedicated to Italian Metropolitan Cities and to provide a methodology for monitoring and measuring the implementation of the Digital Transformation. Keywords: Digital transformation


Metropolitan Cities
Sustainability

1 Introduction There is now a widespread belief that the application of Information and Communication Technologies (ICTs) and digital transformation can represent a fundamental and transversal lever to achieve sustainability objectives. Proof of this is also the Declaration [1] which sets out the United Nations development agenda through a series of Sustainable Development Goals (SDGs). The Declaration makes explicit reference to the contribution of ICTs to sustainable development: “The diffusion of information and communication technology and global interconnection has great potential to accelerate human progress, to bridge the digital divide, and to develop knowledge society, as well as scientific and technological innovation in different sectors such as medicine and energy”. Among the SDGs (17 objectives with 169 associated targets and 304 indicators) perceived as global and universal, ICTs are specifically mentioned in objectives 4, 5, 9 and 17. SDG 4 addresses quality education, which, according to objective 4b, includes training on the use of ICT. SDG 5 deals with gender equality and goal 5b mentions ICT as an enabling technology for women’s e-lacking. SDG 9 covers industry, innovation and infrastructure and, in Goal 9c, access to ICT and access to the Internet at affordable prices are seen as enabling this goal. SDG 17 concerns the partner-ships for the SDGs and objective 17.8 concerns the enhancement of the use of enabling technologies, in particular ICT [2]. But it is clear that ICT and Digital Transformation represent an extraordinary tool for reaching other goals, e.g. 3. Good Health and Well-being, © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1032–1042, 2021. https://doi.org/10.1007/978-3-030-48279-4_97

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7. Affordable and Clean Energy, 8. Decent Work and Economic Growth, 11. Sustainable Cities and Communities, 12. Responsible Consumption and Production, 16. Peace and Justice Strong Institutions. Cities are recognized in a substantial literature as Enablers of Innovation [3–5]. During the latest ten years, several Metropolitan Cities all over the world have been starting to develop their own smart strategy, applying ICT Innovation for Urban Sustainability, aiming at improving the quality of life of citizens and reducing environmental footprint. However, smart cities are a jeopardized phenomenon, and cities show heterogeneous profiles [6], benefits are often declared, but not measured; to define city performance is indispensable for realizing better outcome for citizens and stakeholders. Several studies investigate the relationship between cities and innovation and try to define a methodological approach to assess public value in smart cities [6–8]. But few are focused on the level of implementation of the Digital Agenda [9, 10]. Starting from this assumption, this article intends to deepen the role of digital technologies for the achievement of sustainability objectives and, in particular, to analyze what is being done in Italy to operate the transformation process of Metropolitan Cities focused on a measurement method based on standard indicators, scalable in other territorial contexts.

2 The Institution of Metropolitan Cities The Metropolitan City (MC) was introduced in Italy with Law 56/2014 (Delrio Law) with an open scheme regulatory system to which each Body can contribute by setting a framework of identity and development. The result more than five years after its introduction is a model that is still fluid and uncertain (both in governance and in function) and therefore disconnected from a real ability to manage urbanization issues and outline new service models. The Italian way to govern urban areas is therefore not yet clear and documents for an “organic revision” of the rules on MCs are already being discussed at the tables of the State-City Conference which aims to “give a functional solution to the problem of integrated government of municipal and large area functions” (guidelines on reform of the MC system [11]). Precisely Digital Transformation could instead offer, net of regulatory solutions, new models of cooperation and service and innovative production schemes. ICityRank (ICR2019) [9] is the ranking of Italian cities in the Smart City and Sustainability area, dedicated to the 6 dimensions in which urban quality can be expressed: 1. economic solidity; 2 sustainable mobility; 3. environmental protection; 4. social quality; 5. government capacity; 6. digital transformation. ICR2019 shows that the Digital Transformation Index is one of the areas in which disparities are more evident, showing, even within urban centers, a potential digital territorial divide that overlaps that between areas with a greater and lesser density (Fig. 1). The results achieved by the 107 Italian capitals are conditioned but do not mechanically reproduce the macro-divisions by levels of development (or economic solidity) of the Italian regions showing the existence of relevant internal joints. Regarding the situation of the Italian capitals in the MCs, the presence, both in the Top 10 of economic solidity and in that of the digital transformation of three MCs in the North, (Bologna, Milan and

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Turin) is undoubtedly significant, which seems to indicate the existence of a correlation between the innovation dynamics of the production system and institutions. The first city in the South is Cagliari, which reaches a remarkable 13th position and confirms an exception. However, Palermo (24th) and Bari (25th) also obtain considerable results, which rank outside the top 20 only for a few points; more detached Naples (35th) which is however well placed in the ranking, out of the top 50 Catania (52th), Reggio Calabria (68th) and Messina (93th). On the digital transformation front, therefore, there seem to exist more than in other areas spaces for the initiatives of the individual administrations that are not only reflections of the context but instead represent an intervention on the context itself, grafting the attitude to innovative behaviors.

Top 36 ciƟes

Milano

From 37th to 72nd

Torino

Last 35 ciƟes

Venezia

MDR More Developed Regions LDR Less Developed Regions RIT Region in TransiƟon

Genova Bologna Firenze

Bari

Roma Napoli

Cagliari Palermo

Messina Reggio Calabria Catania

Source: P4C - Prepare for Change on ICityRank data (ICR 2019)

Fig. 1. Digital transformation index of Italian Cities

The heterogeneity of MCs ranging from densely populated urban systems (e.g. Milan) to extremely distributed and point territorial systems (e.g. Reggio Calabria) among which there is also a historical difference in production capacity and wealth, therefore provides an extraordinary field of experimentation for digital technologies to achieve the objective of redesigning the governance model in terms of efficiency and sustainability and reducing the gaps.

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3 Resources for Digital Transformation The provision of resources for MCs for digital transformation is instead limited and the weakness of the national strategy weighs heavily on the effectiveness of the measures to build an enabling ecosystem. In fact, in order to govern the network of metropolitan territorial systems and ensure the mission of driving development, only the 2014–2020 National Operational Program for Metropolitan Cities (PON Metro) is underway [12– 14] which it represents the most conspicuous part of the exiguous public, national and European resources allocated and would serve to transform them into smart cities.

4 The Strategic Drivers of the Program for Metropolitan Cities The Program benefiting the 14 MCs (Total: 892 MEuro;  90 MEuro for the southern cities;  40 MEuro for the cities of the Center-North and Sardinia) is structured on two strategic drivers: 1. Smart City for the redesign and modernization of urban services (Axis I Metropolitan Digital Agenda and Axis II - Sustainability of services and urban mobility); 2. Social innovation for the inclusion of the most fragile segments of the population and for disadvantaged areas and neighborhoods (Axis III - Services for social inclusion; Axis IV - Infrastructure for social inclusion). The total financial envelope for Axis I is approximately 152 MEuro, of which, on average, 7.95 MEuro for the eight cities of the Center North and 14.73 MEuro for the six cities of the South The distribution of these resources among the various MCs in consideration of the allocation criteria that derive from the Partnership Agreement between Italy and the European Commission and therefore the location of these cities in the various Regions has led to the availability of higher resources for the cities of the South. The Metropolitan Digital Agenda Axis should make a decisive contribution to triggering the transformation process and bring MCs to digitalize processes and procedures and open their own data and collect others from the territory. That is, it should generate increasingly sophisticated and useful measures to verify the impacts of its strategic choices and recalibrate them as time and space change, generating efficiency and freeing up resources. The ambitious goal should be to achieve what Stephen Goldsmith and Neil Kleiman in “a New City O/S: The Power of Open, Collaborative, and Distributed Governance” [15] define the socio-technological ecosystem to achieve better outcomes for the community in terms of efficiency and productivity. The MC should foresee in their ecosystem both changes of the administrative-organizational model and enabling digital platforms, to represent the real engine of the fourth revolution. Faster and more performing cities in response to citizens, who implement a true participatory democracy, which give impetus to cooperation with private individuals, the world of research and innovators, who promote the formation of new skills and who are able to accompany the transformation. On the other hand, an analysis of the Operational Plans

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of the PON Metro 2014-20 reveals a series of municipal and territorial actions, including quality ones, but unrelated to an overall strategy of the country system.

5 Multilevel Governance to Optimize Resources It is true that AgID and the Digital Team have published the 2017–2019 Three-Year Plan for information technology in the Public Administration (PA) which contains method addresses and technical specifications for digital transformation. But there is no multilevel governance capable of an efficient strategy that optimizes the few resources made available to local authorities. Indicative is the fact that in the Three-Year Plan the funds of the PON Metro are not even mentioned. The consequence is that the approach to technological innovation adopted by the MC appears, on the whole, the result of intuitions and territorial strategies, in some cases too vertical (for silos), with solutions dedicated to individual sectors of the administration and limited attitude interoperability, openness, reuse and cooperation. Therefore, the risk of losing the opportunity to enhance and share the qualified skills of the protagonists of smart cities is at risk. The following figure shows the cost in millions of euro of the PON Metro projects proposed by the MCs on Axis I - Digital Agenda divided by subject area (Fig. 2).

Axis I - Digital Agenda Projects DistribuƟon by ThemaƟc Area 35.000.000,00 30.000.000,00

Total AXIS I ≅ 142 Million euros

31.834.277,67

25.000.000,00

Euro

24.528.874,83

20.000.000,00

21.410.901,80

15.000.000,00 13.140.456,10

10.000.000,00

10.990.540,00

10.517.424,55

9.716.012,18

11.180.130,57

5.000.000,00 3.168.249,30

3.755.000,00

0,00

Projects Infrastructures/Plaƞorms and CommonServices Building and Land Registry Work and training Environment and Territory CiƟzen's house / ParƟcipaƟon / AcƟve ciƟzenship

Social assistance and support Culture and leisure Local taxes Public Works Cross services

Source: P4C – Prepare for Change on PON Metro data www.ponmetro.it - 2018

Fig. 2. Axis I - Digital Agenda projects distribution by thematic area in millions of Euro.

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The following are the types of intervention proposed by the 14 MC, distinguishing the macro-categories: Infrastructures and Platforms, integration with the Common Services, Digital services for the 7 thematic areas identified by the Program (assistance and social support; construction; culture and free time; work and training; local taxes; environment and territory; public works) (Fig. 3).

SERVICEs

COMMON SERVICEs

INFRASTRUCTUREs & PLATFORMs

ID 1 2 3 4 5 6 7 8 9 1 2 3 4 5 1 2 3 4 5 6 7

Project type descripƟon

n

Data Center Smart City Pla orm eGov Metropolitan Pla orm IoT - Internet of Things Big Data Open Data Partecipa on/eDemocracy No fica ons Social Innova on SPID Pago PA Electronic Iden ty Card ANPR Italia Login Social assistance and support Building and Land Registry Culture and leisure Work and training Local taxes Environment and Territory Public Works Number of Projects

8 5 14 9 11 13 7 7 2 13 11 0 8 7 11 12 10 5 11 11 8 105

Number of ci es that have planned integrated projects with Common Services

Italian Metropolitan City • • • • • • • • • • • • • • • • • • • • • • •

• • • • • • • •

• • • • • •

• • • • • •

• • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •

• • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • 8 3 3 3 4 15 9 5

• • • • • • • • 12

• • • • • • • • • 7

• • • • •

•

•

• • •

• •

• •

• • • • • • • • • • • • • • • • • • • 6 8 12

• • • • • • • • 10

7 13

8

11

Source: P4C – Prepare for Change on PON Metro data www.ponmetro.it - 2018

Fig. 3. Types of projects proposed by the Metropolitan Cities.

The cost of the PON Metro projects for the entire Axis I amount to approximately 142 million euros (compared to an expenditure currently less than 30% of the budget, about 43 MEuro) [16]. It is evident a heterogeneous situation in terms of vision, approaches and spending capacity from a geographic point of view (in line with the current varied diffusion of innovation) of which five elements of weakness are highlighted below.

6 The Five Elements of Weakness in the Operational Plans Poor Coordination of the National Level with the Initiatives Promoted at the Central Level. Several cities have planned to commit resources to the enhancement of physical infrastructures and their Data Centers (CED) but it is not clear how this is combined with the large project of harmonization and rationalization of the Public Administration CEDs in which AgID is engaged and which has the aim of leading the consolidation of ICT resources in National Strategic Poles (PSN) by reducing the fragmentation of investments. Furthermore, not all cities have planned the necessary integration within the scope of their projects to the common services (SPID - Public Digital Identity System, PagoPA - Electronic payment system of the PA, ANPR National Registry of Resident Population) envisaged by the Triennial Plan for IT in the PA [17].

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Risk of Overseeing the Frontier of Innovation with Purely Technological Projects. For the lack of a shared and clear direction in the medium/long term - towards the PA of the future and to adopt: open frameworks for application cooperation, safe and scalable and Open Source solutions to encourage the development of cooperating ecosystems; user centered design and mobile first solutions to reduce the distance between citizens and administrations; the Internet of Things (IoT) and BigData and InfoData Visualization techniques for predictive and data-driven cities administrative action; Artificial Intelligence (AI) and Machine Learning (ML) for the automation of routine bureaucratic procedures and the redesign of the organizational model; sharing of data in open format for the benefit of the community. Repetitiveness of Solutions and Low Aptitude for Sharing and Reuse. Various projects contained in the Operational Plans are aimed at the digitization of functions in specific sectors with consequent costs of creating extremely high replicated projects. The case of the one stop shop for the building industry is emblematic: the procedures adopted by the Administrations are similar to each other, the forms are unified and standardized at the level national since 2017, but there are incredibly 11 different projects on the program for a total of around 24 MEuros. Reuse, not yet practiced, has been provided for by the CAD (Digital Administration Code -Legislative Decree n° 82, 07/03/2005 ) since 2005. Underestimation of the Technical Sectors of Cities (e.g. Public Works). Few cities have decided to invest in projects dedicated to this thematic area, which instead thanks to modern technologies (primarily IoT and Big Data) could achieve greater effectiveness of the service and the reduction of maintenance and infrastructure management costs that they weigh on municipal budgets and sometimes cause maintenance debts. Absence of Result Indicators to Monitor Spending. It makes one think that the only result indicator (output) monitored within the PON Metro regards the number of Municipalities of the metropolitan belt that will benefit from the integrated information systems created. On the other hand, there is no verification of the level of the state of implementation ex ante of the Digital Agenda in the Municipalities (as-is) and a measure of the impacts (to-be) that the achievements will produce in terms of progress in the state of implementation and outcome for citizens.

7 The Limits of the Strategy for Metropolitan Cities Thanks to a non-homogeneous diffusion of skills that can guide digital transformation, therefore the risk is that the limited resources available are dispersed in solutions without a system logic, fragmented, non-interoperable, non-reusable, non-resolutive. A coordination problem therefore arises regarding the technical support action at central level for the implementation of the Digital Agenda in order to fully outline a national strategy that optimizes spending. In fact, the technological investment can prove ineffective if the context does not develop the ability to make use of it. In this sense, alongside the PON Metro and digital infrastructure projects (optical fiber, 5G, IoT), training and dissemination programs for the use of technologies are needed for all user targets, with particular regard to the most

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fragile categories. The digital transformation presupposes a strategic Change Management action to promote new operating schemes in the administrations. A national model of digital institution and a transformation program that could be accompanied by an adaptation of the figures, of the competences and of the administrative rules could be needed.

8 Rethinking the Cooperation Model The scenario described suggests a rethinking of the model of cooperation between levels of government and an institutional/technical coordination effort for the Investment Plans of the Cities on the axis of the Digital Agenda that multiplies the chances by dividing the tasks, enhancing the reuse, ensuring addresses clear (in particular for procedural issues and innovation procurement), effectiveness in spending and consistency of action also at a territorial level. In this context the problem of monitoring and evaluation of the chosen policies and of the process arises. To date, all the monitoring activities, ratings and indices available that can constantly and fully follow the computerization of the local PA they return incomplete information and do not allow a reliable overall picture to be clearly defined. Often the measurements refer only to technological equipment and neglect the organizational aspects and more deeply linked to the administrative machine which instead represent in some cases the most difficult obstacle to overcome, or do not take into account the degree of involvement and participation of citizens and latest technological innovations. What does a PA need to be digital? There is no one-size-fits-all recipe, but the experiences gained put together can provide a trace. Certainly more courage in the legislative plan is needed to change the legal image of the Public Administration still concentrated on formal obligations and not on results. We have tried to schematize a set of elements useful to start and monitor a digital change process. A set of specific indicators for a diagnosis of the level of computerization and maturity of the Digital Agenda of a local PA, organized according to distinct layers: 1. Governance to investigate policy, strategy, structure, organization and resources for innovation management and impact monitoring; 2. Openess to measure the level of transparency, openness and communication of the functioning of the political-administrative machine; 3. Cooperation to find out the conditions for joining national initiatives, common services and regulatory provisions; 4. Services to photograph the degree of digitization of processes, procedures, services and applications; 5. Infrastructures to estimate the level of modernity, robustness and capacity of infrastructures and technological networks supplied; 6. Skills to assess the adequacy of digital skills and not only to promote, accompany and support the transformation of the PA. The scheme aims to be a contribution towards the construction of a scientific method aimed at increasing the level of knowledge of the implementation of the Digital

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Agenda in the territories and facilitating the identification of priorities and resources to be put in place according to needs. A sort of ‘local digital change balance’. It would be useful to start a screening of PA (also in self-diagnosis mode) through the lens of the set of indicators proposed (possibly integrated also with the contribution of the other local and national digital actors) and to create a web monitoring platform (with a questionnaire that can be filled in and consulted online) to collect data and information (in “open” format) and thus have an updated and open framework primarily for MCs which need to proceed in a vast and often uneven area. The adoption of a web platform for the compilation of the questionnaires in online mode and the calculation of the indicators with certified methods could allow a considerable cost saving for the retrieval of information and also a more effective updating of the monitoring system for keep it abreast of PA changes and technological innovations (Table 1). Table 1. Macro-indicators to measure the Digital Agenda of Cities LAYERs GOVERNANCE: Policy, strategy, structure, organization and resources for innovation management and impact monitoring

OPENESS: Level of transparency, openness and communication of the functioning of the politicaladministrative machine

COOPERATION: Adherence to national initiatives, common services and regulatory provisions on the Digital Agenda

MACRO – INDICATORs Political decisor Vision Strategic planning Working group Management method of ICT functions Involvement of citizens, actors and stakeholders Economic resources Impact monitoring Open data Transparency Web tv Social network Social penetration ANPR - public national registry SPID - public digital identity system PagoPA - e payments; FatturaPA - e invoicing IT open data platform (data analytics framework) Security Community/API ecosystem Software in reuse, Eprocurement Adhesion of regulatory constraints Web sites (continued)

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Table 1. (continued) LAYERs PLATFORMs & SERVICEs: Degree of digitalization of processes, procedures, services and applications

INFRASTRUCTUREs & NETWORKs: Level of modernity, robustness and capacity of infrastructures and technological networks supplied

SKILLs: Digital, legal skills, for administrative, managerial and organizational simplification, in support of innovation

MACRO – INDICATORs Application platform Online services and procedures dematerialization Integration and interoperability Big data and reporting Basic tools Datacenter Telephony Citizen WiFi Wide and ultra-wide band fixed and mobile Sensor networks/IoT Internet of Things Safety nets eSkills Other skills Digital alphabetization Training and support

The set of indicators can also suggest a scheme of measuring elements to be translated into specific digitization objectives for the Municipality’s Performance Plans. This would make the push towards digital more effective and more accurate monitoring of the state of implementation of the agenda. In essence, to reinvent the government in a digital sense, national-legislative, national-administrative interventions through agencies (Agid, Digital Team), horizontal method and coordination are needed to share a multi-level strategy that needs more knowledge, and modulation and measurement capabilities. The uncertainty of the regulatory framework of the MCs and the analysis of the PON Metro, in the absence of policy measurement and monitoring tools, therefore highlights a fundamental weakness of the national strategy towards urban areas and their sustainable development. The analysis conducted in this paper suggests the need for some regulatory interventions which, however, would be insufficient without the definition of an adequate innovation management program. The latent risk is also linked to the accompanying tools so far absent, (monitoring system) to the coordination of the actions which, in the absence of a shared government strategy between public and private decision-makers, risks degrading the change process to spot interventions and decreases in a mere addition of technologies that cannot generate an increase in the productivity of local systems and therefore public value.

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References 1. UN Assembly: Transforming our world: the 2030 Agenda for Sustainable Development (2015) 2. Van der Velden, M.: Digitalization and the UN sustainable development goals: what role for design. Inter. Design Archit. J. IxD&A 37, 160–117 (2018) 3. Concilio, G., Li, C., Rausell, P., Tosoni, I.: Cities as enablers of innovation. In: Applied Sciences and Technology Book Series, pp. 43–60. Springer, Cham (2018) 4. Mora, L., Deakin, M., Aina, Y., Appio, F.: Smart city development: ICT innovation for urban sustainability. In: Encyclopedia of the UN Sustainable Development Goals: Sustainable Cities and Communities, pp. 1–17. Springer (2019) 5. Cocchia, A.: Smart and digital city: a systematic literature review. In: Dameri, R.P., Sabroux, C. (eds.) Smart City. How to Create Public and Economic Value with High Technology in Urban Space, pp. 13–43. Springer (2014) 6. Dameri, R.P.: Smart city definition, goals and performance. In: Smart City Implementation, pp. 1–22. Springer (2016) 7. Anthopoulos, L.G., Janssen, M., Weerakkody, V.: Comparing Smart Cities with different modeling approaches. In: Proceedings of the 24th International Conference on World Wide Web, pp. 525–528, May 2015 8. Osella, M., Ferro, E., Pautasso, E.: Toward a methodological approach to assess public value in smart cities. In: Smarter as the New Urban Agenda, 2016, pp. 129–148. Springer (2016) 9. ForumPA: ICityRank – Annual Report 2019. https://www.forumpa.it/icity-rank/. Accessed 02 Mar 2020 (2019) 10. CNEL - Consiglio nazionale dell’economia e del lavoro: Relazione 2019 sui livelli e la qualità dei servizi pubblici. https://www.cnel.it/. Accessed 01 Mar 2020 (2019) 11. Presidenza del Consiglio dei Ministri, Conferenza Stato-Città ed Autonomie Locali: Linee Guida in materia di riforma dell’Ordinamento delle Province e delle Città Metropolitane 12. Commissione Europea e Agenzia della Coesione Territoriale: Programma Operativo Nazionale “Città Metropolitane 2014 – 2020” 13. Commissione Europea: Decisione C (2015) 4998 del 14 luglio 2015 14. Commissione Europea: Decisione C (2018) 8859 del 12 luglio 2018 (2018) 15. Goldsmith, S., Kleiman, N.: A New City O/S: The Power of Open, Collaborative, and Distributed Governance. Brookings Institution Press, November 28, 2017. Paperback ISBN: 9780815732860, Ebook ISBN: 9780815732877 (2017) 16. Home Page Programma Operativo Nazionale “Città Metropolitane 2014 – 2020” - PON Metro. http://www.ponmetro.it/. Accessed 30 Jan 2020 17. Agenzia per l’Italia Digitale: Piano Triennale per l’Informatica nella Pubblica Amministrazione 2019 – 2021 (2019)

“Houses for One Euro” and the Territory. Some Estimation Issues for the “Geographic Debt” Reduction Salvatore Giuffrida1(&)

, Maria Rosa Trovato1 and Grazia Napoli3

, Antonio Strigari2,

1

Department of Civil Engineering and Architecture, University of Catania, Santa Sofia, 54, 95125 Catania, Italy {sgiuffrida,mrtrovato}@dica.unict.it 2 Special Educational Department of Architecture, Siracuse, Universiti of Catania, Piazza Federico di Svevia, Syracuse, Italy 3 Department of Architecture, University of Palermo, Viale delle Scienze, Building 14, 90133 Palermo, Italy [email protected]

Abstract. The phenomenon of the “houses for one Euro” is the epitome of the progressive and increasing abandonment of the inland territories in which many small towns are affected by continuous and unstoppable depopulation. This process, mostly affecting the southern and insular Italian regions, have been triggered by the quick industrial development started after the second post-war, led by the northern regions, that deeply and irreversibly modified the anthropography of the whole country until now. The impoverishment of a wide part of the Italian territory, is one of the many issues connected to the social-territorial justice that is the original topic by which appraisal and valuation, that is science of the economic value judgement, differs from other branches of the applied economics. With the prospect of an insight of the case of Calabria, the paper presents: as first some factual basic premises for defining the matters and the sense of the concept of land debt; as second some theoretical and methodological coordinates for reinterpreting “abandonment as a metaphor of being back”. Keywords: Inland small towns
Historic centres Urban fragility
Cost value
Capitalization value


Urban redevelopment

Urban/human-scape

1 Introduction 1.1

Disciplinary Items. The Project Valuation and the True Value

The “science of judgment and value” covers an area of the scientific research aimed at the synthesis of knowledge and action, where decision-making processes are defined and addressed with reference to the category of value. It provides as first the functions of value and as a consequence the operational models. Its original reference to the question of social capital and to the process of the creation and allocation of rent, © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1043–1052, 2021. https://doi.org/10.1007/978-3-030-48279-4_98

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claims the revision of the “principle of the dependence of the attributed value on the valuation purpose”; since Appraisal precedes the decision-making process, the inverse form of it must be assumed as the “principle of dependence of purpose on value”. In fact, while in the first sense the evaluation refers to the cognitive functions related to a precise theory of truth, “pragmatism”, in its inverse expression the evaluation reproduces the functions of the theory of truth known as “aletic realism” [1, 2]. According to the former, a statement is true on the basis of its predictive success. According to the latter, a statement is true basing on the contents of authentic value of the “true” function carried out by the evaluative statement. The first value judgement is true downstream and embodies the cognitive function of appraisal. The second value judgement is true upstream and embodies the regulatory function of appraisal. In the context of the project evaluation – whose subject is a mostly discretional decision process, and the facts are related to the hope of a better world – the valuation statement needs to be rooted in some unamendable values, so that the complementarity between profession (mostly referred to pragmatism) and research (mostly referred to “aletic realism”) is redefined: profession answers the issue without exceeding its limits – this is not its task – research constantly redefine these limits in order to embrace new areas of the relationship between territorial dynamics and distributive justice. Both in appraisal and in valuation, the true value results as the true valuation by means of authentic values [3], that in appraisal belong to past and present, in (project) valuation refer to future – expectation and hope. 1.2

Semiotic Issues of the Abandonment Economy: For an Economic Affectivity

This research topic fits the three semiotic fundamentals of appraisal, in the ground of its commitment to territorial marginality due to geographical economic imbalance. 1. An incomprehensible semantic. Capitalism has reversed the value/price relation [4]: a 1 euro price house is worth 0 [5]: the price size feeds back on the economic form, utility; the house is abandoned, the city is depopulated; the economic significance of capital is lost; conventions and contexts disperse; abandonment gets a social phenomenon rising to the rank of “culture of depopulation” and as such feeds on itself [6, 7]. 2. A tragic syntax. The impoverishment of the territory breaks the “temporal shape” of the streams of wealth running through it, therefore the cancellation of the added value in its explicit form, the profit; the consequence is the transfer of resources and market values across the country; the overall significance of the social capital asset is lost; the territory gets into the spiral of the “hermeneutic circle” of real estate capitalism whose cycles break the social-territorial fabric connecting production of wealth and its constant accumulation in the durable forms of the real estate capital asset; the territory loses its textual connotation and the economic divide generates a geographical fracture. 3. A hopeful pragmatic. Civil economy should reinterpret the economic category of rent as the “implicit” (monetary) part of the added value that is complementary with the explicit (real) one. Such an “implicit liquidity” cannot be accounted in the sphere of economic rationality but recognized within the wider sphere of affectivity [8].

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Affectivity is an overall space in which rationality “dwells” but not as “foreigner”; the economic rationality cannot be associated with objectivity, opposing it to the idea of an unlimitedly subjective affectivity, of which is a subset, actually; therefore, just as rationality explains profit as the “appearance” of the explicit liquidity, affectivity interprets rent as the phenomenon of implicit liquidity, without any defect of objectivity. Once the “reasons for affection” have been realized and symbolized, the Subject (rather than simple subjectivity) resumes acting on the object, no longer simply interpreting it (and therefore falling into the trap of appearance of the explicit liquidity) but rather overinterpreting it over the now ineffective conventions (and therefore going back to its essence in the depth of the implicit liquidity). Then, a more restricted area of significance, the co-textual one, is delimited as the specific space of the project, which is valid contingently (not subjectively) and in a closer relation to the authorial hallmark and to the self-consistency of the creative gesture. Appraisal has provided a methodological basis with the contribution of C. Forte to the capitalization value, whose theoretical foundations come: 1. from the Keynesian revolutionary approach and specifically with the dialectic between interest rate and marginal efficiency of the investment; 2 from the Hicksian approach of the average period and the bifurcation between crescendo and diminuendo.

2 Materials 2.1

The Geographic Debt

The definition and extent of the territorial debt – what and how much the more developed areas owe to the poorer ones – concerns the structural inefficacy of politics, measures and funds aimed at covering the gap of personal and territorial wealth. Internal migraƟons in Italy 1902-2014 12 10 8

GDP Ital y

PopulaƟon Italy

N-W Net migraƟon

N-E Net migraƟon

Centre Net migraƟon

South Net migraƟon

Insulas Net miigraƟon

6 4 2 0 -2 -4 -6 -8 -10 -12 1900

1920

1940

1960

1980

2000

2020

Fig. 1. Trend of the population internal migratory rates of North-Western, North-Eastern, Centre, Southern, Insular areas of Italy compared to the growth of GDP (our elaboration from the National Statistic Institute data).

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The general context of this debt is the geo-political scale, thus the North-South structural gap mostly due to the progress of manufacturing at the expense of agriculture, started in the early second post-war, and whose most important concern is the human capital [9]. Figure 1 displays the internal demographic dynamics by macroareas compared to the growth of GDP from 1902. At the very beginning of this phenomenon, approximately the half of 1920s, the South-North migratory flux has been the “effect” of poverty; since the post-war, it has become the “cause” of it, as explained by the peak in 1960, when the exodus greatly overcome the internal employment demand, thus moving a huge mass of population towards the central and northern Europe. The different migratory waves [10] can be considered to be characterised by a progressive quanti-qualitative transformation overtime, concerning at the very beginning the workforce (human energy), then knowledge (information), and nowadays excellence (skill) as well. a

Reddito Famiglie 2017 1238

b

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Reddito persone 2017 10881

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d

Patr. Fondiario Famiglie in mln€ 2017 56 5197 12910

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c

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Patr. Immobiliare Famiglie in mln€ 2017 6515

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e

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Patr. Tot. Famiglie mln€ 2017 9960

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Fig. 2. Personal and household wealth by regions in terms of income (a, b), property assets (c), land inheritance (d), movable property (e); total asset (f) (our elaboration from ISTAT data).

The second issue of the geographic debt concerns the economic streams and stocks, that have been described at the present and with reference to household and/or persons. Figure 2 shows the allocation by regions of household and personal wealth in terms of income, property assets, land inheritance, movable property and total asset. The

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maps shows two kinds of polarization [11], the first concerning the gap between northern and southern Italy (Fig. 2b), the second referred to the two centralities, political-administrative, religious, historic-cultural and symbolic of Rome in Lazio, and economic-financial of Milan in Lombardia, both producing huge stream of wealth progressively inflating the real estate market prices. 2.2

Small Abandoned Towns and the “Houses for One Euro”

The abandonment of the small inland urban centres in Italy [12] has become a topic of political debate and programmatic commitment from the beginning of the last 70s with the “Project 80”, a five-year economic planning document that identifies long-term strategies to face the socio-economic fragility of large parts of the southern and insular Italian territory, nowadays affected by the phenomenon of “the houses for one Euro”. This condition partly depends on the size of urban centres over territory. In Italy there are 5572 municipalities with a population of less than 5000 inhabitants, or rather small municipalities, equal to 69.8% of the total municipalities (7978). Most of the municipalities are very small: 3509 municipalities – 43.9% of the Italian ones and 62.9% of the small ones – has less than 2000 inhabitants. Over 10 million citizens reside in small municipalities – 17% of the Italian population (Table 1, Fig. 3).

Table 1. Population by Municipalities inhabitant ranks Population rank 0–300 301–500 501–800 801–1.000 1.001–1.500 1.501–2.000 2.001–3.000 3.001–5.000 5.001–10.000 10.001–15.000 15.001–30.000 30.001–50.000 50.001–80.000 80.001–100.000 100.001–300.000 300.001–500.000 Over 500.000 Tot. Municipalities: Tot. Inhabitants

Municipalities 438 429 693 414 872 663 956 1107 1178 480 441 163 75 24 35 4 6 7978

Inhabitants 81.444 171.200 446.835 371.371 1.085.576 1.153.126 2.349.819 4.314.734 8.327.264 5.856.648 9.094.385 6.333.519 4.576.186 2.148.731 5.431.787 1.405.199 7.336.149 60,483,973

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Fig. 3. Small municipalities, inhabitants and extensions by regions in Italy (ANCI, 2019).

The synoptic view by region in Fig. 3 lists the number of small municipalities by regions, the resident population and the extension of the municipal territory indicating the ones whose territory can be considered at risk due to the prevalence of small municipalities and dispersed communities. Figure 4 summarizes the dynamics of depopulation in the Italian small municipalities in 2012–2017. Some measures to protect the survival of weak areas deserve to be reminded as evidence of the concern – and somehow the prediction – that this real estate capital asset may have a price that is not only zero, but also negative. Molise, Italy. “Active residence income” (Call 16th September 2019) provides a 700 euros per month income for those who move to municipalities with less than 2000 inhabitants and starts a business for at least 5 years. The proposal addresses the problem of the relationship between economic development and territorial transformations focusing not only on residence, but also on the production of added value, thus connecting the affective sphere (i.e. the social-human relationships with the original inhabitants), with the rational one, made possible or encouraged by the former. France. “1000 coffee project”. In view of the “desertification of the countryside”, the government evaluated the project of an association supporting the development of the rural areas with the creation of new cafés in the 26 thousand rural municipalities with less than 3500 inhabitants. Italy. “Houses for one euro” policy. As a result of the process of abandonment and depopulation of many municipalities in the internal areas, many property owners, unable to meet the maintenance and management costs, have sold their home free of

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Fig. 4. Dynamics of depopulation in the Italian small municipalities 2012–2017 (ib.).

charge to the municipality which, with the aim of combating abandonment and relaunching the depopulated areas, sells them at the symbolic price of one euro, against the buyers’ commitment to carry out the recovery or restoration works required by the detailed recovery plan currently in force. In addition to the option that the owner transfers the house to the municipality, the practice according to which the municipality becomes an intermediary in this transaction has also been experimented. The growing media attention to the phenomenon is an indication of its importance, but there is still no structural policy capable of dealing fully with the problem; for example, from North to South, the initiative is promoted by the same and similar notice of interest in relation to the variety of the territories involved. 2.3

The Case of Calabria Region

Within the National Strategy for the inland Areas 2014–2020 Calabria Region published the Preliminary of Strategy for the Pilot Area of Grecanica, [13–15]. The goal of the strategy is to stop the current irreversible trend of depopulation and abandonment, especially by the new generations, of the centres and villages inside the Project Area. It is committed to setting up social and entrepreneurial innovation processes in the Project Area (Figs. 5 and 6).

Fig. 5. Municipalities: a. by demographic class; b. by demographic increase and decrease; c. Illy (>200 m asl) small (200 m asl) small (100000

% 69.70% 30.30% 21.21% 18.18% 45.45% 15.15% 3.03% 37.88% 16.67% 34.85% 7.58% 19.70% 56.06% 19.70% 4.55%

Table 3. Descriptive and inferential statistics and summary of WTP figures Descriptive and inferential statistics

Plant typology MPV PPV Number of observations 66 66 Minimum value [€] 0 0 Quantile (25%) [€] 3000 4000 Median [€] 5000 5500 Quantile (75%) [€] 8000 8875 Maximum value [€] 15000 15000 Mean [€] 5383.3 6169.7 Standard deviation 3608.5 3876.7 Jarque-Bera test p-value (a = 5%) 0.3652 0.3955 Lower limit confidence interval (a = 5%) [€] 4489.5 5209.4 Upper limit confidence interval (a = 5%) [€] 6277.2 7130.0

Maximum and minimum WTPs are the same for both MPV and PPV plants, and are equal to 0€ and 1500€ respectively. As shown in Table 2, the mean WTP for the MPV plant (i.e., 5383.3€) is greater than the mean WTP for the PPV plant (i.e., 6169.7 €) as well as their median values, respectively equal to 5000€ 5500€. The interquartile range related to the MPV plant is equal to 5000€, whereas for the PPV plant it is equal to 4875€. In order to verify whether the WTP values were distributed according to a normal distribution, we firstly displayed the Quantile-Quantile plot (QQ-plot). From direct inspection of Fig. 1, it emerges that the sample quartile fells approximately along

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Fig. 1. Q-plots of the WTP for the MPV and PPV plants,

the reference line. Although in the upper and lower part of the graphs in Fig. 1 there might be some outliers, this suggested that WTPs distribution is a normal distribution. To confirm whether WTP values are normally distributed, we implemented the Jarque-Bera test, by fixing a significance level (a-value) equal to 0.05. The p-value for the MPV plant resulted equal to 0.3652, whereas the p-value for the PPV plant resulted equal to 0.3955 (Table 3). Both the p-values are greater than the a-value, consequently the null hypothesis that the WTP values are normally distributed can be accepted. We then calculated the confidence intervals for both the plant typologies, by fixing a significance level (a-value) equal to 0.05, and finally we determined the population mean WTP. Population WTP ranges from 4489.5€ to 6277.2€ for the MPV plant, whereas it ranges from 5209.4€ to 7130.0€ for the PPV plant (Table 2). Our results show that individuals in Italy are willing to pay a price premium for solar homes. Specifically, the average price premium is equal to 2.69% for solar homes equipped with MPV plants and equal to 3.08% for solar homes equipped with PPV plants. These results are in line with literature; nonetheless, the price premium documented in the US real estate market is slightly larger: PV panels adds from 3% to 4% to the sale price of a home [17]. According to our findings, individuals’ WTP for PPV plants is higher than individuals’ WTP for MPV plants, probably due to their higher efficiency and more upto-date technology. Furthermore, the WTP values we obtained are in line with PV plants investment costs and Levelized Cost of Electricity of residential PV plants [37– 39]. This, in turn, can have interesting policy implications in terms of incentive design, as it reveals that people are willing to pay an additional price for green energy buildings. To this extent, solar homes can be considered as “green products” sold in the market.

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5 Conclusions Regardless the continuous growth of the residential solar home market, there is little direct evidence on the capitalization effect of PV systems on real estate market prices. Specifically, there is a lack of literature on the market price premium for solar homes in Italy. In this paper, we aimed at contributing to fill this gap. Since there were not available datasets on house characteristics, including PV plants, and relative market price to perform hedonic regressions, to determine the market price premium we implemented a survey-based, stated-preference approach, namely the contingent valuation method. In detail, via a self-administered web interview, respondents were told to play the role of homebuyers of a detached house of 200 m2, whose market price is equal 200’000€, and were queried about their WTP an additional price in case it were equipped with a 3 kWp PV plant. We considered two different PV plant typologies, i.e. monocrystalline and polycrystalline PV plants, to account for the most widespread power plants in Italy. We interviewed a heterogeneous sample of Italian respondents, aged between 18 and 70 years and coming from the North, Centre and South of Italy, and we obtained WTP estimates, which are statistically significant. According to our results, population WTP ranges from 4489.5€ to 6277.2€ for MPV plants, and from 5209.4€ to 7130.0€ for PPV plants. Our findings show that individuals in Italy are willing to pay a price premium for solar homes: the average price premium is equal to 2.69% and 3.08% for solar homes equipped with MPV and PPV plants, respectively. These results can have interesting policy implications in terms of incentive design, as they reveal that people are willing to pay an additional price for green energy buildings and thus, voluntarily, are contributing to reach the EU targets on mitigation of climate change effects. To this extent, solar homes are, de facto, among the most widely known “green products” traded in the market.

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8. Dell’Anna, F., Bravi, M., Marmolejo-Duarte, C., Bottero, M.C., Chen, A.: EPC green premium in two different European climate zones: a comparative study between Barcelona and Turin. Sustainability 11(20), 5605 (2019) 9. Kahn, M.E., Kok, N.: The capitalization of green labels in the California housing market. Reg. Sci. Urban Econ. 47, 25–34 (2014) 10. Stanley, S., Lyons, R.C., Lyons, S.: The price effect of building energy ratings in the Dublin residential market. Energ. Effi. 9, 875–885 (2016) 11. Papineau, M.: Energy efficiency premiums in unlabeled office buildings. Energy J. 38(4), 195–212 (2017) 12. Zhang, L., Liu, H., Wu, J.: The price premium for green-labelled housing: evidence from China. Urban Stud. 54(15), 3524–3541 (2017) 13. Lee, H., Lee, M., Lim, S.: Do consumers care about the energy efficiency of buildings? Understanding residential choice based on energy performance certificates. Sustainability 10, 4297 (2018) 14. Dasrupt, S.R., Zivin, J.G., Costa, D.L., Kahn, M.E.: Understanding the solar home price premium: electricity generation and ‘‘Green’’ social status. Euro. Econ. Rev. 56, 961–973 (2012) 15. Desmarais, L.: The impact of photovoltaic systems on market value and marketability: a case study of 30 single‐family homes in the north and northwest Denver metro area. Prepared for Colorado Energy Office, May 2013. 319 pages. https://www.colorado.gov/pacific/ energyoffice/atom/14956 16. Hoen, B., Cappers, P., Wiser, R., Thayer, M.: Residential photovoltaic energy systems in California: the effect on home sales prices. Contemp. Econ. Policy 31(4), 708–718 (2013) 17. Hoen, B., Wiser, R., Adomatis, S., Jackson, T., Graff-Zivin, J., Thayer, M., Klise, G.T.: Selling into the Sun: Price Premium Analysis of a Multi-State Dataset of Solar Homes. Lawrence Berkeley National Laboratory, January 2015. https://emp.lbl.gov/sites/all/…/lbnl6942e-fullreport-factsheet.pdf. Accessed 10 Jan 2020 18. Barbose, G., Darghouth, N., Weaver, S., Wiser, R.: Tracking the Sun VII: An Historical Summary of the Installed Price of Photovoltaics in the United States from 1998 to 2014. Lawrence Berkeley National Laboratory, Berkeley, CA, August 2015 (2015). https://emp. lbl.gov/publications/tracking-sun-vii-historical-summary. Accessed 10 Jan 2020 19. Glumac, B., Wissink, T.P.: Homebuyers’ preferences concerning installed photovoltaic systems: a discrete choice experiment. J. Eur. Real Estate Res. 11(1), 102–124 (2018) 20. Alberini, A., Rosato, P., Turvani, M.: Valuing Complex Natural Resource Systems: The Case of the Lagoon of Venice. Edward Elgar, Cheltenham (2006) 21. Mitchell, R., Carson, R.: Using Surveys to Value Public Goods: The Contingent Valuation Method. John Hopkins Press, Baltimore (1989) 22. Pearce, D., Atkinson, G., Mourato, S.: Cost-Benefit Analysis and the Environment. Organization for Economic Co-Operation and Development (OECD) (2006) 23. Alberini, A., Longo, A.: Valuing environmental resources using stated preferences. In: Alberini, A., Rosato, P., Turvani, M. (eds.) Valuing Complex Natural Resource Systems: The Case of the Lagoon of Venice. Edward Elgar, Cheltenham (2006) 24. Mitchell, R.T., Carson, R.T.: An experiment in determining the willingness to pay for national water quality improvements. Environmental Economics Research Inventory Resources for the future EE-0011, 1–257 (1981) 25. Hanemann, W.M.: Welfare evaluations in contingent valuation experiments with discrete responses. Am. J. Agr. Econ. 66(3), 332–341 (1984) 26. Hanemann, W.M.: Welfare evaluations in contingent valuation experiments with discrete response data: reply. Am. J. Agr. Econ. 71(4), 1057–1061 (1989)

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27. Hoffman, E., Menkhaus, D.J., Chakravarti, D., Field, R.A., Whipple, G.D.: Using laboratory experimental auctions in marketing research: a case study of new packaging for fresh beef. Mark. Sci. 12(3), 318–338 (1993) 28. Wertenbroch, K., Skiera, B.: Measuring consumers’ willingness to pay at the point of purchase. J. Mark. Res. 39(2), 228–242 (2002) 29. Alberini, A., Kanninen, B., Carson, R.T.: Modeling response incentive effects in dichotomous choice contingent valuation data. Land Econ. 73(3), 309–324 (1997) 30. Carson, R.T., Groves, T.: Incentive and informational properties of preference questions. Environ. Resource Econ. 37(1), 181–210 (2007) 31. Garbacz, C., Thayer, M.A.: An experiment in valuing senior companion program services. J. Hum. Resour. 18(1), 147–153 (1983) 32. Bohm, P.: Revealing demand for an actual public good. J. Public Econ. 24(2), 135–151 (1984) 33. Tussupova, K., Berndtsson, R., Bramryd, T., Beisenova, R.: Investigating willingness to pay to improve water supply services: application of contingent valuation method. Water 7(6), 3024–3039 (2015) 34. Song, H.J., Lee, E.K.: Evaluation of willingness to pay per quality-adjusted life year for a cure: a contingent valuation method using a scenario-based survey. Medicine (United States) 97(38), 12453, 1–10 (2018) 35. Somers, C., Grieve, E., Lennon, M., Bouamrane, M.M., Mair, F.S., McIntosh, E.: Valuing mobile health: an open-ended contingent valuation survey of a national digital health program. J. Med. Internet Res. 21(1), e3, 1–12 (2019) 36. Costa, C.A.B., Grazhdan, D., Fiutowski, J., Nebling, E., Blohm, L., Lofink, F., Rubahn, H.G., de Oliveira Hansen, R.: Meat and fish freshness evaluation by functionalized cantileverbased biosensors. Microsyst. Technol. 26(3), 867–871 (2020) 37. ENEA: Rapporto annuale 2019–Le detrazioni fiscali del 65% per la riqualificazione energetica del patrimonio edilizio esistente, Roma (2019). http://www.efficienzaenergetica. enea.it. Accessed 07 May 2019 38. IEA: World Energy Investment 2019 - Investing in our energy future (2019). https://www. iea.org/reports/world-energy-investment-2019/power-sector. Accessed 10 Jan 2020 39. IRENA: Renewable Power Generation Costs in 2019, International Renewable Energy Agency, Abu Dhabi (2019). https://www.irena.org/publications/2019/May/Renewablepower-generation-costs-in-2018. Accessed 12 June 2019

Economic Valuation of Buildings Sustainability with Uncertainty in Costs and in Different Climate Conditions Elena Fregonara(&) , Diego Giuseppe Ferrando, and Giacomo Chiesa DAD, Politecnico di Torino, Viale Mattioli 39, 10125 Turin, Italy [email protected]

Abstract. The aim of this work is to evince the advantages of a synergic application of energy and economic analyses to orient design strategies, exploring the impacts of the territorial location in relation to energy consumptions, maintenance costs, prices and market variability. Centrality is posed on energy efficiency of buildings, in terms of energy consumption reduction and of optimal planning maintenance activities to reduce the replacement costs and to enhance the durability of components. For simulating the effects of the projects’ potential location on energy and economic input data, uncertainty is modeled as a proxy of the territorial variations in the joint energy-economic analysis. In the methodology presented, the stochastic Global Cost calculation represents the core. In turn, the Global Cost (EN 15459-1:2017) is considered the core of the Life Cycle Cost Analysis (ISO 15686: 2017, Part 5). Assuming the results of a previous step of research, in this work the Global Cost calculation is conducted considering both the running costs and the maintenance costs components, in stochastic terms. The Probability Analysis is applied for calculating the effects of uncertainty in costs and assuming different climate conditions. These lasts are represented with reference to the Italian territory, and specifically to 7978 Italian Municipalities and the related climate zones. The methodology assumes the results of a preliminary step of energy analysis, in which a massive set of dynamic energy simulations by EnergyPlus of a sample office unit is produced, by varying its location and related envelope thermal insulation levels. Keywords: Economic sustainability
Life cycle costing
Stochastic Global Cost
Risk and uncertainty
Energy analysis
Climate zone

1 Introduction The requirement to restrain the energy needs in the building sector for space heating, cooling and ventilation is a crucial aspect of present European regulations and policies. In fact, buildings are responsible by more than 40% of the total energy consumptions and greenhouse gas emissions [1]. EPBD recast Directive 2010/31/EU, Directive 2009/28/EC, and recently the Directive (EU) 2018/844 underline the before-mentioned efforts, focusing on the necessity to reinforce the energy efficiency of systems, improve the use of renewable sources, and to decrease the energy needs acting on the envelope © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1217–1226, 2021. https://doi.org/10.1007/978-3-030-48279-4_113

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performances. Besides, it is fundamental to optimize the planning of maintenance activities as a mean to reduce the replacement costs and enhance the durability of components. Despite efforts have been made to contain the heating needs –at the basis of local regulations on minimal U-value definition –, further efforts are needed to curve the constant increase of cooling energy consumptions [2]. Furthermore, considering the early-design stages, which are the phases in where the possibilities to change and adapt the project are higher and lower in costs, it is evident the need for models able in easily support designers. Unfortunately, the majority of available models, even the ones based on simulation results, do not include uncertainty phenomena, that may considerably affect results, and furthermore do not base on the synergic application of different knowledge. This paper constitutes a step of a larger research aiming at introducing uncertainty effects in simulations considering both the economic and the environmental and technological design aspects, which include energy analyses. A methodology is proposed through a double-phase application of economic analysis and energy analysis. The effects of the territorial location are considered in terms of energy consumptions, maintenance costs and market prices (costs) variations, assuming uncertainty in cost components as a proxy of territorial variations. Core of the methodology is the stochastic Global Cost calculation. In turn, the Global Cost) is considered the core of the LCCA. Staring from a previous step of research [3], in this paper centrality is placed at the Global Cost procedure assuming the running costs and the maintenance costs components, in stochastic terms. The Probability Analysis is applied for calculating the effects of uncertainty in costs and of different climate conditions on the Life Cycle Cost Analysis results. These lasts are represented by the climate zones, with reference to the Italian territory, and specifically to 7978 Italian Municipalities and their climate zones. The paper is articulated as follows: Sect. 2 illustrates the methodology, Sect. 3 the results of the simulation, Sect. 4 concludes.

2 Methodology In this paper a two-phases analysis is considered, as illustrated below. 2.1

Energy Analysis

The mentioned study focuses on an innovative approach supporting early-design decisions considering both energy and economic aspects. In this specific paper, the focus is on economic uncertainty analysis, while the whole method benefits also by energy-need correlated uncertainty (e.g. random occupancy, climate variations, building characteristics). In order to support the economic approach, a sample building is assumed as reference to elaborate a database of energy needs (heating and cooling ones) for all Italian Municipalities. Reference climate data for dynamic energy simulations were produced using Meteonorm assuming as radiation period (1991–2010) and as temperature period (2000–09) and asking the program to interpolate data for all 7978 Italian Municipalities (mid 2019 – Istat GIS shape file) – See Fig. 1.

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Fig. 1. (a) GIS representation of the considered locations – the 7978 Italian Municipalities. (b) graph describing the classification of the mentioned locations in climate zones (frequency distribution).

In this case study a section of an office building is simulated in EnergyPlus. The section includes two rooms (89 m2) and a central corridor – see Fig. 2. Heat exchanges arrive between the internal and external environments and among internal partitions between rooms and the corridor, while later internal walls are assumed as adiabatic surfaces (nearer office spaces at the same temperature). The building is facing northsouth with a ration between vertical windows and walls of 70%. The simple mechanical system configuration and suggested schedules are assumed together with an internal power density of 10 W/m2 being the focus of this paper on the economic variations. On the envelope point of view, U-values are assumed in line with current national regulation DM 26.06.15, adopting the 2019–20 suggested maximum U-values for requalification by modifying the insulation layer thickness of opaque surfaces in line with local climate zones. The used windows are, differently, based on given windows by the DesignBuilder database adopting a solution compatible with local thermal transmittance requirements with 50 cm of overhang. The climate classification of each municipality was upgraded to the updated version of the DPR 412-93 visible in Fig. 1.

Fig. 2. The simulated office unit.

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Economic Analysis

Core of the second step of the analysis is the Global Cost calculation (Standard EN 15459:2007, revised by EN 15459-1:2017; Commission Delegated Regulation (EU) No 244/2012; Directive 2010/31/EU–EPBD recast). The Global Cost calculation is conducted in stochastic terms, for each climate zone, the energy consumptions and maintenance costs. The economic analysis is developed considering the Global Cost in terms of Net Present Value (NPV), which represents an LCCA approach indicator [4, 5] formalized in the ISO 15686-5. Formally, the Global Cost procedure is based on Eq. (1):

CG ðsÞ ¼ CI þ

X hXs  j

i¼1

i  Ca;i ð jÞ
Rd ðiÞ  Vf ;s ð jÞ

ð1Þ

where CG(s) represents the global cost, at the initial year s0; CI stands for the initial investment costs; Ca,i(j) stands for the annual cost during year i of component j, comprehensive of the annual running costs (energy, operational, maintenance) and periodic substitution costs; Rd(i) is the discount factor in relation to the year i; Vf,s(j) is the residual value of the component j at the end of the analysis lifespan, related to the initial year. In this work the Global Cost formula is simplified, as in the following Eq. (2): CG ¼ CI þ

XN Co þ Cm t¼0 ð1 þ r Þt

ð2Þ

where CG is the Global Cost; CI is the initial investment costs; Co is the operating and energy costs; Cm is the maintenance costs, t represents the year of costs arising, N the number of years in the lifespan of the analysis; r is the discount rate. Furthermore, uncertainty is modeled through the Probability Analysis, solved by means of the simulation procedure [6, 7]. This last requires firstly to identify PDFs functional forms, and then, to measure the marginal contribution of every stochastic input variable on the results of the analysis. Formally, stochastic Global Cost is expressed as in Eq. 3: bc G ¼ bc I þ

XN bc o þ bc m t¼0 ð1 þ b r Þt

ð3Þ

b G stands for the stochastic Global Cost, C b I stands for the stochastic investment where C b b m is the stochastic expenses, C o is the stochastic operating and energy expenses C maintenance cost, t is the year of cost occurrence, N is the number of years of the analysis lifespan, br is the stochastic discount rate. In this study the methodology is applied by considering, in the Global Cost calculation, the Co item (operating and energy costs), and the Cm (maintenance expenses), both in stochastic terms.

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3 Applications and Results 3.1

Energy Results

For the purposes of this paper, energy simulations are mainly conceived to produce the database for applying the economic analysis supporting the described methodology. EnergyPlus outputs for all simulated locations are automatically read by a python script to retrieve heating and cooling energy needs for conditioned area considering natural gas for space heating and electricity for space cooling. As mentioned in the methodology section, locations are subdivided by climate zones from A to F, respectively the one including the lowest HDD (Heating Degree Day) values and the one with the highest. The graph in Fig. 3(a) shows how cooling energy needs have a high impact on lower climate zones. A clear correlation between zones and heating-cooling needs is underlined for extreme classes, while intermediate ones show lower correlations. Especially zone E, which is the larger one – see Fig. 1 –, is characterized by a large heating energy need variation, in a heat dominated climate, in which in any case cooling is influent. Being cooling and heating not directly correlated in class E locations, additional studies can be suggested to better correlate envelope requirements and local conditions to limit energy needs – see for example [8].

Fig. 3. (a) Cooling and Heating energy needs divided by climate zones; (b) percentage distribution of energy needs (sources) for locations in climate zone E and corresponding energy need intensity.

3.2

Economic Analysis Results

In the following lines, the results of the application are presented. The Net Present Value (NPV) calculation supported by @Risk software 7.5 (by Palisade Corp.), includes running costs components. Notice that running costs in this simulation include energy and maintenance costs components: these last are the focus of the present analysis. Firstly, the Probability Distribution Functions – PDFs, are calculated including: the heating and cooling consumptions for the diverse Townships related to each climate zone (see Sect. 2.1); the parametric costs related to energy cost for cooling and natural

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gas for heating (with reference to Energy Plus); maintenance costs, through the mean value for new built office buildings deduced by sector experience; discount rate, assuming a range of values as indicated by the related official documents. An example of the first simulation results are presented in Table 1, related to the climate zone E. Table 1. Energy consumptions and cost items for the climate zone E: Probability Distribution Functions Energy and Cost Items Heating [kWh/m2] ClZone E Cooling [kWh/m2] ClZone E

Distributio n

Graph

Min

Mean

Max

5%

95%

Loglogistic

8.70

118.10

812.78

68.04

185.72

Laplace

-74.64

60.92

201.36

32.63

89.21

Heating supply (€/KWh)

Triangular

0.10

0.11

0.12

0.10

0.12

Electric power supply (€/KWh)

Triangular

0.20

0.25

0.30

0.22

0.28

Maintenance cost (€/m2/year)

Triangular

8

10

15

8.83

13.67

Discount rate

Triangular

1.3%

1.7%

2.5%

1.3%

2.2%

Secondly, with the Monte Carlo Method the stochastic output values are calculated for the NPV in relation to the running costs. The results for the climate zone E are presented in Fig. 4, while Fig. 5 and 6 illustrates the simulation results considering all the climate zones. The Tornado graphs show the influence of the variables on the output mean, and the spider graphs show the sensitivity of each input values on the result values (NPVs). StaƟsƟcs Minimum

14.465

Maximum

348.503

Mean

122.152

Std Dev

19.921

Variance

396847554,8

Skewness

0,516042541

Kurtosis

5,11792808

Median

120.938

Mode

118.971

LeŌ X

92.285

LeŌ P

5%

Right X

156.171

Right P

95%

Fig. 4. The PDFs for the climate zone E.

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As Fig. 5 and Fig. 6 show, the Tornado and Spider graphs show that energetic factors are prevailing, in all the climate zones. Cooling is always prevalent on heating. Just below the energetic factors, the NPVs results are sensible to maintenance costs, In the climate zones A and B the maintenance costs are prevalent also respecting the heating costs. Notice that these are the warmest zones. In general, the results variability was expected considering the heterogeneity of the Italian territory, and considering the diverse conditions inside the climate zones. In Table 2, for concluding the analysis, a comparison of the simulated NPVs for each climate zone is illustrated.

Fig. 5. Input ranking by the effects on the Output Mean, for climate zone.

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Fig. 6. Input ranking by the effects on the Output Mean, for climate zone. Spider graphs.

Table 2 shows that NPV distribution related to the climate zone A + B is shifted toward the lowest values, being the warmest areas with a lower influence of heating costs. On the opposite, for climate zones E and F, the distributions are shifted towards the highest values, because of the highest heating costs. Furthermore, as concern climate zone E, for which PDF curve fitting is illustrated in Fig. 7, the distribution is quite wide: it contains the highest number of municipalities.

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Table 2. The values of NPVs for the climate zones: the PDFs. Output NPV/Running Costs-Zone A-B

Graph

Min

Mean

Max

5%

95%

71,541

109,896

177,908

91,627

127,419

NPV/Running Costs - Zone C

18,777

117,410

187,712

92,798

139,779

NPV/Running Costs- Zone D

37,648

119,350

194,077

92,746

144,296

NPV/Running Costs - Zone E

14,465

122,152

348,503

92,285

156,171

NPV/Running Costs - Zone F

53,068

120,138

237,330

90,325

151,821

Fig. 7. Stochastic NPV for the climate zone E: PDF curve fitting.

4 Conclusions The methodology illustrated in this work can be an aiding tool for orienting the design and the operators in decision-making (for new construction/retrofitting projects), decision makers and public authorities in defining territorial policies. Even in presence of these potentialities, some difficulties must be highlighted. For example, it is usually difficult to define local specific costs of technological elements, also considering the real estate market dynamics, which are at the centre of the recent scientific research also for experimenting advanced statistics and models [9, 10]. Furthermore, the energy

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prices variability may influence the analyses and results. Starting from these premises, this research is a step towards the detection of the territorial influence on the Global Cost, assuming uncertainty in costs as a proxy of territorial variations. The results also confirm the positive synergy between energy and economic analyses in selecting design strategies.

References 1. European Commission: Communication from the commission to the European Parliament, the Council, the European economic and social Committee, the Committee of the Regions and the European investment bank, Clean Energy for All Europeans. COM(2016) 860 final. European Commission, Brussels (2016) 2. Santamouris, M.: Cooling the buildings – past, present and future. Energy Build. 28, 617– 638 (2016) 3. Chiesa, G., Fregonara, E.: Energy and economic analyses for supporting early design stages: introducing uncertainty in simulations. Smart Innov. Syst. Technol. 163, 49–60 (2020) 4. Langdon, D.: Life Cycle Costing (LC.C) as a contribution to sustainable construction: a common methodology – Final methodology (2007). http://ec.europa.eu/enterprise/sectors/ construction/studies/life-cycle-costing_en.htm 5. König, H., Kohler, N., Kreissig, J., Lützkendorf, T.: A Life Cycle Approach to Buildings. Principles, Calculations, Design Tools. Detail Green Books, Regensburg (2010) 6. Fregonara, E., Ferrando, D.G., Pattono, S.: Economic-environmental sustainability in building projects: introducing risk and uncertainty in LCCE and LCCA. Sustainability 10(6), 1901 (2018) 7. Curto, R., Fregonara, E.: Decision tools for investments in the real estate sector with risk and uncertainty elements. Jahrbuch fur Regionalwissenschaft 19(1), 55–85 (1999) 8. Chiesa, G.: Optimisation of envelope insulation levels and resilience to climate changes. In: De Joanna, P., Passaro, A. (eds.) Sustainable Technologies for the Enhancement of the Natural Landscape and of the Built Environment, pp. 339–416. Luciano Editore, Napoli (2019) 9. Massimo, D.E., Del Giudice, V., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Geographically weighted regression for the post carbon city and real estate market analysis: a case study. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Series: Smart Innovation, Systems and Technologies, vol. 100, pp. 142–149. Springer, Berlin (2019) 10. Malerba, A., Massimo, D.E., Musolino, M., Nicoletti, F., De Paola, P.: Post carbon city: building valuation and energy performance simulation programs. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Series: Smart Innovation, Systems and Technologies, vol. 101, pp. 513–531. Springer, Berlin (2019)

Green Buildings for Post Carbon City: Determining Market Premium Using Spline Smoothing Semiparametric Method Vincenzo Del Giudice1, Domenico Enrico Massimo2, Pierfrancesco De Paola1(&), Francesco Paolo Del Giudice1, and Mariangela Musolino2 Department of Industrial Engineering, University of Naples “Federico II”, Piazzale Vincenzo Tecchio 80, 80125 Naples, Italy {vincenzo.delgiudice,pierfrancesco.depaola}@unina.it, [email protected] 2 Department of Patrimony Architecture Urbanism, Mediterranea University of Reggio Calabria, Viale dell’Università 25, 89124 Reggio Calabria, Italy [email protected], [email protected] 1

Abstract. In this paper a hedonic price function built through a semiparametric additive model was applied for the real estate market analysis of the central area of Reggio Calabria. Based on Penalized Spline functions, the semiparametric model aimed to detect and identified the existence of a market premium arising from the choice of sustainable interventions, in terms of higher real estate values. The objective of the research is to demonstrate how choosing sustainability, i.e. policies oriented to Green Buildings practices, besides mitigating energy consumption respecting the historical instance of buildings, are also able to generate economic impacts in terms of increased market value of the properties. Keywords: Green buildings
Penalized spline semiparametric method Semiparametric regression
Real estate market analysis




1 Introduction The evolution of real estate markets is influenced by quantitative and qualitative characteristics, as well as by differentiation and the change in the mode of appreciation of the real estate goods. These aspects suggest the development of new and advanced models for hedonic analysis of property prices, able to recognize the different forms of appreciation, based on survey and statistical analysis of market data [1–44]. The main objective of the research is to demonstrate how choosing sustainability, i.e. policies oriented to Green Buildings practices, besides mitigating energy consumption respecting the historical instance of buildings, are also able to generate economic impacts in terms of increased market value of the properties. In particular, the research verified the existence of a market premium arising from the choice of sustainable interventions, in terms of higher real estate values. This last effect goes to add to the technical-thermal premium in terms of lower energy management costs and better quality of indoor life for the buildings. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1227–1236, 2021. https://doi.org/10.1007/978-3-030-48279-4_114

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In international literature many studies have applied some special non-parametric or semiparametric additive regressions for the formulation of hedonic price models for the analysis of housing market. Mainly, these studies make use to Generalized Additive Models, among the most common non-parametric multivariate regression techniques, and the “backfitting algorithm” [3] that represents main method for resolution of additive models in base to available statistics data [4, 5]. An alternative approach with limited computational difficulties in estimating the individual functions that define an additive model, consists to place and match to each of these functions some specific smoothing spline function. Semiparametric models applied to real estate appraisals are currently subject of specialized literature and, particularly, it concerns choice and processing of property prices and real estate features [13, 14, 16–24].

2 Model Specification The relationship between selling price and explanatory variables is examined with a semi-parametric additive model, characterized by the combination of a generalized additive model, which expresses the relationship between the non-linear response and the explanatory variables, and a linear mixed effects model, which expresses the spatial correlation of observed values: PRICE ¼ b0 þ b1 FLOOR þ b2 MAIN þ b3 BATH þ b4 ZONE þ b5 EN þ f1 ðAREAÞ þ f2 ðAGE Þ þ f3 ðDAT Þ More precisely, in the above expression the additive component, the mixed effects and the erratic component (e), are independent. Furthermore, in order to obtain a function estimated using the procedures relating to models mixed effects, it is considered a version of low rank both for the additive component both for the mixed effects [1]. The proposed semiparametric model can then be briefly defined by the following general formula: y ¼ Xb þ Zu þ e

ð1Þ

where: y ¼ ðy1 ; . . .::; yN ÞT X ¼ ½1xi1  i  N Z contains T  N truncated power basis functions of p-degree for the approximation of nonlinear structure in f functions: 2

ðx1  j1 Þpþ . . .:: Z¼4 ðxn  j1 Þpþ

. . .:: . . .:: . . .::

3 ðx1  jk Þpþ 5 . . .:: ðxn  jk Þpþ

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And alternatively, in reduced form:

where u ¼ ðu1 ; . . .; uk ÞT is the vector of random effects with: E ðuÞ ¼ 0; CovðuÞ ¼ r2u I; CovðeÞ ¼ r2e I; considering the coefficients ðuk Þ of knots ðjk Þ as random effects independent of e term [1]. Note that the formulation (1) is a particular case of linear mixed-effects model of Gaussian type. For non-linear components of the model are used penalized spline functions qualified by the following general expression: f ðxÞ ¼ a0 þ a1 x þ . . .:: þ ap xp þ

K X k¼1

apk ðx  jk Þpþ

ð2Þ

in which the base of the generic function (2) is represented by the following terms: 1; x; . . .. . .; xp ; ðx  j1 Þpþ ; . . .. . .::; ðx  jk Þpþ Where the generic function ðx  jk Þpþ has (p − 1) continuous derivatives. For p > 0 the expression that is used to determine the fitted values is as follows: ^y ¼ XðX T X þ k2p DÞ1 X T y

ð3Þ

Where: 2

1 6 :: 6 X¼6 6 :: 4 :: 1

x1 :: :: :: xp

:: :: :: :: ::

xp1 . . .: . . .: . . .: xpn

ðx1  j1 Þpþ . . .: . . .: . . .: ðxn  j1 Þpþ

. . .: . . .: . . .: . . .: . . .:

  D ¼ diag 0p þ 1 ; 1K

ðx1  jk Þpþ

ðx1  jk Þpþ

3 7 7 7 7 5

ð4Þ

Simplifying, the relation (3) becomes: ^y ¼ Sk
y

ð5Þ

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The smoother matrix is defined as follows: Sk ¼ XðX T X þ k2p DÞ1 X T

ð6Þ

The k term is usually referred to as smoothing parameter. The smoothing parameter intervenes in the determination of the degrees of freedom for nonlinear component of the model and allows also to control the trade-off between fitting model to the observed values (smoothing parameter near to zero value) and the smoothness of the same (high values of smoothing parameters). The selection of the smoothing parameter, for a spline function of p-degree, occurs by the Restricted Maximum Likelihood condition.

3 The Real Estate Market Analysis of the Central Area of Reggio Calabria The market price analysis of the property carried out with the use of an additive semiparametric model provides for the adoption of statistical tools (significance test, measures of residues, etc.) able to select both the sample data and the endogenous variables [9–28]; these tools also allow to verify the reliability and the quality of results. The algebraic structure of proposed model has been specified on the basis of real estate data of the sample, as well with the help of statistical and empirical- argumentative tests, by implementing the following semiparametric additive model: PRICE ¼ b0 þ b1 FLOOR þ b2 MAIN þ b3 BATH þ b4 ZONE þ þ b5 ENERGY þ f1 ðAREAÞ þ f2 ðAGE Þ þ f3 ðDAT Þ The data sample refers to a defined real estate market segment of Reggio Calabria (Calabria region, Italy) and, specifically, no. 490 sales of residential property units located in an urban central area during twenty five years (Tables 1 and 2). The sampled properties have the same build type and quality (residential units located in used multi-storey buildings), and they are included in a homogeneous central area in terms of qualification and distribution of main services. In the absence of multicollinearity phenomena, given the low correlation between the explanatory variables, the main verification indexes of the model are shown for completeness in tables and graphs. The amounts related to the standard error (€ 19,817.75) and absolute percentage error (12.78%) appear congruent, because the forecast values obtained using the proposed model show a trend compliant to observed data, also even residue analysis shows no abnormalities (Fig. 1).

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Table 1. Variable description Variable Real estate price (PRICE) Property’s age (AGE) Sale date (DAT) Internal area (AREA) Number of services (BATH) Positional variable (ZONE) Maintenance (MAIN)

Description Expressed in thousands of Euros Expressed retrospectively in no. of years Expressed retrospectively in no. of months Expressed in sqm No. of services in residential unit

Floor level (FLOOR) Energy efficiency class (ENERGY)

Expressed with a score scale (from 1 to 6, passing from more central areas to peripheral areas) Expressed with a score scale (1 for bad conditions, 2 for mediocre conditions, 3 for good conditions, 4 for optimal maintenance state) No. of floor level of residential unit Expressed with a score scale (1 for “A” or “B” energy efficiency class, 0 for “G” energy efficiency class)

Table 2. Statistical description of variables Parameter

PRC

Mean

124.360,35 106,51 3,13

AREA FLOOR MAIN AGE 3,00

27,33

1,62

10,43 4,10

0,05

Std. Error

2.681,13

0,06

0,04

0,84

0,02

0,30

0,07

0,01

Median

115.000,00 105,00 3,00

3,00

24,00

2,00

10

5,00

0,00

Std. Dev.

60.844,53

29,87

1,47

0,89

19,01

0,54

6,92

1,56

0,22

Kurtosis

4,71

5,16

−0,92

−0,66

1,07

2,04

−0,2

−1,23

15,82

Asymmetry

1,62

1,26

0,21

−0,47

1,04

0,42

0,45

−0,35

4,21

Range

444.600,00 248,00 6,00

3,00

102,00 4,00

35

5,00

1,00

Min

13.000,00

1,00

1,00

0,00

0,00

1,00

0,00

Max

457.600,00 287,00 7,00

4,00

102,00 5,00

35

6,00

1,00

Confidence Interval (95,0%)

5.267,32

0,08

1,65

0,60

0,13

0,02

1,32

39,00 2,59

0,13

BATH DAT

1,00 0,05

ZONE ENERGY

From the statistical point of view, the determination index is equal to 0.8794 (corrected index equal to 0.8774), the F test is significant for a 95% confidence level. The fixed effects of model’s linear component that result statistically significant coincide with all variables. With regard to the nonlinear part of model, there are no significant abnormalities encountered in the values assumed by smoothing parameters (spar) or freedom degrees (df), (see Table 3).

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Fig. 1. Effects of nonlinear components on selling prices with representation of 95% confidence level

In the model’s linear component, the variables’ coefficients directly express the implicit marginal prices; for the nonlinear component, marginal prices for each variable are obtained by processing and examination of estimated functions. For brevity of discussion, for each nonlinear variable of model, the marginal prices are not shown, being the main objective of the paper to highlight the amount (€ 61,100) and “weight” of the marginal price of the energy efficiency class (green premium) for the buildings located in the central area of Reggio Calabria (about 32.41% on the mean price of green buildings only). The tool used for analyze the real estate data is the R-project software.

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Table 3. Main results of semiparametric model and estimation of fixed effects for linear and nonlinear components of the model.

No. of variables

8

Mean for PRZ variable (€)

124,360.35

Standard Error (€)

19,817.75

Percentage Error (SE/Mean for PRZ variable) (%) 2

Determination index (R )

0.8794

Corrected determination index (R2) Absolute percentage error (%) Variable coef intercept 3,958 1,724 FLOOR 12,320 MAIN 21,780 BATH -17,020 ZONE 61,100 ENERGY Variable df f (AREA) 1.958 f (AGE) 1.000 f (DAT) 3.029

15.93

SE 13,020 681.8 1,298 2,224 670.6 5,390 spar 424.30 16,380 37.24

0.8774 Ratio 0.3039 2.5280 9.4910 9.7930 -25.39 11.33 knots 28 19 7

12.78 P-value 0.7613 0.0115 0.0000 0.0000 0.0000 0.0000

4 Conclusions Firstly, the results obtained with the application of the proposed model are very good, and they suggest that semiparametric models can be successfully used for the prediction of residential property selling prices. In the study case the error committed in the prediction of selling prices is lower about 3.90% respect to conventional multiple regression models, showing very high use’s potential. Secondly, this result detected and identified the real estate market premium for green buildings in the urban area of Reggio Calabria. The research developed a first attempt, or Case Study, to intercept the phenomena of Green Building in unexplored areas, such as: Mediterranean marginal economic regions such as Calabria; a non-metropolitan city, such as Reggio Calabria with about 180,000 residents; a small to medium size real estate market; a sub-segment of newly built residential buildings in central and semi-peripheral areas. The achievable goals with the theoretical model proposed may be many and varied, such as the study of the various segments of the local real estate submarkets, or even the prediction and interpretation of phenomena related to the genesis of the income housing, with particular reference to the problems of transformation of urban areas concerned from projects or plans of action and in order to optimize the user choices of goods and resources in terms of saving energy (green buildings), as well as all features unexplored so far in real estate market analysis of green buildings.

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Acknowledgements. The authors contributed equally to the study.

References 1. Ruppert, D., Wand, M.P., Carroll, R.J.: Semiparametris Regressions. Cambridge University Press, Cambridge (2003) 2. Hastie, T., Tibshirani, R.: Generalized Additive Models. Chapman & Hall, New York (1990) 3. Bao, H., Wan, A.: On the use of spline smoothing in estimating hedonic housing price models: empirical evidence using Hong Kong data. Real Estate Econ. 32(3), 487–507 (2004) 4. Opsomer, J.D., Claeskens, G., Ranalli, M.G., Kauermann, G., Breidt, F.J.: Nonparametric small area estimation using penalized spline regression. J. Roy. Stat. Soc. B 70(1), 265–286 (2008) 5. Montanari, G.E., Ranalli, M.G.: A mixed model-assisted regression estimator that uses variables employed at the design stage. Stat. Methods Appl. 15(2), 139–149 (2006) 6. Bin, O.: A prediction comparison of housing sales prices by parametric versus semiparametric regressions. J. Hous. Econ. 13(1), 68–84 (2004) 7. Clapp, J.: A semiparametric method for estimating local house price indices. Real Estate Econ. 32(1), 127–160 (2004) 8. Wand, M.P.: Smoothing and mixed models. Comput. Statistics 18, 223–249 (2003) 9. Morano, P., Tajani, F.: Estimative analysis of a segment of the bare ownership market of residential property. In: Murgante, B., et al. (eds.) Computational Science and Its Applications, Part IV. LNCS, vol. 7974, pp. 433–443, Springer, Heidelberg (2013). ISBN 9783642396489 10. Morano, P., Locurcio, M., Tajani, F., Guarini, M.R.: Fuzzy logic and coherence control in multi-criteria evaluation of urban redevelopment projects. Int. J. Bus. Intell. Data Min. 10(1), 73–93 (2015). ISSN 1743-8187 11. Antoniucci, V., Marella, G.: Immigrants and the city: the relevance of immigration on housing price gradient. Buildings 7, 91 (2017) 12. Antoniucci, V., Marella, G.: Small town resilience: housing market crisis and urban density in Italy. Land Use Policy 59(31), 580–588 (2016) 13. Del Giudice, V., De Paola, P.: Spatial analysis of residential real estate rental market. In: d’Amato, M., Kauko, T. (eds.) Advances in Automated Valuation Modeling. Studies in System, Decision and Control, vol. 86, pp. 9455–9459. Springer (2017). https://doi.org/10. 1007/978-3-319-49746-4. ISSN 2198-4182 14. Del Giudice, V., De Paola, P., Forte, F.: The appraisal of office towers in bilateral monopoly’s market: evidence from application of Newton’s physical laws to the Directional Centre of Naples. Int. J. Appl. Eng. Res. 11(18), 9455–9459 (2016) 15. Saaty, T.L., De Paola, P.: Rethinking design and urban planning for the cities of the future. Buildings 7, 76 (2017) 16. Del Giudice, V., Manganelli, B., De Paola, P.: Depreciation methods for firm’s assets. In: ICCSA 2016, Part III. Lecture Notes in Computer Science, vol. 9788, pp. 214–227. Springer (2016). https://doi.org/10.1007/978-3-319-42111-7_17 17. Manganelli, B., Del Giudice, V., De Paola, P.: Linear programming in a multi-criteria model for real estate appraisal. In: ICCSA 2016, Part I. Lecture Notes in Computer Science, vol. 9786, pp. 182–192. Springer (2016). https://doi.org/10.1007/978-3-319-42085-1_14 18. Del Giudice, V., De Paola, P., Manganelli, B.: Spline smoothing for estimating hedonic housing price models. In: ICCSA 2015, Part III. Lecture Notes in Computer Science, vol. 9157, pp. 210–219. Springer (2015). https://doi.org/10.1007/978-3-319-21470-2_15

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19. Ciuna, M., Milazzo, L., Salvo, F.: A mass appraisal model based on market segment parameters. Buildings 7, 34 (2017) 20. Del Giudice, V., De Paola, P., Manganelli, B., Forte, F.: The monetary valuation of environmental externalities through the analysis of real estate prices. Sustainability 9(2), 229 (2017) 21. Del Giudice, V., De Paola, P., Cantisani, G.B.: Rough Set Theory for real estate appraisals: an application to Directional District of Naples. Buildings 7(1), 12 (2017) 22. Del Giudice, V., De Paola, P., Cantisani, G.B.: Valuation of real estate investments through Fuzzy Logic. Buildings 7(1), 26 (2017) 23. Del Giudice, V., De Paola, P., Forte, F.: Using genetic algorithms for real estate appraisal. Buildings 7(2), 31 (2017) 24. Del Giudice, V., Manganelli, B., De Paola, P.: Hedonic analysis of housing sales prices with semiparametric methods. Int. J. Agric. Environ. Inf. Syst. 8(2), 65–77 (2017) 25. Del Giudice, V., De Paola, P., Forte, F., Manganelli, B.: Real estate appraisals with Bayesian approach and Markov chain hybrid Monte Carlo method: an application to a central urban area of Naples. Sustainability 9, 2138 (2017) 26. Massimo, D.E.: Stima del green premium per la sostenibilità architettonica mediante Market Comparison Approach. Valori e Valutazioni (2010). ISSN 2036-2404 27. Massimo, D.E.: Valuation of urban sustainability and building energy efficiency: a case study. Int. J. Sustain. Dev. 12(2–4), 223–247 (2009). https://doi.org/10.1504/IJSD.2009. 032779 28. Massimo, D.E.: Green building: characteristics, energy implications and environmental impacts. Case study in Reggio Calabria. In: Mildred, C.-S. (ed.) Green Building and Phase Change Materials: Characteristics, Energy Implications and Environmental Impacts. Energy Science, Engineering and Technology, pp. 71–101. Nova Science Publishers, Inc., New York (2015). ISBN 978-163482749-2 29. De Ruggiero, M., Forestiero, G., Manganelli, B., Salvo, F.: Buildings energy performance in a market comparison approach. Buildings 7, 16 (2017) 30. Del Giudice, V., De Paola, P.: Undivided real estate shares: appraisal and interactions with capital markets. Appl. Mech. Mater. 584–586, 2522–2527 (2014) 31. Del Giudice, V., Salvo, F., De Paola, P.: Resampling techniques for real estate appraisals: testing the bootstrap approach. Sustainability 10(9), 3085 (2018) 32. Del Giudice, V., De Paola, P., Torrieri, F., Nijkamp, P.J., Shapira, A.: Real estate investment choices and decision support systems. Sustainability 11(11), 3110 (2019) 33. Napoli, G., Giuffrida, S., Trovato, M.R., Valenti, A.: Cap rate as the interpretative variable of the urban real estate capital asset: a comparison of different sub-market definitions in Palermo, Italy. Buildings 7, 80 (2017) 34. Napoli, G., Giuffrida, S., Trovato, M.R.: Efficiency versus fairness in the management of public housing assets in Palermo (Italy). Sustainability 11, 1199 (2019) 35. Morano, P., Tajani, F.: Saving soil and financial feasibility. A model to support the publicprivate partnerships in the regeneration of abandoned areas. Land Use Policy 73, 40–48 (2018). ISSN 0264-8377 36. Manganelli, B., Morano, P., Tajani, F.: Risk assessment in estimating the capitalization rate. WSEAS Trans. Bus. Econ. 11, 199–208 (2014). Art. 17. ISSN 1109-9526 37. Malerba, A., Massimo, D.E., Musolino, M., Nicoletti, F., De Paola, P.: Post carbon city: building valuation and energy performance simulation programs. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Smart Innovation, Systems and Technologies, vol. 101, pp. 513–531. Springer, Heidelberg (2019)

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38. Spampinato, G., Massimo, D.E., Musarella, C.M., De Paola, P., Malerba, A., Musolino, M.: Carbon sequestration by cork oak forests and raw material to built up post carbon city. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Smart Innovation, Systems and Technologies, vol. 101, pp. 663–671. Springer, Heidelberg (2019) 39. Del Giudice, V., Massimo, D.E., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Post carbon city and real estate market: testing the dataset of Reggio Calabria market using spline smoothing semiparametric method. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Smart Innovation, Systems and Technologies, vol. 100, pp. 206–214. Springer, Heidelberg (2019) 40. Massimo, D.E., Del Giudice, V., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Geographically weighted regression for the post carbon city and real estate market analysis: a case study. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Smart Innovation, Systems and Technologies, vol. 100, pp. 142–149. Springer, Heidelberg (2019). https://doi.org/10.1007/978-3-31992099-3_17 41. De Paola, P., Del Giudice, V., Massimo, D.E., Forte, F., Musolino, M., Malerba, A.: Isovalore maps for the spatial analysis of real estate market: a case study for a central urban area of Reggio Calabria, Italy. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Smart Innovation, Systems and Technologies, vol. 100, pp. 402–410. Springer, Heidelberg (2019) 42. Massimo, D.E., Malerba, A., Musolino, M.: Green district to save the planet. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Green Energy and Technology, pp. 255–269. Springer, Heidelberg (2018) 43. Massimo, D.E., Malerba, A., Musolino, M.: Valuating historic centers to save the planet soil. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Green Energy and Technology, pp. 297–311. Springer, Heidelberg (2018) 44. Musolino, M., Malerba, A., De Paola, P., Musarella, C.M.: Building Efficiency Adopting Ecological Materials and Bio Architecture Techniques, pp. 1–10. ArcHistoR (2020)

Market Price Premium for Green Buildings: A Review of Empirical Evidence. Case Study Vincenzo Del Giudice1, Domenico Enrico Massimo2, Francesca Salvo3, Pierfrancesco De Paola1(&), Manuela De Ruggiero2, and Mariangela Musolino2 Department of Industrial Engineering, University of Naples “Federico II”, Piazzale Vincenzo Tecchio 80, 80125 Naples, Italy {vincenzo.delgiudice,pierfrancesco.depaola}@unina.it 2 Department of Patrimony Architecture and Urbanism, Mediterranea University of Reggio Calabria, Via Melissari 25, 89124 Reggio Calabria, Italy [email protected], [email protected], [email protected] 3 Department of Environmental and Chemical Engineering, University of Calabria, Via Pietro Bucci, 87036 Arcavacata di Rende, Italy [email protected] 1

Abstract. In international and metropolitan real estate markets, it has been detected the growing relevance of Green Buildings with respect to non-Green Building. In this paper the green premium for buildings has been singled out and then quantified through a market analysis of an urban central area of Reggio Calabria (Italy), i.e. the positive differential in terms of higher price toward sold real estate units having ecological characteristics and energy efficiency. This goal has been pursued comparing the results obtained by different methods: Multiple Regression Analysis (MRA), Appraisal System Approach (ASA) and Market Comparison Approach (MCA). Keywords: Green Buildings
Real estate market analysis
Multiple Regression Analysis
Appraisal System Approach
Market Comparison Approach

1 Introduction The valuation of real estate is a central tenet for all business. Land and property are factors of production and, as with any other asset, the land flows value from the use to which it is put, and that in turn is dependent upon the demand (and supply) for the product that is produced. Valuation, in its simplest form, is the determination of the amount for which the property will transact on a particular date. However, there is a large range of purposes for which valuation is required (for purchase and sale, transfer, tax assessment, expropriation, inheritance or estate settlement, investment and financing) [1–24].

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1237–1247, 2021. https://doi.org/10.1007/978-3-030-48279-4_115

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In international and metropolitan real estate markets, it has been detected the growing relevance of Green Buildings with respect to non-Green Building [25–35]. For a number of years, advocates of Green Buildings have stated that efficient Green Buildings not only have lower energy bills, but their design and features improve the occupants’ experience and worker productivity. And by extension, these green attributes should increase the value of a building in the real estate market. In the real estate sector, energy performance may be a new asset valuation tool. This is being aided by mandatory certification and disclosure policies in several large cities in the United States, in Australia, and in Europe, along with voluntary programs like Energy Star and Leed, Australia’s Green Star and NABERS ratings, and Energy Performance Certificates (EPC) in Europe. In this paper the green premium for buildings has been singled out and then quantified through a market analysis of an urban central area of Reggio Calabria (Italy), i.e. the positive differential in terms of higher price toward sold real estate units having ecological characteristics and energy efficiency. This goal has been pursued comparing the results obtained by different methods: Multiple Regression Analysis (MRA), Appraisal System Approach (ASA) and Market Comparison Approach (MCA). With the results obtained, the contribution want to demonstrate how choosing sustainability, i.e. policies oriented to Green Buildings practices, besides mitigating energy consumption respecting the historical instance of buildings, are also able to generate economic impacts in terms of increased market value of the properties.

2 Models Specification 2.1

Appraisal System Approach (ASA)

The ASA is a methodological approach able to determine a property value and features’ hedonic prices on the basis of the solution of a linear equation system [36–38]. The ASA is set up starting from the generic appraisal function, for which the price of a property depends on its real estate characteristics, so:
 Pj ¼ f xj1 ; xj2 ; . . .; xjn

ð1Þ

Pj ¼ p1 xj1 þ p2 xj2 þ


þ pn xjn ;

ð2Þ

where xji (with i = 1 .. n) values represent the amount of the i-th real estate characteristics and pi represent the related hedonic prices. The price changes presented by two different j and k properties are consequence and function of the differences between the amounts of the related real estate characteristics: Pk ¼ p1 xk1 þ p2 xk2 þ


þ pn xkn : so that,

ð3Þ

Market Price Premium for Green Buildings

Pj  Pk ¼ p1 ðxj1  xk1 Þ þ p2 ðxj2  xk2 Þ þ


þ pn ðxjn  xkn Þ:

1239

ð4Þ

therefore, it can be stated that equals properties are priced the same. The comparable function (4) can be written also for the comparison between the subject and the generic comparable property of the comparables samples as: Pj  V ¼ p1 ðxj1  x01 Þ þ p2 ðxj2  x02 Þ þ


þ pn ðxjn  xon Þ;

ð5Þ

where x0i (with i = 1 .. n) values represent the amount of the subject’s real estate characteristics and V is the appraised market value of the subject. The appraisal system is based on equations related to the comparisons between the property being appraised and every single real estate property of a comparables sample. In particular, the appraisal system implements a set of m pairwise comparisons function related to the comparisons between the property being appraised and every single j-th real estate property of a comparables sample (j = 1 …. m): 8 P P1 ¼ V þ Pni¼1 ðx1i  x0i Þ
pi > > > n > < P2 ¼ V þ i¼1 ðx2i  x0i Þ
pi ... ¼ ... > > ... ¼ ... P > > : Pm ¼ V þ ni¼1 ðxmi  x0i Þ
pi

ð6Þ

where Pj are the known sales prices. In matrix form the (6) becomes: P ¼ D
p;

ð7Þ

In which: • p is the appraisal vector and P the known sales prices vector: 2 6 6 p¼6 4

V p1 p2 ... pn

3

2

7 6 7 6 7; P ¼ 6 5 4

P1 P2 ... ... Pn

3 7 7 7 5

• D is the differences matrix: 2

1 6 1 D¼4 ... 1 where dji ¼ xji  x0i .

d11 d21

d12 d22

. . . d1n . . . d2n

dm1

dm2

. . . dmn

3 7 5

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The resolution of the system is performed through the application of the least squares method when the system is determined: p ¼ D1
P

ð8Þ

otherwise it is performed through the application of the Moore-Penrose technique: • if m < (n + 1) then:
1 p ¼ DT
D
DT
P

ð9Þ

p ¼ ðDT
DÞ1
DT
P

ð10Þ

• if m > n + 1 then

2.2

Market Comparison Approach (MCA)

When the real estate market is active and all necessary market data are available, MCA is the most direct, probative and documented method useful to appraise real estate market values; in particular, the MCA is the most important method referable to the “Market Oriented Approach” [36]. The MCA is an assessment procedure that leads to the evaluation of the market value of a property based on a comparison with the prices of similar properties recently purchased or sold. It comes to determining the property value through a complex of monetary adjustments. The MCA is suitable for the evaluation of any kind of property, from condominiums to agricultural land, or buildings with special architectural value, provided that there is an adequate number of recent transactions of similar properties, through which you can make the comparison. The MCA is a systematic procedure based on adjustments - corrections in monetary terms - to be made at market prices of real estate comparables, to take account of the differences between the characteristics of real estate comparables and those of the property to be appraised. The MCA is constituted of the followings steps: market analysis, designed to collect real estate transaction date referred to properties similar to that being valued; choice of the characteristics which will drive the comparison; compilation of the data table and drafting of technical documents (photos, plans, etc.); hedonic price analysis; sales adjustment grid; reconciliation.

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3 Case Study 3.1

Description of Real Estate Sample and Application of the Multiple Regression Analysis

The market price analysis of the property carried out with the use of a multiple regression model provides for the adoption of statistical tools (significance test, measures of residues, etc.) able to select both the sample data and the endogenous variables [9–28]; these tools also allow to verify the reliability and the quality of results. The algebraic structure of proposed model has been specified on the basis of real estate data of the sample, as well with the help of statistical and empirical- argumentative tests, by implementing the following hedonic model: PRICE ¼ b1 FLOOR þ b2 MAIN þ b3 BATH þ b4 ZONE þ b5 ENERGY þ b6 AREA þ b7 AGE þ b8 DAT The data sample refers to a defined real estate market segment of Reggio Calabria (Calabria region, Italy) and, specifically, no. 490 sales of residential property units located in an urban central area during twenty five years (Tables 1 and 2).

Table 1. Variable description Variable Real estate price (PRICE) Property’s age (AGE) Sale date (DAT) Internal area (AREA) Number of services (BATH) Positional Variable (ZONE) Maintenance (MAIN)

Floor level (FLOOR) Energy efficiency class (ENERGY)

Description Expressed in thousands of Euros Expressed retrospectively in no. of years Expressed retrospectively in no. of months Expressed in sqm No. of services in residential unit Expressed with a score scale (from 1 to 6, passing from more central areas to peripheral areas) Expressed with a score scale (1 for bad conditions, 2 for mediocre conditions, 3 for good conditions, 4 for optimal maintenance state) No. of floor level of residential unit Expressed with a score scale (1 for “A” or “B” energy efficiency class, 0 for “G” energy efficiency class)

The sampled properties have the same build type and quality (residential units located in used multi-storey buildings), and they are included in a homogeneous central area in terms of qualification and distribution of main services.

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Parameter

PRC

AREA FLOOR MAIN AGE

BATH DAT ZONE ENERGY

Mean Std. Error Median Std. Dev. Kurtosis Asymmetry Range Min Max Conf. Int. (95%)

124.360,35 2.681,13 115.000,00 60.844,53 4,71 1,62 444.600,00 13.000,00 457.600,00 5.267,32

106,51 1,32 105,00 29,87 5,16 1,26 248,00 39,00 287,00 2,59

1,62 0,02 2,00 0,54 2,04 0,42 4,00 1,00 5,00 0,05

3,13 0,06 3,00 1,47 −0,92 0,21 6,00 1,00 7,00 0,13

3,00 0,04 3,00 0,89 −0,66 −0,47 3,00 1,00 4,00 0,08

27,33 0,84 24,00 19,01 1,07 1,04 102,00 0,00 102,00 1,65

10,43 0,30 10 6,92 −0,2 0,45 35 0,00 35 0,60

4,10 0,07 5,00 1,56 −1,23 −0,35 5,00 1,00 6,00 0,13

0,05 0,01 0,00 0,22 15,82 4,21 1,00 0,00 1,00 0,02

In the absence of multicollinearity phenomena, given the low correlation between the explanatory variables, the main verification indexes of the model are shown for completeness in tables and graphs. The amounts related to the standard error (€ 21,726.75) and absolute percentage error (12.93%) appear congruent, because the forecast values obtained using the proposed model show a trend compliant to observed data, also even residue analysis shows no abnormalities. From the statistical point of view, the determination index is equal to 0.976 (corrected index equal to 0.973), the F test is significant for a 95% confidence level. In the MRA, the variables’ coefficients directly express the implicit marginal prices (Table 3).

Table 3. Main results of MRA models. Coefficients AREA €/sqm 1.231,33 FLOOR €/level 2.159,75 MAIN €/pt. 13.543,80 AGE €/years 121,68 BATH €/n° 22.985,98 DAT €/months - 2.992,97 ZONE −€/pt. 16.319,21 ENERGY €/pt. 67.209,23

3.2

Std. Error 36,36196292 678,231542 1004,349308 47,48892481 2225,674618 149,3752047 606,2266117 4988,14726

Stat t 33,86304263 3,18438956 13,48514509 2,562374288 10,32764395 −20,03660113 −26,91932135 13,47378536

Significance value 2,9425E−132 0,001539791 1,23349E−35 0,01068368 8,03516E−23 3,26455E−66 8,8065E−100 1,38152E−35

Application of the ASA

The ASA was applied to the estimate sample considering a property that was the synthesis of the data that make up the sample as the property being evaluated. In particular, the characteristics attributed to the subject are as follows: AREA equal to 106.00 sqm; FLOOR equal to 4 floors; MAIN equal to 3 point; AGE equal to 19 years;

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BATH equal to 2; DAT equal to 0 years; ENERGY equal to 0 point. The results of the application of the ASA are shown below (Table 4).

Table 4. Results of the ASA Variables AREA €/sqm FLOOR €/level MAIN €/point AGE €/years BATH €/n° DAT €/months ENERGY €/point PROPERTY SUBJECT VALUE €

3.3

Hedonic prices 1.133,49 € 894,67 € 14.078,14 € 92,04 € 18.781,81 −€ 2.695,98 34.980,75 128.107,50

Application of the MCA

From the sample on which the MRA and ASA were implemented, a sub-sample consisting of two sales data to which the MCA was applied was extrapolated (Table 5). Table 5. Data table Sale price and real estate feature Real estate price (PRICE) Sale date (DAT) Internal area (AREA) Number of services (BATH) Floor level (FLOOR) Maintenance (MAIN) Energy Performance Index (ENERGY) KWh/sqm ∙ hear

Comparable A € 75,000.00 10 80 1 1 2 175

Comparable B € 160,000.00 20 115 2 2 2 65

The analysis of hedonic prices produced the following results (Table 6): Table 6. Hedonic price table Hedonic prices DAT €/months AREA €/sqm BATH €/n° FLOOR €/level MAIN €/point ENERGY €/kWh/sqm ∙ hear

Comparable A Comparable B −125 −266,67 937,5 1,391.30 3,733.33 5,333.33 2,250 4,800 5,000 5,000 −300 −431,25

Subject ? 0 106 2 4 3 180

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The drafting of the sales adjustment grid is shown below (Table 7): Table 7. Sales adjustments grid (€) Sale price and real estate feature Comparable A Comparable B PRICE 75,000 160,000 DAT 1,250 5,333.33 AREA 24,375 −12,521,70 BATH 3,733.33 0,00 FLOOR 6,750 9,600 MAIN 5,000 5,000 ENERGY −1,500 −49,593.80 Correct price 114,608.30 117,817.80

The reconciliation phase conducts to the correct price, equal to € 116,213.10.

4 Concluding Remarks The green premium for buildings has been singled out and then quantified through a market analysis of an urban central area of Reggio Calabria (Italy), i.e. the positive differential in terms of higher price toward sold real estate units having ecological characteristics and energy efficiency. This goal has been pursued comparing the results obtained by different methods: Multiple Regression Analysis (MRA), Appraisal System Approach (ASA) and Market Comparison Approach (MCA). The comparison of the three above methodologies showed that properties with better energy performance recorded an increase in value compared to properties that instead showed a worse energy class. The results obtained by the application of the proposed methods suggest there is substantial convergence between them (average percentage equal to 29.07). In the final table, the estimate indices are calculated in relation to the incidence of the price of the properties on the presence of a good/excellent energy class for the three methods applied (Table 8): Table 8. Estimate indices table Methodology MRA ASA MCA

Estimate index 26,90% 27,30% 33,00%

Acknowledgements. The authors contributed equally to the study.

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19. Massimo, D.E.: Green building: characteristics, energy implications and environmental impacts. Case study in Reggio Calabria. In: Mildred, C.-S. (ed.) Green Building and Phase Change Materials: Characteristics, Energy Implications and Environmental Impacts. Energy Science, Engineering and Technology, pp. 71–101. Nova Science Publishers Inc., New York (2015). ISBN 978-163482749-2 20. De Ruggiero, M., Forestiero, G., Manganelli, B., Salvo, F.: Buildings energy performance in a market comparison approach. Buildings 7, 16 (2017) 21. Del Giudice, V., De Paola, P.: Undivided real estate shares: appraisal and interactions with capital markets. Appl. Mech. Mater. 584–586, 2522–2527 (2014) 22. Del Giudice, V., Salvo, F., De Paola, P.: Resampling techniques for real estate appraisals: testing the bootstrap approach. Sustainability 10(9), 3085 (2018) 23. Del Giudice, V., De Paola, P., Torrieri, F., Nijkamp, P.J., Shapira, A.: Real estate investment choices and decision support systems. Sustainability 11(11), 3110 (2019) 24. Napoli, G., Giuffrida, S., Trovato, M.R., Valenti, A.: Cap rate as the interpretative variable of the urban real estate capital asset: a comparison of different sub-market definitions in Palermo, Italy. Buildings 7, 80 (2017) 25. Malerba, A., Massimo, D.E., Musolino, M., Nicoletti, F., De Paola, P.: Post carbon city: building valuation and energy performance simulation programs. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Smart Innovation, Systems and Technologies, vol. 101, pp. 513–531. Springer, Heidelberg (2019) 26. Spampinato, G., Massimo, D.E., Musarella, C.M., De Paola, P., Malerba, A., Musolino, M.: Carbon sequestration by cork oak forests and raw material to built up post carbon city. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Smart Innovation, Systems and Technologies, vol. 101, pp. 663–671. Springer, Heidelberg (2019) 27. Del Giudice, V., Massimo, D.E., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Post carbon city and real estate market: testing the dataset of Reggio Calabria market using spline smoothing semiparametric method. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Smart Innovation, Systems and Technologies, vol. 100, pp. 206–214. Springer, Heidelberg (2019) 28. Massimo, D.E., Del Giudice, V., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Geographically weighted regression for the post carbon city and real estate market analysis: a case study. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Smart Innovation, Systems and Technologies, vol. 100, pp. 142–149. Springer, Heidelberg (2019). https://doi.org/10.1007/978-3-31992099-3_17 29. De Paola, P., Del Giudice, V., Massimo, D.E., Forte, F., Musolino, M., Malerba, A.: Isovalore maps for the spatial analysis of real estate market: a case study for a central urban area of Reggio Calabria, Italy. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Smart Innovation, Systems and Technologies, vol. 100, pp. 402–410. Springer, Heidelberg (2019) 30. Massimo, D.E., Malerba, A., Musolino, M.: Green district to save the planet. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Green Energy and Technology, pp. 255–269. Springer, Heidelberg (2018) 31. Massimo, D.E., Malerba, A., Musolino, M.: Valuating historic centers to save the planet soil. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Green Energy and Technology, pp. 297–311. Springer, Heidelberg (2018)

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32. Musolino, M., Malerba, A., De Paola, P., Musarella, C.M.: Building efficiency adopting ecological materials and bio architecture techniques, pp. 1–10. ArcHistoR (2020) 33. Simonotti, M., Salvo, F., Ciuna, M., De Ruggiero, M.: Measurements of rationality for a scientific approach to the market-oriented methods. J. Real Estate Lit. 24, 403–427 (2016) 34. Ciuna, M., De Ruggiero, M., Manganelli, B., Salvo, F., Simonotti, M.: Automated valuation methods in atypical real estate markets using the mono-parametric approach. In: Gervasi, O., et al. (eds.) ICCSA 2017. LNCS, vol. 10406, pp. 200–209. Springer, Cham (2017) 35. Carini, M., Ciuna, M., De Ruggiero, M., Salvo, F., Simonotti, M.: Repeat assessed values model for housing price index. Real Estate Manag. Valuation 25(4), 25–39 (2017) 36. Manganelli, B., Morano, P., Tajani, F., Salvo, F.: Affordability assessment of energyefficient building construction in Italy. Sustainability 11(1), 249 (2019) 37. Morano, P., Tajani, F., Salvo, F., De Ruggiero, M.: Weight coefficients in the appraisal system approach. Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics). LNCS, vol. 11622, pp. 3–12 (2019) 38. Tajani, F., Morano, P., Salvo, F., De Ruggiero, M.: Property valuation: the market approach optimised by a weighted appraisal model. J. Prop. Invest. Finance (2019)

The European Green Deal: New Challenges for the Economic Feasibility of Energy Retrofit at District Scale Grazia Napoli1(&)

, Simona Barbaro1 , Salvatore Giuffrida2 and Maria Rosa Trovato2

,

1

University of Palermo, 90133 Palermo, Italy [email protected] 2 University of Catania, 95124 Catania, Italy

Abstract. The European Green Deal proposes an epochal change in the European society by transforming environmental and climatic problems into opportunities and making sustainable and fair the European Union economic system. Radical changes will also concern urban redevelopment and energy efficiency measures in order to reduce global greenhouse gas emissions. To achieve these objectives, rules and standards, as well as financial resources and assessment tools, are needed to support both urban planning and public decision process. This paper aims to analyze the existing European programs that are applied in some European smart cities, as they constitute a valuable source of information for the development of financial schemes and evaluation tools ad hoc for the Green Deal implementation. Moreover, the analysis of the pilot projects of the ZenN program has made possible to identify some critical issues regarding the economic feasibility of energy retrofit at a district scale, though further studies will be required to respond to the new assessment challenges launched by the Green Deal. Keywords: Cost effectiveness buildings


European Green Deal
Energy efficiency of

1 Introduction With the European Green Deal proposed by the European Commission [1], the challenge is launched towards an epochal change in the European economic and social system that could accelerate the implementation of the sustainability principles set out by both the Bruntland Commission more than three decades ago [2] and the United Nation’s 2030 Agenda. Nowadays, we have to face an entropic watershed that can no longer be deferred, marking a turning point in which the minimization of entropy must lead all of individual and collective, economic and social actions. The designing of actions and rules to make the Green Deal operative is another challenge in which the economic evaluations play a central role, as they may aid to verify the will, and also the possibility and opportunity, to overcome the conflict between social foresight and economistic short-sightedness, and harmonize social ethics and intergenerational solidarity with respect to the maximizing profit approach © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1248–1258, 2021. https://doi.org/10.1007/978-3-030-48279-4_116

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and the minimization of the payback period of the capital. The implementation of the Green Deal will be particularly complex and needs to use all of the political levers, such as regulation and standardization, investments and innovation, national reforms as well as international cooperation, to achieve the sustainable development goals. The Green Deal would be partially financed by the European Union (EU) funds and the European Investment Bank (EIB), through multiple financial measures, e.g. subsidies or grants, feed-in tariff, feed-in premium, subsidized loans and tax incentives, or by applying financial schemes such as white certificates and energy performance contracts. However, all these measures should also activate additional public and private financial resources, in order to provide an adequate support to whom promotes the transition to low carbon and climate resilient activities. There is also an ethical and political need to articulate these measures for the compensation of the market failures and the energy poverty of low-income household. In these cases, the analysis of the economic feasibility can be used for various purposes, such as the selection of the best actions and projects, and the designing of the alternatives. This analysis may also become a tool to bring out the critical economic aspects of the measures and avoid that they could accentuate or even provide further social discriminations. In the literature, there is a great variety of issues where the economic analysis is applied to the energy efficiency retrofitting measures of buildings, or implemented to neighborhoods and in urban areas. The appreciation of the energy efficiency of buildings by the real estate market has been examined in several case studies highlighting that the marginal price of the energy efficiency can undergo significant variations with respect to market segments or spatial location within the city [3–6]. The financial analyzes were diversified to adapt them to the evaluation of energy retrofit measures of both Nearly-Zero Energy Building NZEB and existing buildings [7–9], or also of buildings having historical and architectonic values [10]. The influence of public incentives on the choice and implementation of energy retrofitting measures is another field where economic assessments are useful in terms of both ranking of alternatives and validation of environmental policies [11, 12]. The choice between measures that differ in terms of materials and technologies, or building typology and measures type, also needs in-depth financial assessments [13, 14]. However, a more complex evaluation approach has to be adopted when operating in historical contexts or with symbolic values [15–17] and can apply multi-criteria evaluations to support the participatory decision-making process [18–20].

2 The European Framework 2.1

The European Green Deal

In December 2019, the European Commission presented the European Green Deal to make the economy of the European Union sustainable, transforming environmental and climate problems into opportunities and guaranteeing a socially fair transition. The European Commission also outlined several policies, key actions and objectives that will have to be developed by the EU and the Member States (Fig. 1) [1, 21]. The main

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objectives are the improvement of the health and quality of life of the European citizens, the protection of nature and the transformation of the current economic model without anyone being excluded from this process or left behind. As a consequence, the new strategies will concern numerous interlinking economic sectors, such as industry, transport, infrastructure, construction, agriculture, energy.

Fig. 1. The European Green Deal (source: European Commission, 2019).

Among the key lines of the Green Deal, “Building and renovating in an energy and resource efficient way” can have a great influence on urban renewal and building refurbishment. Such renovations are indispensable as around 75% of the European population lives in cities and buildings are responsible for around 40% of EU energy consumption and 36% of CO2 emissions [1]. Since almost 75% of the EU’s building stock is inefficient from an energy point of view, the Green Deal aims to launch a “renovations wave” of public and private buildings in order to increase the annual renovation rate of the European real estate stock, with particular attention being paid to hospitals and school buildings, but also social housing to reduce energy poverty. The Green Deal underlines the importance of intensifying efforts to adapt the cities to the effects of climate change, e.g. through the creation of “green infrastructures” which are able to improve the quality of the natural and built environment. These actions together with others, such as energy price policy, digitalization, etc. (Fig. 2), would make possible to respond to the challenge of energy efficiency and, at the same time, increase the investment in the construction sector, which generates around 9% of European GDP and represents 18 millions direct jobs [1]. To adapt the construction sector to the needs of the circular economy, the European Commission plans to review the regulation on construction products (EU Regulation No. 305/2011) and proposes an ‘open platform’ where the building and construction sectors, architects and engineers, and also local authorities will be able to collaborate to face the most common barriers to renovation as, for example, the rules that restraint energy efficiency investments in leased and multi-owners buildings [1]. Another aim of

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the platform is to encourage the aggregation of investments into large blocks in order to obtain better financing conditions and the savings deriving from economies of scale. Innovative funding schemes should also be presented within InvestEU in order to facilitate housing associations and energy service companies (e.g. with Energy Performance Contracts) and to help households to renovate their homes [1].

Fig. 2. Improvement of energy performance of buildings (source: European Commission, 2019)

2.2

The European Programs for Energy Efficiency of Buildings

The transition process towards low carbon cities prefigured by the Green Deal is in continuity with the contents of numerous European Directives (2010/31/UE (EPBD), 2012/27/UE, 2018/844/UE, and 2018/2002/EU) that provide guidance on the national Long-term Renovation Strategies and oblige the Member States to develop the Integrated Ten-Year National Energy and Climate Plans (NECP) [22–27]. The EU has long promoted energy efficiency measures at the district scale as they provide several advantages: • • • • •

reduction of unit costs due to economies of scale; creation of synergistic effects between actions of different types; greater effectiveness in implementing urban energy strategies; more advantageous financing conditions; potential investment aggregation in critical urban areas.

The scale of the district also allows undertaking sustainable measures in relatively homogeneous portions of territory with a lower degree of complexity than the one of the whole urban system. That implies an advantageous increasing of the achievable results in terms of number and duration by using minor economic resources in comparison to the same actions applied to single buildings [28]. For these reasons, the European policies proposed the Nearly Zero Energy District (NZED) as an overcoming of the Nearly Zero-Energy Buildings (NZEB) and implemented various programs to test the planning of energy retrofit on an urban scale and evaluate its economic feasibility [22, 29]. Smart cities were chosen as testers and promoters of these programs, which constitute a useful and representative database also

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for their potential confluence in the Green Deal. The My Smart City District (MSCD) group was recently formed with the aim of sharing mutual experiences and know-how and facilitating large-scale replication of energy efficiency interventions.

Fig. 3. Synoptic table of the European Programs of My Smart City District.

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This group includes the following programs: • R2CITIES - Residential Renovation Towards Nearly Zero Energy Cities, aimed at developing open and easily replicable strategies for the design, construction and management of district scale retrofit interventions in order to achieve the goal of a nearly zero energy city; • EU-GUGLE - European cities serving as Green Urban Gate towards Leadership in sustainable Energy, aimed at the collection of planned or implemented energy retrofit actions at the scale of the neighborhood to certify their economic feasibility as well as political and social usefulness; • ZenN - Nearly Zero Energy Neighborhoods, aimed at reducing energy consumption in existing buildings and neighborhoods by demonstrating the technical, financial and social feasibility of innovative refurbishment processes with low energy consumption; • CITyFiED - Replicable and Innovative Future Efficient Districts and Cities, aimed at promoting systematic and replicable strategies to support the evolution of European cities and urban ecosystems towards the smart cities of the future; • Symphony - Cities with low CO2 emissions for a better quality of life, promoted to implement extensive, integrated and scalable energy solutions in medium-sized European cities; • City-Zen - City Zero (Carbon) Energy, aimed at developing and sharing methodologies and tools useful to cities, industries and citizens that intend to achieve the objectives of energy efficiency; • Celsius Initiative, a collaboration hub that promotes efficient and integrated heating and cooling measures; • READY - Resource Efficient cities implementing ADvanced smart citY solutions, aimed at demonstrating that the need for fossil fuels and the CO2 emission can be reduced to nearly zero through the development of new smart solutions. All these Programs have very different characteristics in terms of object, coordinator, stakeholders, source of financing, rate of European funding, duration, use of buildings, etc., which are summarized and compared in Fig. 3 [29, 30]. 2.3

The ZenN Program and the Financing of the Energy Efficiency of Buildings

The implementation of energy retrofitting measures of buildings is strongly conditioned by the achievement of economic feasibility for all the stakeholders, e.g. owners, tenants, investors, banks, and public administrations. It therefore becomes of fundamental importance to identify, optimize and disseminate financing schemes proposed to facilitate and broaden the participation of public and private stakeholders, especially at the neighborhood scale. The ZenN program is particularly interesting because it experiments with various types of financing instruments in some pilot projects [29, 30]: • the Arlequin district in France, which is a residential settlement built in the 70s with 1,800 houses characterized by a mixed ownership system;

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• the Lindängen district in Sweden, which is made up of some residential buildings built in the 70s and owned by one sole private real estate company; • the Mogel neighborhood in Spain, which is a 1950’s residential settlement of 21 buildings whose ownership is highly fragmented; • the Økern nursing home in Norway, which is a building system, containing 140 housings for the elderly, owned by a real estate management company and rented to the city district. The Fig. 4 displays the results of a comparative analysis of the former four projects. They have very different features, some of which may affect the achievement of the economic feasibility [27–29], however the most critical elements are: • the ownership type; • the role of private financings (banks); • the availability of public subsidies or grants.

Arlequin City of di Grenobl FR

Mogel City of Eibar SP

Lindängen City Malmö SE

Økern City of Oslo NO

Residential housing, social housing, nursing home

Residential housing Residential housing

1970's

1960's - 1970's

1950's

1970's

1,800 dwellings (of which 71 are dwellings for senior citizens)

4 buildings 250 dwellings

21 buildings

1 buildings 140 dwellings for senior citizens

Ownership structures

Mixed property

Unique property

Mixed property

Unique property

Ownership name

Associations of social housing SDH (SociÈtÈ Dauphinoise pour l'Habitat) and ACTIS (SociÈtÈ de gestion d'habitations ‡ loyer modÈrÈ), private citizens

Trianon (real estate company)

Private citizens

Omsorgsbygg Oslo KF (OBY) (a municipal company owned by the city of Oslo)

Tecnalia Research & Innovation

SINTEF

Tecnalia CorporaciÛn TecnolÛgica

Oslo Municipal Services Company

Use of the buildings Years of construction Renovated buildings and /or dwellings (no.)

Coordinator and/or referent Demostration 2 areas (m )

21,006

Final Energy Savings (MWh per years)

2,772.792

1,778.715

12,859,878

6,400,000 €

Total investment cost (€)

0€ (0%)

City budget (€)

674,960 € (5%)

ZenN Project (€)

4,693,326 (37%)

Loans (€) Other sources of contributions

Urban Renewal Project

SHD own funds

Other sources of contributions (€)

4,228,047 (33%)

2,570,545 (20%)

MÈtropole energy support 693,000 € (5%)

13,125

20,445

564.375

0€ (0%)

Basque Government

Residentsí funds

0 € 2,800,000 (0%) (40%)

3,066,500 (44%)

237

18,000,000

175,000 (2%)

16,971,000 (94)

0 (0%)

5,378,000 € (84%)

16,593

7,004,000

892,500 € (13%)

1,022,000 € (16%)

/

Nursing home

468,000 (3%) 0 (0%)

Basque ENOVA (Norwegian Energy National Energy Agency Agency) (EVE) 70,000 € 561 (1%) (3%)

Fig. 4. Features of the four case studies of the ZenN program.

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The ownership type undoubtedly influences the decision-making process, which becomes particularly complex when there are multi-owners buildings and, consequently, many different and conflicting needs to be met. The ownership type also affects the financing schemes which should be flexible and personalized in order to allow all owners to access an affordable loan to participate in the energy retrofitting costs of their property [29–31]. Another fundamental issue that involves the ownership is strictly connected to the projects direct benefits that are shared between who owns the property and who uses it, since on the one hand the premium price of the property is an economic advantage for the owner, while on the other hand the reduction in management costs and a greater comfort level only advantage who uses the property. When the properties are rented, it therefore happens that the owners have to face the costs of the refurbishment entirely, while the tenants obtain financial advantages (savings in the energy bill). This asymmetry brings out the need to find specific solutions to rebalance a fair distribution of all the financial and economic advantages/ disadvantages. Banks mostly decide to grant or deny a loan for energy retrofitting projects by applying the same criteria used for any type of investments -maximization of profits and minimization of risk- and rarely offer specific financial products [31]. Furthermore, according to a financial perspective, investments in energy retrofitting actions are characterized by the use of huge monetary resources, which do not provide short-term profits, and have a high financial risk associated with the assumption of credits for large-scale retrofit. Consequently, banks may refuse to lend to owners who do not have good credit ratings, compromising the overall realization of a project at the neighborhood scale [31]. The possibility of obtaining public grants from European funds, that may be combined in different proportions with national, regional and/or municipal funds, is another very heterogeneous factor that makes variable the share of private invested capital, which has to be remunerated at a market interest rate. It follows that a high (low) public contribution or invested capital ratio facilitates (hinders) the achievement of economic feasibility and influences the decision to carry out the action. For example, the regional funding of the Basque government was the main financial resource in the Spanish project; the French project was financed in comparable shares by national and regional funds; whereas the Norwegian project was financed mainly by municipal rather than national subsidies. The only project that applies for no additional public subsidy to the ZenN loans was the Swedish one, where the sole owner of the properties easily obtained a financing from a private bank [31]. It worth to notice that the investors and owners willingness to participate to this type of program could be strengthened if public authorities assure the continuity of the public grants program as well as the procedures consistency. These declarations would reassures investors and allow them to use funding more efficiently for future projects on the basis of previous knowledge and experience [31]. Beside, the national and local public administrations are aware that, without financial incentives, the advantages -environmental benefits, reduction of the management costs and the added value of the property price- may be not enough to persuade the property owners to invest in the energy retrofitting actions. For this reason, many regional and local governments have decided to finance this type of

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projects and have provided some support tools for their implementation so as to give a contribution to achieving the European goals through the improvement of the energy performance of the existing building stock [31].

3 Conclusions The implementation of the European Green Deal in terms of ‘Building and renovating in an energy and resource efficient way’ key line will need a large amount of public and private financial resources and the involvement of all the stakeholders in the energy efficiency projects at the neighborhood scale. The analysis of My Smart City District programs and the pilot projects of the ZenN program has allowed to identify the most critical issues -such as the ownership type, the role of private financing and the availability of public subsidies or grants- that the decision process have to deal with and that may affect the achievement of economic feasibility, moreover it provides a good starting point to develop further innovative financial schemes.

References 1. European Commission (2019), The European Green Deal, COM(2019) 640 final, Brussels. https://ec.europa.eu/info/strategy/priorities-2019-2024/european-green-deal_en. Accessed 28 Jan 2020 2. WCED, Our Common Future, Report of the World Commission on Environment and Development, Anex to document A/42/427 (1987). https://en.wikisource.org/wiki/ Brundtland_Report. Accessed 28 Jan 2020 3. Fregonara, E., Rolando, D., Semeraro, P.: Energy performance certificates in the Turin real estate market. J. Eur. Real Estate Res. 10(2), 149–169 (2017) 4. Marmolejo-Duarte, C., Chen, A., Bravi, M.: Spatial implications of EPC rankings over residential prices. In: Mondini, G., Stanghellini, S., Oppio, A., Bottero, M., Abastante, F. (eds.) Values and Functions for Future Cities, Green Energy and Technology, pp. 51–71. Springer, Cham (2020) 5. Morano, P., Rosato, P., Tajani, F., Di Liddo, F.: An analysis of the energy efficiency impacts on the residential property prices in the city of Bari (Italy). In: Mondini, G., Stanghellini, S., Oppio, A., Bottero, M., Abastante, F. (eds.) Values and Functions for Future Cities, Green Energy and Technology, pp. 73–88. Springer, Cham (2020) 6. Massimo, D.E., Del Giudice, V., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Geographically weighted regression for the post carbon city and real estate market analysis: a case study. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Series: Smart Innovation, Systems and Technologies, vol. 100, pp. 142–149. Springer, Berlin (2019). https://doi.org/10.1007/978-3319-92099-3_17 7. Barthelmes, V.M., Becchio, C., Bottero, M., Corgnati, S.P.: Cost-optimal analysis for the definition of energy design strategies: the case of a Nearly-Zero Energy Building. Valori e valutazioni 21, 61–76 (2016) 8. Gagliano, A., Giuffrida, S., Nocera, F., Detommaso, M.: Energy efficient measure to upgrade a multistory residential in a nZEB. AIMS Energy 5(4), 601–624 (2017)

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9. Nocera, F., Giuffrida, S., Trovato, M.R., Gagliano, A.: Energy and new economic approach for nearly zero energy hotels. Entropy 21(7), 639 (2019) 10. Napoli, G., Mamì, A., Barbaro, S., Lupo, S.: Scenarios of climatic resilience, economic feasibility and environmental sustainability for the refurbishment of the early 20th century buildings. In: Mondini, G., Stanghellini, S., Oppio, A., Bottero, M., Abastante, F. (eds.) Values and Functions for Future Cities, Green Energy and Technology, pp. 89–115. Springer, Cham (2020) 11. Napoli, G., Gabrielli, L., Barbaro, S.: The efficiency of the incentives for the public buildings’ energy retrofit. The case of the Italian Regions of the “Objective Convergence”. Valori e valutazioni 18, 25–39 (2017) 12. Bottero, M., D’Alpaos, C., Dell’Anna, F.: Boosting investments in buildings energy retrofit: the role of incentives. In: New Metropolitan Perspectives, pp. 593–600. Springer (2018) 13. Nesticò, A., De Mare, G., Aurigemma, I.: Off-site construction. The economic analyses for the energy requalification of the existing buildings. In: Mondini, G., Stanghellini, S., Oppio, A., Bottero, M., Abastante, F. (eds.) Values and Functions for Future Cities, Green Energy and Technology, pp. 447–462. Springer, Cham (2020) 14. Dell’Anna, F., Vergerio, G., Corgnati, S., Mondini, G.: A new price list for retrofit intervention evaluation on some archetypical buildings. Valori e Valutazioni 22, 3–17 (2019) 15. Giannelli, A., Giuffrida, S., Trovato, M.R.: Madrid Rio Park. Symbolic values and contingent valuation. Valori e valutazioni 21, 75–85 (2018) 16. Giuffrida, S., Ventura, V., Nocera, F., Trovato, M.R., Gagliano, F.: Technological, axiological and praxeological coordination in the energy-environmental equalization of the strategic old town renovation programs. In: Mondini, G., Stanghellini, S., Oppio, A., Bottero, M., Abastante, F. (eds.) Values and Functions for Future Cities, Green Energy and Technology, pp. 425–446. Springer, Cham (2020) 17. Della Spina, L., Calabrò, F.: Decision support model for conservation, reuse and valorization of the historic cultural heritage. In: 18th International Conference on Computational Science and Its Applications. Lecture Notes in Computer Science, Melbourne, Australia, pp. 3–17 (2018) 18. Abastante, F., Lami, I.M., Lombardi, P.: An integrated participative spatial decision support system for smart energy urban scenarios: a financial and economic approach. Buildings 7(4), 103 (2017) 19. Capolongo, S., Sdino, L., Dell’Ovo, M., Moioli, R., Della Torre, S.: How to assess urban regeneration proposals by considering conflicting values. Sustainability 11(14), 3877 (2019) 20. Napoli, G., Leone, M.: The urban park as a “social island”. The ANP in the participatory project of Parco Uditore in Palerm. In: Mondini, G., Stanghellini, S., Oppio, A., Bottero, M., Abastante, F. (eds.) Values and Functions for Future Cities, Green Energy and Technology, pp. 229–248. Springer, Cham (2019) 21. European Semester Autumn Package: Creating an economy that works for people and the planet. http://www.ec.europa.eu. Accessed 21 Jan 2020 22. Directive 2010/31/UE. http://www.eur-lex.europa.eu. Accessed 21 Jan 2020 23. Directive 2012/27/EU. http://www.eur-lex.europa.eu. Accessed 21 Jan 2020 24. Directive 2018/844/UE. http://www.eur-lex.europa.eu. Accessed 21 Jan 2020 25. Directive 2018/2002/EU. http://www.eur-lex.europa.eu. Accessed 21 Jan 2020 26. Energy Strategy. http://www.ec.europa.eu. Accessed 21 Jan 2020 27. Energy Efficiency. http://www.ec.europa.eu. Accessed 21 Jan 2020 28. Bottero, M., Caprioli, C., Cotella, G., Santangelo, M.: Sustainable cities: a reflection on potentialities and limits based on existing eco-districts in Europe. Sustainability (Switzerland) 11(20), 5794 (2019)

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29. My Smart City District. http://www.mysmartcitydistrict.eu. Accessed 21 Jan 2020 30. EU Smart Cities Information System. http://www.smartcities-infosystem.eu. Accessed 21 Jan 2020 31. Economic and ownership structures. D.4.3 Report. http://www.smartcities-infosystem.eu. Accessed 21 Jan 2020

Towards an Eco-Compatible Origin of Construction Materials. Case Study: Gypsum Francisco J. Pérez-García(&), Esteban Salmerón-Sánchez, Fabián Martínez-Hernández, Antonio Mendoza-Fernandez, Encarnación Merlo, and Juan F. Mota Department of Biology and Geology, Universidad de Almería, CITE II-B, CECOUAL, Ctra. Sacramento s/n, La Cañada de S. Urbano, 04120 Almería, Spain [email protected] Abstract. To be considered “sustainable”, a city must be built with materials whose extraction and processing are not very aggressive with the environment and its ecological footprint palliated as much as possible. One of the materials most used in construction is the plaster. The gypsum outcrops, although traditionally have been poorly valued, have geomorphological and especially floristic values. In fact, to the point that the bushes that are developed on them have been declared priority habitats No. 1520 of the EU. Given this dichotomy exploitation/conservation, intelligent management is imposed that tries to harmonize both interests: limit the number of mines and when they finish their activity, restore them. When restoring a quarry, avoid trying to “improve” nature and use highly artificial methods. We must comply with the modest (and at the same time very difficult task) that over the years the quarry resembles (biomimetics) the ecosystem there before the extractive work. This ecosystem is known as baseline ecosystem and must be adopted from the beginning. For a correct restoration, 14 points of good practice are proposed. Although focused on the flora (which gives structure to the escosystem) these do not forget landscape, microbiological, ornithological aspects, etc. In addition there is another area of work: education, we must make society aware of the values that be present in the gypsum outcrop. Keywords: Baseline ecosystem
Biodiversity-biomimetic conservation
Carbon sequestration
Ecological restauration
Gypsophite
Environmental footprint

1 Introduction 1.1

A Subsection Sample

According to [1–14] we must understand that “sustainable cities” are those cities that are integrated in a harmonious way energetic aspects, socio-economic interests and environmental issues. Regarding environmental ones, the entire useful life of an infrastructure or machinery must be considered. For example, it may seem that a wind © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1259–1267, 2021. https://doi.org/10.1007/978-3-030-48279-4_117

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turbine generates clean energy, but if the different metals that it contain (copper or aluminum) were obtained harmfully from the environment, contaminating water. And if to the end of its useful life it is donated to a third-world country, the recovery of metals can cause diseases to the people. This is not a sustainable way to obtain electricity at all, no matter how good it looks. The need to look at the entire industrial process also reaches constructions materials. A building can be very beautiful and functional, but the origin and treatment of its components can have a painful environmental footprint. In this work we will focus on one of the most used construction materials: gypsum (and all the anhydrite series and bassanite or plaster, included). Gypsum is usually more abundant in dry or arid areas. In the old world it is located in the remnats of the seashore of the ancient Tethys Sea [15, 16], where plate tectonics has been closing (and still does) what was a sea, leaving many inner seas, lakes, sabkhas and lagoons, where gypsum precipitated along with other materials. Out of this “Global Zipper” which is extended from Laos to the Iberian Peninsula, in the new world the sedimentary basins of North America stand out. As a consequence, countries with the highest gypsum production (listed in Table 1) are present in these areas. Table 1. Major countries in gypsum mine production from 2014 to 2018 (in 1,000 metric tons) [17]. United States Iran China Australia Thailand Turkey Spain Oman Mexico Japan France Russia Brazil Saudi Arabia Germany India Egypt Algeria Pakistan Canada

2014 11,000 15,000 12,900 3,500 6,300 13,800 6,400 2,790 5,090 4,670 2,300 5,100 3,750 2,400 1,950 3,540 – 2,130 – 2,650

2015 11,500 22,000 13,200 3,500 12,500 10,000 6,400 3,500 5,300 5,000 3,300 4,500 3,300 2,400 1,800 3,500 – 2,200 – 2,700

2016 15,500 16,000 13,000 2,600 12,000 13,000 7,000 6,500 5,400 4,700 3,300 4,000 3,300 1,900 1,800 3,500 – 2,300 – 1,600

2017 20,700 16,000 15,500 14,700 9,250 9,000 7,000 5,500 5,400 4,700 4,200 4,000 3,400 3,150 3,100 2,700 2,200 2,200 2,000 1,700

2018 21,000 16,000 16,000 15,000 9,300 9,000 7,000 5,500 5,400 4,700 4,200 4,000 3,400 3,200 3,100 2,700 2,200 2,200 2,000 1,700

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But data can be misleading, as some countries can double (and more) their production by using synthetic gypsum obtained from coal thermal power plants, which can be seen as the use of a by-product that avoid more mineral extractions or a financial support to a power obtaining system that should be extinguished [5]. Gypsum outcrops are characterized by their sparse vegetation and low biomass, reason why they have been traditionally neglected, being used as cultivation areas, landfills, urban planning and reforestation with inadequate species. To all this, it should be added, of course, mining. All this despite containing recognized geomorphological values, given the large number and spectacular nature of the speleothems that the dissolution/precipitation game originates. Thus, not a few protected areas were primarily considered due to their geomorphological values, and later repairing in other aspects. Nor should we ignore historical and cultural values, such as the old ovens that were built centuries ago to heat gypsum from the quarries of the epoch [18]. From a botanical point of view, in gypsum outcrops it is possible to find taxa that grow exclusively in such substrate (gypsophytes) or with certain preference (gypsocline) [19–21]. They are a refuge for xerotermophilic taxa which more typical from other areas, and harbor unique physiological phenomena. Moreover, gypsum outcrops are habitats with a certain degree of isolation, within a matrix of soils with different composition, behaving like “islands” and showing a high b-diversity. In fact, Mediterranean gypsum vegetation has been declared by the EU “priority habitat” Nº. 1520. [10]. Another aspect often ignored is that vegetation, which is more sparse than the present on surrounding more “common” soil, is the maximum potential vegetation (PNV) that can be on that substrate and climate. This concept (often confused with the outdated idea of “climax”) is not a commitment to any build perfect stage of nature but it can contribute to better management by providing targets for restoration and improving naturalness, ecosystem conservation and biodiversity preservation [22]. PNV has achieved a large biomass, that is, a large amount of fixed CO2. as it happens in other ecosystems [3].

2 Homo Deus On the barren base of a quarry, there are no missing those who wanted to “improve” nature, with predictable disastrous results. The case of repopulation with native forest species (Pinus sp.) has already been commented, which after decades of growth on the unsuitable substrate, show low growth and certainly, they are not a good example of CO2 sequestration. Other solutions are the plantations of exotic species (Acacia sp., Eucalyptus sp.), which reach higher sizes, so, they have certainly fixed enough atmospheric CO2. However, they are not as sustainable as it might seem. Invasive alien plant species are spreading in nature and probably they will compete with the native flora, being this fact one of the main causes of extinction [23, 34–36]. Furthermore, an artificial system is being created, whose long-term behaviour is unpredictable. In the Iberian southeast there are two clear examples of how risky it is to play “Russian roulette of introduced species”. Crops and naturalized specimens of the prickly pear (Opuntia ficus-indica)

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and fibber-producing agaves (Agave sisalana and A. fucroydes) became popular. They were seen as plants that coloured green a barren desert (love for native flora has never been the strength of many locals). But in the first decade of the 21st century, the globalization that brought those Mexican plants also brought their parasites: prickly pear cochineal (Dactylopius opuntiae) and agave snout weevil (Scyphophorus acupunctatus). Both alien species populations are currently in decline, so erosive phenomena are inevitably appearing in areas where the loss of the native flora was almost complete. But even more drastic solutions have been proposed. When the gypsum soil is scarce in nutrients, when the substrate of an abandoned quarry is pure rock, the application of artificial solutions such as adding fertilizers or other ‘soft’ substrates (sewage sludge, organic compost from urban waste) [24] propitiates that conventional plants paint in green a barren landscape. This generates halophilous and nitrophilic vegetation ‘islands’ (e.g. Atriplex halimus), which causes a great visual impact due to the contrast with the surrounding vegetation. And what is worse, the peculiar (and often threatened) gypsum flora loses habitat extension, which leads it even more towards the extinction, taking into account the isolate character of gypsum outcrops.

3 Seeking Allies In the previous section, restoration solutions that are aggressive with the environment and threaten the survival of native species have been reviewed. It is possible that some of these methods can sequester more carbon than other softer procedures. But we are faced with a paradox: governments (at least in Europe) have committed on one hand to reduce CO2 emissions and sequester carbon, and on the other, to avoid species extinction, considering certain types of Habitats as a conservation priority (e.g. Mediterranean gypsum scrubs). So we must reach a categorical conclusion: a city built using gypsum from such aggressive procedures for biodiversity conservation does not integrate the environmental issues in a harmonious way, therefore it cannot be considered a sustainable city. The question is not simple at all: gypsum outcrops harbour a rare and diverse biotic component that must be preserved, but it has been under an intense industrial pressure since ancient times. All accompanied by a low social valuing, based on a deep ignorance. Perhaps, to address it, we must return to the classics, in that sense Natura non nisi parendo vincitur [Nature can only be vanquished if obeyed] of Francis Bacon rumbles. We must use our knowledge of nature to mitigate the extractive activities damages and to ensure the survival of their biota, escaping from drastic solutions that contravene natural dynamics. A priori, the conservation vs. exploitation dilemma approximates a zero-sum game; i.e., what conservation wins will be lost by industrial exploitation. However, some studies on plant succession in abandoned gypsum quarries have provided some evidences to the contrary. Although absolutely sustainable development is not achieved, it is possible to partially restore the damages of gypsum outcrops, even if they have been exploited by mining. However, different authors warn that restoration is not an alternative to the gypsum outcrops conservation and their biological and geological diversity. The idea of the moderate ability to undertake

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ecological restorations of quarries should not be misunderstood as an argument to exploit gypsum everywhere. Nevertheless, despite the modest human ability to restore the mining gypsum landscapes, to undertake restoration actions, adding artificial efforts to natural processes, are always essential. First of all, we must know what we are looking for: an ecosystem that is an unexploded part of the quarry, adjacent or very close zone. In that sense a complete characterization of the area for extractive activity is necessary, it usually coincides with the surroundings of the future quarry. This will be our Baseline Ecosystem, the one we have to approach and, in the antipodes of artificial solutions, we must pretend to Biomimetics: over the decades the restored quarry will be hardly distinguishable from other portions of the outcrop not affected by mining. Usually the Baseline Ecosystem coincides with the aforementioned Maximum Potential Vegetation, so that atmospheric carbon is fixed in the evolution process towards it. Like in other process [25]. In order to achieve these so ambitious aims we must return to Lord Bacon’s quote since we have a great natural ally: Plant Succession, This is the evolution that occurs naturally, producing that a phytocoenosis by its own internal dynamics is replaced by the same plants that integrate it. So a recently abandoned quarry will not present the same components as decades later [26–28]. The restorer’s job is to support and accelerate these changes, leading the restoring area to the Baseline Ecosystem. Within the sorts of plant succession, the one that concerns us here is the Primary Succession, where the soil has lost all its ‘memory’ of what could grow there; we are faced with the same case of a cold volcanic eruption materials or the retraction moraine of a glacier. At least in the case of southern Europe, primary and autogenic plant succession can be observed, that is, despite the fact there is no seed bank in soil (there is almost no substrate), the first species in colonizing are gypsophilous plants, more specifically species of Gypsophila genus (G. struthium in Spain, G. arrostii in Italy, G. eriocalyx in Turkey). This does not means that nitrophilic plants with high colonization capacity, cannot be introduced especially in small outcrops where island biogegraphy plays against gypsophytes. It has been demonstrated, at least, in the case of G. struthium that this plant species plays a nursing effect in the establishment of other species [29], which it also coincides with soil microorganisms [30].

4 An Asymptote Tending Sustainability In [31] some general principles were given that should be taken into account, delving into the idea embodied in this tetradecalogue: 1. The first measure for the correct management of the gypsum resources of a country is a detailed inventory of both surface and underground deposits. On the other side of the coin, a detailed mapping of the gypsophilous plants is needed, although there have been attempts at a continental and even state level. Only when crossing both cartographies (gypsum outcrops and gypsophytes) the exploitations could be planned so that the least impact on the flora is caused. 2. Prioritize underground outcrops that are under layers of materials that are not a priority, nor have a peculiar associated flora.

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3. Leave part of the outcrop, untapped, to serve as a reference ecosystem and source of propagules when exploitation ceases. 4. Make a previous collection of propagules where extractive work will begin (this is highly recommended for bulbous plants). As the front advances, it is convenient to rescue specimens of singular size, seeds and, especially underground propagules. 5. Once the aforementioned collection has been carried out, put top-soil (if they are of a gypsum nature) and the waste generated. 6. It must be ensured that the propagules come from the same outcrop due to the high b-diversity they possess. This was an old recommendation of the forest engineers, which becomes more effective after the advances in epigenetics [32]. 7. Leave gypsum in the quarry at the time of abandonment. If all the gypsum is exploded we will have a soil of other material that is uninhabitable for the gypsophytes. This and the 3rd recommendation represent an economic expense for the mining company, but should be seen as a compensatory measure for the environmental approval of the mining exploitation. 8. Avoid large slopes that generate high water speed and erosion and fill the quarry not only with gypsum but with other clay materials. If there is no choice, discreet horses can be arranged, which reduce the water’s veil and serve as a decantation tank for suspended materials. 9. Also, in safe fenced conditions, you can opt for the opposite, leave the quarry fronts, like small cliffs that replicate the cliffs of the mountain, since they have a favorable effect on the ornithofauna. Climbing plants (i.e., in Spain Capparis spinosa, Bryonia dioica, Aristolochia baetica, etc.) can hide the fronts. 10. There must be ridges to stop the slope and serve as small water reservoirs and clay settling buckets. The quarry must have a convex shape, so that the areas of waterlogging, where the clay is dragged, are given at the ends of it. This is important because only a thin layer of clay can prevent the growth of gypsophytes. In these peculiar conditions native species of the Tamarix genus can be planted to generate a green screen. 11. Taking advantage of the top-soil, you should not forget the microorganisms since many have a facilitating effect [30]. Nor can lichens that, in addition to being part of the ecosystem with which to use biomimesis [33], can have allelopathic effects on potentially competing species with gypsophytes. 12. Eliminate invasive nitrophilic plants with high colonization capacity. Although we are facing an autogenic primary succession, not all gypsophytes have the same ability to reinstall in the quarry, so eliminating competition is a way to help them. 13. The fundamental objective is to obtain a system that self-perpetrates. It is also true that the first summer of plant life there is a very high mortality, which constitutes the true “bottleneck” for the success of planted/sown species. That is why plants from a nursery must have a period of hardening to dry and warm conditions. 14. Give support irrigations in the first summer to the seedlings that are going to suffer water stress. Although the hardening period and plants come from local species adapted to the climate, the fundamental objective is to obtain a system that selfperpetrates. Thus, to accelerate the processes of natural succession, we find the paradox that it is convenient to resort to this artificial element to achieve the natural baseline ecosystem.

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To all of the above, a task must be added by the competent administrations, to alleviate the ignorance that normally makes the gypsum outcrops are seen as sterile areas and without any value. Aknowledgment. This study has been made possible through the projects ‘Assessment, Monitoring and Applied Scientific Research for Ecological Restoration of Gypsum Mining Concessions (Majadas Viejas and Marylen) and Spreading of Results (ECORESGYP)’ sponsored by the company EXPLOTACIONES RÍO DE AGUAS S.L. (TORRALBA GROUP); ‘Provision of services, monitoring and evaluation of the environmental restoration of the mining concessions Los Yesares, María Morales and El Cigarrón’ sponsored by the company Saint Gobain Placo Iberica S.A.; and ‘CEIJ-009 Integrated study of coastal sands vegetation (AREVEG II)’ sponsored by CEIMAR.

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22. Loidi, J., Fernández-González, F.: Potential natural vegetation: reburying or reboring? J. Veg. Sci. 23(3), 596–604 (2012) 23. Bellard, C., Cassey, P., Blackburn, T.M.: Alien species as a driver of recent extinctions. Biol. Lett. 12, 20150623 (2016) 24. Castillejo, J.M., Castelló, R.: Influence of the application rate of an organic amendment (municipal solid waste [MSW] compost) on gypsum quarry rehabilitation in semiarid environments. Arid Land Res. Manag. 24, 344–364 (2010) 25. Cano, E., Musarella, C.M., Cano Ortiz, A., Piñar Fuentes, J.C., Rodríguez Torres, A., Del Río González, S., Pinto Gomes, C.J., Quinto Canas, R., Spampinato, G.: Geobotanical study of the microforests of Juniperus oxycedrus subsp. badia in the Central and Southern Iberian Peninsula. Sustainability 11(4), 1111 (2019) 26. Mota Poveda, J.F., Sola, A.J., Dana, E.D., Jiménez-Sánchez, M.L.: Plant succession in abandoned gypsum quarries in SE Spain. Phytocoenologia 33(1), 13–28 (2003) 27. Mota Poveda, J.F., Sola, A.J., Jiménez-Sánchez, M.L., Pérez-García, F.J., Merlo, M.E.: Gypsicolous flora, conservation and restoration of quarries in the southeast of the Iberian Peninsula. Biodivers. Conserv. 13(10), 1797–1808 (2004) 28. Mota Poveda, J.F., Sola, A.J., Jiménez-Sánchez, M.L., Pérez-García, F.J., Merlo, M.E.: Gypsophilous flora and quarries: some remarks on the preservation and restoration of gypsum outcrops. Ecologia Mediterranea 13(10), 1797–1808 (2005) 29. Navarro-Cano, J.A., Ferrer-Gallego, P.P., Laguna, E., Ferrando, I., Goberna, M., ValienteBanuet, A., Verdú, M.: Restoring phylogenetic diversity through facilitation. Restor. Ecol. 24(4), 1–7 (2016). https://doi.org/10.1111/rec.12350 30. Mota, J.F., Garrido-Becerra, J.A., Miguel Medina-Cazorla, J.M., Sánchez-Gómez, P.: The edaphism: gypsum, dolomite and serpentine flora and vegetation. In: Loidi, J. (ed.) The Vegetation of the Iberian Peninsula, Chap. 6, pp. 277–354. Springer (2006) 31. Dana, E., Mota, J.F.: Vegetation and soil recovery on gypsum outcrops in semi-arid Spain. J. Arid Environ. 65, 444–459 (2006) 32. Trujillo-Artero, I.: Diversidad genética, epigenética y ecofisiología nutricional de la especie Jurinea pinnata (Pers.) DC. sobre dos sustratos especiales en el Sur de la Península Ibérica. (Trabajo Fin de Grado). Facultad de Ciencias Experimentales. Universidad de Almería (2019) 33. Lorite, J., Agea, D., García-Robles, H., Cañadas, E.M., Rams, S., Sánchez-Castillo, P.: Plant recovery techniques do not ensure biological soil-crust recovery after gypsum quarrying: a call for active restoration (article accepted) 34. Musarella, C.M.: Solanum torvum Sw. (Solanaceae): a new alien species for Europe. Genet. Resour. Crop Evol. 67, 515–522 (2020) 35. Rosati, L., Fascetti, S., Romano, V.A., Potenza, G., Lapenna, M.R., Capano, A., Nicoletti, P., Farris, E., de Lange, P.J., Del Vico, E., Facioni, L., Fanfarillo, E., Lattanzi, E., CanoOrtiz, A., Marignani, M., Fogu, M.C., Bazzato, E., Lallai, E., Laface, V.L.A., Musarella, C. M., Spampinato, G., Mei, G., Misano, G., Salerno, G., Esposito, A., Stinca, A.: New chorological data for the Italian vascular flora. Diversity 12, 22 (2020) 36. Musarella, C.M., Stinca, A., Cano-Ortíz, A., Laface, V.L.A., Petrilli, R., Esposito, A., Spampinato, G.: New data on the alien vascular flora of Calabria (Southern Italy). Ann. Bot. (Roma) 10, 55–66 (2020)

Energy Equalization and the Case of the “nZEB Hotels” Salvatore Giuffrida1(&) , Francesco Nocera1 , Maria Rosa Trovato1 , Grazia Napoli2 , and Simona Barbaro2 1

Department of Civil Engineering and Architecture, University of Catania, Santa Sofia, 54, 95125 Catania, Italy {sgiuffrida,mrtrovato}@dica.unict.it, [email protected] 2 Department of Architecture, University of Palermo, Viale delle Scienze, Building 14, 90133 Palermo, Italy {grazia.napoli,simona.barbaro}@unipa.it

Abstract. Nowadays, energy equalization is one of the many issues concerning the energy policies on the urban scale and in the perspective of reducing the Urban Heat Island effects (UHI-e). The different economic-financial profiles of the interventions implemented in the buildings having a wide range of climatic locations, typological arrangements, architectural-historical constraints, need to be coordinated within unitary local energy-environmental policies inspired by economic-financial as well as environmental issues. The renovation of existing hotels to achieve a nearly Zero-Energy performance is one of the goals of the 2050 EU’s energy policy. This paper presents the nZEB retrofit case of an existing historic hotel and proposes a step by step approach to nZEB performance with a perspective on the costs, in order to identify the most effective energy solutions. Such approach allows highlighting useful insights regarding energy and economic-financial strategies for achieving nZEB standards. Keywords: nZEB


Hotels
Energy
Economic analysis

1 Introduction With the adoption of the Energy Performance of Buildings Directive in 2010, both the building industry and Member States (MSs) undertook new challenges. In Italy, existing buildings represent the majority of the building stock and the largest and most cost-effective energy saving potential. Hotels are complex building systems that need to minimize their energy costs without compromising the quality of their guests’ stay [1, 2]. Some special features must be considered in an energy retrofit plan: large seasonal fluctuation in energy demand; large use of delivered energy for non-hosting functions such as spas, swimming pools, saunas, gyms, kitchens, laundry, etc. It is estimated that 97.5 TWh power was used in hotel facilities worldwide in 2001. In Europe hotels consume around 200– 400 kWh/m2/y and almost half of it (48%) is used for HVAC (Heating, ventilation, and

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1268–1278, 2021. https://doi.org/10.1007/978-3-030-48279-4_118

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air conditioning). Nevertheless, the wide variety of the existing hotel buildings, which may differ in age, dimensions, and location, does not allow a unique approach to the energy retrofit [3]. The combined utilization of energy-saving technologies with renewable energy resources in hotels could minimize or zero the energy consumption as well as the carbon emissions due to the operational energy use in them [4]. Based on the case study of a small/medium size hotel, we outlined a cost-effective energy retrofit strategic model [5, 6], to evaluate both the feasibility and the environmental sustainability of retrofit solutions; furthermore, the model allows to maximize the trade-off between technical–environmental and economic–financial performances [7, 8].

2 Methods 2.1

Energy Saving Issues

The identification of the most effective energy retrofit strategy takes into account the particular conditions of the site, the type of building and its current maintenance level concerning HVAC system, lighting, geometry, pathologies, deficit to be addressed, features of the site, climatic conditions, orientation, and current energy consumption. Thus, several scenarios characterized by different technological solutions and retrofitting strategies were tested, both from the technical-environmental viewpoint and from the economic–financial perspective [9, 10]. This multidimensional approach allowed for several factors to be kept under control that could influence the behavior of the refurbished building in terms of energy performance indexes (EP), energy classification (EC), and carbon dioxide reduction (ECO2). Moreover, economic–financial indexes as net present value (NPV), internal rate of return (IRR), and discount payback period (DPbP) were calculated [11, 12]. Since the above mentioned indices (i.e., EP, EC, CO2, NPV, IRR, DPbP), have different scales and measure units, a novel procedure was developed to encompass them into a single index expressed in a standard scale range. Such a procedure requires the homogenization of the diverse factors that influence the retrofit design according to the stakeholders (e.g., public authority and customers) and the stockholders (the entrepreneurs). Consequently, such a multidimensional approach provides the decision makers with broad information about the effects any change envisaged throughout the design path can have on the global result of the retrofit process. The global energy performance index for no renewable energy EPgl,nren and for renewable energy EPgl, ren, the energy classification (EC) and CO2 emissions due to the building energy consumptions were calculated before and after the proposed retrofit actions.

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Economic-Financial Issues

The economic–financial performances are measured carrying out a discounted cash flow analysis [13–15] by means of the following indices: Net Present Value, NPV, the sum of the discounted inflows and outflows over the whole lifespan T, at the discount rate r; it needs to be positive; Internal Rate of Return, IRR, the discount rate that makes NPV of all cash flows from the investment equal to zero; it needs to be greater than r, given that the latter is assumed as the global cost (interest rate and opportunity cost) of the invested capital; Discounted Payback Period, DPbP, is the time span over which the initial investment cost is recovered by the net future discounted cash flows. The valuation-programming model consists of the following stages: 1. a set of nZEB solutions ai ði ¼ 1; 2; . . .; 9Þ were characterized according to technical Ti ði ¼ 1; 2; . . .; 4Þ and economic Ei ði ¼ 1; 2; . . .; 3Þ performances; 2. T and E have successively, normalized in a standard scale of scores, kT ¼ f ðT Þ, kE ¼ f ðE Þ, ranging from 1 (lowest performance) to 5 (highest performance); P P 3. two overall scores are attributed to each ai : KTi ¼ 4i¼1 kTi kTi and KEi ¼ 4i¼1 kEi kEi , where kTi and kEi are weights measuring the relative importance of each P P performance of T or E in the same group: 4i¼1 kTi ¼ 1 and 3i¼1 kEi ¼ 1; 4. based on scores KTi , the solutions ai are arranged in a ranking RTðWÞ depending on the chosen weight system W; as the weight system reflects the perspective and the prospects of the decision makers, we made some hypothesis about it supposing three different scenarios (displayed in Sect. 3.4); 5. a set Aw of strategies Awi ði ¼ 1; 2; . . .; 9Þ has been arranged; each Awi is a bundle of ai packed progressively including an increasing number of them, according to the above-mentioned ranking, so that: Aw1 includes only the best ai ; Aw2 includes the best two ai ; and so on to the last strategy Aw9 including all solutions; “the best” means the one(s) at the top of the above-mentioned ranking; 6. KTi ¼ f ðW Þ and Ai ¼ f ðW Þ as well, so that each set of strategies is associated to a weight system and given W, Aw , it follows that: within each Aw , the best economicfinancial Awi can be selected basing on KEi . According to the Italian scenario, the operating costs are referred to the unit prices of natural gas (0.10 €/kWh) and electricity (0.25 €/kWh). The government incentives are accounted for each solution. The economic analysis is performed in nominal terms; the discount rate is referred to as the interest rate reported in [16] and prudentially assumed at 5% as the basis for the scenario analyses.

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3 The Case Study 3.1

Description

Musciara Hotel is located in Ortygia, the old town of Syracuse. This location is classified as Csa by Köppen and Geiger. The average annual temperature is 17.8 °C. The average annual rainfall is 504 mm. Syracuse has 799 heating degree days (HDD) and belongs to Climatic Zone B. The building, built at the beginning of the twentieth century, was refurbished and converted into a hotel in 2006. Due to its historical features some constrains reduced the refurbishment options. Musciara Resort operates annually and comprises twelve double bedrooms fully provided with appliances, with a good level of extra facilities. The whole structure has a gross surface of 430.66 m2 and a gross volume of 1,259 m3; the shape factor is 0.45 m−1. The Building Envelope and Energy Systems’ Features can be synthesized by the U-values as follows: – – – – –

load bearing masonry walls: U = 1.792 W
m−2
K−1; roof: U = 0.443 W
m−2
K−1; attic floor: U = 0.318 W
m−2
K−1; ground floor: U = 0.970 W
m−2
K−1; windows: U = 4.38 W
m−2
K−1.

The building is heated and cooled by an air-to-water type heat pump model Daikin RXYQ14M9W1B, with 45 kW heating capacity and 40 kW cooling capacity. The heat pump has a 13.40 kW nominal power input for heating and a 11.70 kW nominal power input for cooling [17]. Eighteen two-pipes fan coil units, placed in the false ceiling, are the terminals of the heating and cooling system. A furnace model Vaillant VK/1 Turbo VIT powered by natural gas (rated output 31.5 kW) is used for domestic hot water (DHW) production. The DHW loop also includes a 1500 L water storage tank. The current energy use, derived from energy bills, was extrapolated for the year 2016. The energy performance was expressed by the annual non-renewable primary energy consumption for heating, DHW preparation, and lighting needed for standard building operation. The result of the calculation of energy performance of the building in its current state was primary global energy not renewable, EPgl;nren = 310.95 kWh
m−2
y−1, and primary global energy renewable EPgl;ren = 97.10 kWh
m−2
y−1 with a C energy class level. 3.2

Proposed Retrofit Strategies

The proposed energy retrofit strategies aim at improving the building energy class [18, 19], ensuring high return of the investment over the short-term and the significant reduction of greenhouse gas (GHG) emissions [20–22]. The energy efficiency measures chosen for energy retrofitting are reported in Table 1.

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N 1 2 3

4 5 6 7

Description intervention Building internal thermal insulation Windows replacement Energy systems replacement

Light bulbs replacement Renewable energy system installation

8 9

3.3

Proposed solutions Vacuum insulation panel (s = 10 mm; k = 0.005 W/m K) Double pane wood windows (U = 1.1 W/m2K) Water-to-water Polyvalent HP for space heating, cooling and DHW Heating power = 21 kW; Cooling power = 19 kW; COP = 4.52 LED Photovoltaic tiles (Area = 89.0 m2 P = 11.60 kWp) Photovoltaic shelter (Area = 65.0 m2 P = 10.50 kWp) Photovoltaic Smartflower (Number = 3 P = 6.93 kWp) Photovoltaic Catwalk (Area = 158.0 m2 P = 9.50 kWp) Photovoltaic Umbrella (Area = 330.0 m2 P = 19.80 kWp)

Energy Performances Results

Several numerical analyses were carried out considering the energy efficiency measures described in the previous section, in order to verify the effectiveness of such measures to make the hotel meet the target performance. In Table 2 the energy efficiency measures of the nine interventions compared to the base case (BC) are reported.

Table 2. Energy efficiency measures of the nine interventions T1: T2: T3: T4:

3.4

EPgl,nren kWm−2y−1 EPgl,ren kWm−2y−1 CO2 Kgm−2y−1 Energy class

BC 311 97 65 C

1 303 54 64 B

2 296 87 62 B

3 130 126 29 A3

4 220 62 45 C

5 239 102 49 A1

6 248 101 51 A1

7 270 95 56 B

8 254 99 52 B

9 195 114 39 A2

Economic Performances Results

The expected energy performances were supposed point and continuous revenues and costs. Within the time span T the annual cash flow was calculated as the difference between annual revenue and cost, based on which the investment profitability can be valuated [23]. The annual cash flows include: – revenues, concerning savings, S, due to the improvement of the energy performances; government subsidies, s;

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– global costs, concerning: initial expenses for refurbishment works instalment I0 ; additional expenses for professional services, p; Value Added Tax for both the above-mentioned items, t; annual operating cost for each energy service, m; discounted annual sinking funds f for replacing the systems after their usable life l, regarding the total amount of the above listed items; the annuity for system replacement is: f ¼ Io NPV ¼ I0 þ

r

ð1Þ

ð1 þ r Þl 1

XT ðS þ s  p  t  m  f Þ ð1 þ r Þi

i¼1

ð2Þ ð3Þ

IRR ¼ rðNPV ¼0Þ

Table 3 displays the values of these indexes for each solution and for the sum of all solutions.

Table 3. Economic analysis results for each solution Solutions 1 2 NPV € −44.2 −17.9 IRR % −31 −31 DPbP y – –

3 69.4 31 3

4 57.1 684 2

5 30.7 15 5

6 26.1 13 5

7 2.2 −10 23

8 4.1 −8 18

TOT 9 −19.3 108.1 −17 9.2 – 12

Table 4 lists: the standard scores KT and KE for r ¼ 5%; the Weighted Average Score Kt for T; the resulting ranking of the nine solutions; the economic result and the financial indexes.

Table 4. Technical environmental and economic-financial performances scoring and T-ranking of the 9 solutions Solutions 1 2 3 EPgl,nren 1.0 1.2 5.0 EPgl,ren 5.0 3.2 1.0 CO2 1.0 1.2 5.0 Class 2.0 2.0 3.0 KT 2.1 1.8 3.6 Ranking 7 9 1 NPV 1.0 1.9 5.0 IRR 1.0 1.0 1.3 DPbP 1.0 1.0 4.8

Weights 4 2.9 4.6 3.2 1.0 2.7 5 4.6 5.0 5.0

5 2.5 2.3 2.7 5.0 3.3 3 3.6 1.3 4.5

6 2.3 2.4 2.5 5.0 3.2 4 3.5 1.2 4.5

7 1.8 2.7 1.9 2.0 2.1 8 2.6 1.1 1.3

8 2.1 2.5 2.4 2.0 2.2 6 2.7 1.1 2.2

9 3.5 1.7 3.9 4.0 3.4 2 1.9 1.1 1.0

0.2 0.2 0.3 0.3

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According to the KT -ranking of the solutions, nine strategies were arranged including, progressively, the best solutions, starting from the heat pump system (Solution 3). The ninth strategy comprises all solutions. The arrangement of the elementary solutions in different strategies is aimed at testing the model. A future insight will be aimed at taking into account the interdependence of the solutions with the different results in terms of energy, environmental, and economic-financial performances. The nine strategies were finally compared in economic–financial terms, as displayed in Table 5, also reporting the standard scores, the weights of the three performances, the weighted average score (WAS)KE , and the final ranking.

Table 5. Economic–financial results for the nine strategies in real valuations and standard scores. Strategies 1 2 NPV 69.4 50.1 IRR 36% 13% DPbP 3.0 9.0 NPV 1.7 1.0 IRR 5.0 1.5 DPbP 5.0 2.3 3.0 1.4 KE Rank 3 9

3 80.8 15% 7.0 2.0 1.8 3.2 2.2 7

4 106.9 16% 7.0 2.9 2.0 3.2 2.8 5

5 164.0 21% 5.0 4.9 2.7 4.1 4.3 1

6 168.1 17% 6.0 5.0 2.2 3.7 4.2 2

7 123.9 12% 9.0 3.5 1.4 2.3 2.8 4

8 126.1 10% 11.0 3.6 1.2 1.4 2.7 6

Weights 9 108.1 9% 12.0 3.0 0.6 1.0 0.2 1.0 0.2 2.2 8

The model provides a rank of the solutions outlined according to the overall technical-environmental performance. Then, the strategy maximizing the economic– financial performance was selected. Table 6 shows the increase of NPV up to Strategy 6, beyond which it decreases due to less profitable solutions – thermal insulation and window replacement. Different weight systems represent the developers and public authorities’ perspectives privileging the environmental, or economic-financial, or technical issues. Two further scenarios were supposed (Table 6) and compared (Fig. 1). Table 6. Strategic variables for alternative scenarios. Technical-environmental profile kT2 kT3 kT4 kT1 Scenario (EPgl,nren) (EPgl,ren) (EC) (CO2) 1 0,2 0,2 0,3 0,3 2 0.10 0.45 0.30 0.15 3 0.45 0.10 0.15 0.30

Economic-financial profile kT5 kT6 kT7 r (NPV) (IRR) (DPP) 0,6 0,2 0,2 5% 0.80 0.10 0.10 2% 0.20 0.40 0.40 8%

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Fig. 1. Scenario analysis: comparison of two strategies related

Three different scenarios have been identified, each of which is characterized by a different weight system ((kT1 ðEPgl;nren Þ, kT2 ðEPgl;ren Þ, kT3 ðECÞ, kT4 ðCO2 Þ, kE1 ðNPVÞ, kE2 ðIRRÞ, kE3 ðDPbPÞ) expressed by the decision makers, as shown in Table 6. Scenario 1 outlines an intermediate approach to energy and environment; the decision makers, in this case, consider the environmental criteria (energy class and CO2 emissions) just a little more important than the ones related to the energy sources; the economic criteria (NPV) is considered more important than the financial ones (internal rate of return and discounted payback period), and considers a moderate discount rate (r = 5%). Scenario 2 outlines a profile mainly aimed at sustainability, as shown by the primary interest in renewable energy sources and in the energy class, as for technical environmental criteria; furthermore, it is characterized by the modest interest for the financial criteria, and above all as for the very low discount rate (r = 2%). Scenario 3 outlines a typical entrepreneurial profile mostly aimed at the private interest, and is the opposite of Scenario 2, given that the correspondent weights are inverted, and the discount rate very high. Therefore, two further scenarios were simulated and compared in Fig. 1. Such overall assessment approach allows us to outline the nZEB profile of each strategy. For example, scenario 2 shows that the best nZEBs

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solution (Strategy 8) is the most profitable (Fig. 1a, b); on the contrary, scenario 3 shows that the most profitable strategy (Strategy 1) is the worst solution to reach the nZEBs target. As a result, scenario analysis can be a useful tool for the choice of the best strategy, not only for the stakeholders, but for the stockholders as well: Scenario 1 is the best trade-off for entrepreneurial investments; scenario 2 considers investment with a shorter payback period and it is attractive for private investors; scenario 3 is particularly suitable for social and environmental issues and is mostly encouraged by environmental authorities.

4 Discussions and Conclusions Combining thermo-technical, economic-financial and environmental issues of the envisaged solutions, a wide assessment prospect arises outlining different scenarios [24] defined by a specific weight system differently privileging the three issues. The first scenario, considered the normal one due to the roughly equal importance attributed to the three issues, shows a significant preference for strategies 5 (assessed as the fairest) and 6 (slightly less preferable). A significantly environment-oriented scenario, mostly involving the stakeholders, suggests the completion of the overall nZEBs plan considering as preferable Strategy 8 (supposing the implementation of almost all the works), then 7 and 9 (the latter supposing the implementation of all the works). The last scenario, mostly focused on the economic-financial issues, mainly involving the stockholders, paradoxically suggests Strategy 1, including only the heat system replacement, so excluding any other work concerning the environmental sustainability, the personal comfort increase and the enhancement of the energy performance of the building, then reducing any its development potential. As a general perspective, we remark that the whole nZEBs plan [25] here proposed reaches significant economic-financial performances, so that the stockholders can be supposed to implement it. The nZEBs approach has been developed, so far, in many ways, mostly in the technical building context and from the point of view of economic profitability. The experience we carried out aims at combining the two above issues (technical and economic) in a valuation-programming model able to support both private developers and public administrations throughout the negotiation path, involving private investors committed in urban transformation processes affecting free areas and/or existing buildings. Usually, the public–private interaction consists in the payment of a permit fee by the developer to the public administration. Such fees aim at somehow balancing private interest (gained) and public value (lost) and can be increased or reduced in order to discourage or encourage the transformation. This approach can become a useful decisional and management tool for the public administration in order to choose the best strategy to reach the nZEBs standard; the model can be also used considering the fee of building permits and solutions for the private sector that are not profitable but are environmentally friendly for the public.

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Cork Oak Vegetation Series of Southwestern Iberian Peninsula: Diversity and Ecosystem Services Ricardo Quinto-Canas1,2(&) , Ana Cano-Ortiz3 , Mauro Raposo4, José Carlos Piñar Fuentes3 , Eusebio Cano3 , Neuza Barbosa1, and Carlos José Pinto Gomes4 1

Faculty of Sciences and Technology, University of Algarve, Campus de Gambelas, 8005-139 Faro, Portugal [email protected] 2 CCMAR – Centre of Marine Sciences (CCMAR), University of Algarve, Campus de Gambelas, 8005-139 Faro, Portugal 3 Department of Animal and Plant Biology and Ecology, Section of Botany, University of Jaén, Las Lagunillas s/n, 23071 Jaén, Spain 4 Department of Landscape, Environment and Planning, MED - Mediterranean Institute for Agriculture, Environment and Development, School of Science and Technology, University of Évora (Portugal), Rua Romão Ramalho, nº 59, 7000-671 Évora, Portugal

Abstract. Currently, the occurrence of thermophile cork oak communities is becoming exceptionally rare, which can be attributed to the long-lasting impact of human agroforestry and grazing land-use practices. In this work we identified the thermophilous cork oak vegetation series of southwestern of the Iberian Peninsula and present an overview of ecologic factors and processes controlling the diversity of plant communities observed in their dynamic, as well as, the characteristic vascular flora, including species with special conservation interest, is here presented. This information allows the development of sustainable management, which may enhance both biodiversity and conservation. Moreover, the sustainable economic activities of the cork oak forests, regarding to enhance their capacity to provide benefits that are essential for ecosystem services is developed and presented. Keywords: Quercus suber
Thermophilous cork oak vegetation series Phytosociology
Sustainable management of cork oak forests




1 Introduction Cork oak (Quercus suber L.) woodlands are distributed widely across the western and central parts of the Mediterranean basin, mostly on silicate substrates. In southwest of the Iberian Peninsula, cork oak woodlands have high biodiversity and support a wide range of plant communities and endangered species. Moreover, cork oak forests generate substantial economic benefits: from cork and firewood, to a framework tree for agroforestry and silvopastoral systems [1]. Nevertheless, large areas of cork oak forest © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1279–1290, 2021. https://doi.org/10.1007/978-3-030-48279-4_119

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landscape, open farmland and shrubland turned into new forest plantations (mainly, Eucalyptus sp. and Pinus sp.pl.) modern permanent-crop farming systems [2], fires, pathogens, overgrazing and, therefore, have drastically affected the sustainability of Mediterranean woodland ecosystems, leading to their classification as at-risk native biodiversity hotspots [3]. For the correct management and conservation of biodiversity it is important to diagnose the cork oak vegetation series, as well as their dynamics and successional stages, which includes important habitats for many plant species of conservation importance. Hence, we provide a condensed description of the cork oak climatophilous series associated with the thermophilous areas of the southwestern Iberian Peninsula, already described within the Querco rotundifoliae-Oleion sylvestris alliance. In addition to supporting biodiversity, cork oak woodlands provide important ecosystem services and sustainable economic activities based on renewable flow management, since this system can regenerate cork and other useful products with economic value. Therefore, we also present the importance to promote sustainable management of cork oak forests, and halt and reverse land degradation and halt biodiversity loss, and protect the extinction of threatened species. The particular objectives were: 1) to present the cork oak vegetation series, from an ecological and dynamic point of view; 2) to identify the habitats of community interest through the correspondence between plant communities and Directive Habitats types; 3) to indicate species with special conservation interest; 4) to present the sustainable economic activities of the cork oak forests, in order to enhance their capacity to provide benefits that are essential for both, sustainable development and ecosystems, and their services. Study Area The research area covers the thermophilous territories with acidic soils of the southwestern Iberian Peninsula, linked to the sublittoral areas and the valley of the rivers Tagus and Sado. According to the most recent study on Iberian Peninsula bioclimatic classification by [4], these territories are classified as Mediterranean pluviseasonal oceanic, mostly thermomediterranean hyperoceanic to euoceanic. In a biogeographical context and following [5], the study area is included in the Coastal Lusitania and West Andalusian Province and westernmost part of the Lusitania and Extremadura Subprovince (West Iberian Mediterranean Province). Materials and Methods The climatophilous series of Q. suber diagnosis followed past works from [6–26]. Sintaxonomical nomenclature followed [27–29]. Taxonomic nomenclature follows [29, 30]. The classification of habitats, through the evaluation of the dominant vegetation types and their diagnostic species, follows [31]. The biogeographical and bioclimatological analysis was carried out according to [4, 5]. Generally, the information of ecosystem services and sustainable based on the available published works, such as [1, 45, 47–49]. Discussion and Results The set of vegetation types which, by virtue of succession replace each other at a particular site has been called a series [42]. We can summarize the typical sequence of

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stages occurring in the cork oak vegetation series from southwestern Iberian Peninsula (See Fig. 1), within the limits of a tessela, which includes the whole forest successional sequence, depending on its degree of degradation [26, 50–55].

Fig. 1. Typical sequence of stages occurring in the cork oak vegetation series from southwest of Iberian Peninsula: 1 - Cork oak woodland; 2 - Maquis scrubland; 3 - Broomland; 4 - Perennial grassland; 5 - Gorse scrubland; 6 - Cistaceous scrubland; 7 - Perennial grassland; 8 - Annual grasslands (adapted from [56]).

Therefore, the four Q. suber woodland series identified in the study area is presented briefly, highlighting the successional stages, as well as the natural or seminatural habitats that it may incorporate and its asset value (Table 1). A. Lavandulo viridis–Querco suberis sigmetum Vegetation series occurring along the mountainous areas of the southwest of Portugal mainland (Caldeirão, Monchique, Cercal, Grândola) (Monchique Sierran District), reaching the Aracena mountain (Aracena Sierran District), typical from silicates substrates, derived from schists and greywackes, in the thermomediterranean, hyperoceanic, lower sub-humid bioclimate areas. The mature stage Lavandulo viridis-Quercetum suberis, is characterized by the dominance of Quercus suber and the constant presence of Lavandula viridis, a southwestern Iberian endemic, considered a characteristic species of this association. Its fringe belongs to the Arbutus unedo maquis from Cisto popullifolii–Arbutetum unedonis. Nevertheless, the removal of tree and shrub cover, leds to the Cytisus striatus broomlands (Lavandulo viridis-Cytisetum striati). In contrast, with the soil degradation and following the regressive dynamic, occurs the heathland from Ulici argentei-Ericetum australis and a gorse scrubland of Cisto ladaniferi-Ulicetum argentei, both exclusive to the Monchique Sierran District and well characterized by the endemic Ulex argenteus. In woodland clearings, the perennial grasslands

Lavandulo viridis-Quercetum suberis; Cisto popullifolii–Arbutetum unedonis; Lavandulo viridis-Cytisetum striati; Ulici argentei-Ericetum australis; Cisto ladaniferi-Ulicetum argentei; community of Dactylis hispanica subsp. lusitanica; Trifolio cherleri-Plantaginetum bellardii; Holco annui-Brachypodietum distachyi Aro neglecti-Quercetum suberis; Phillyreo angustifoliae–Arbutetum unedonis; Cytisetum cabezudoi; Avenulo hackelii–Celticetum sterilis; Armerio macrophyllae–Celticetum giganteae; Euphorbio transtaganae-Celticetum gigantae; Hyacinthoides transtaganae-Brachypodietum phoenicoidis; Erico umbellatae–Ulicetum welwitschiani; Halimio halimifolii– Stauracanthetum genistoidis; Genisto triacanthi– Stauracanthetum vicentini; Tuberario majoris– Stauracanthetum boivinii; Thymo camphoratiStauracanthetum spectabilis; Cistetum libanotidis; Communities of Corynephorus canescens var. maritimus; Tolpido barbatae–Tuberarietum bupleurifoliae

Lavandulo viridis–Querco suberis sigmetum

Aro neglecti– Querco suberis sigmetum

Woodland and successional stages

Climatophilous series

Habitats Directive

Coastal Lusitania and West Andalusian Province

*2150, 2230, 2260, 2330, 4030, 5330, *6220, 9330

Monchique 9330, 5330, Sierran and *6220, 4030 Aracena Sierran Districts

Biogeography Doronicum plantagineum subsp. tournefortii (Annex V Habitats Directive), Narcissus bulbocodium (Annex V Habitats Directive), Drosophyllum lusitanicum, Gagea lusitanica, Senecio minutus, Centaurea crocata

Main species with conservation interest

(continued)

Sandy soils i)*priority species from Annex II Directive (paleodunes) Habitats: *Thymus camphoratus, *Thymus lotocephalus, *Tuberaria major; ii) Annex II Habitats Directive: Armeria rouyana, Armeria velutina, Euphorbia transtagana, Halimium verticillatum, Hyacinthoides vicentinas subsp. transtagana, Thymus camphoratus, Santolina impressa; iii) Annex IV Habitats Directive: Thymus capitellatus, Thymus villosus; iv) Annex V Habitats Directive: Malcolmia lacera subsp. gracillima, Narcissus bulbocodium; v) other species: Arenaria algarbiensis, Armeria macrophylla, Armeri apinifolia, Centaurea exarata, Dianthus broteri subsp. hinoxianus, Klasea algarbiensis, Lupinus cosentinii, Ononis cossoniana, Scilla odorata, Thesium humile, Thymus albicans subsp. albicans, Thymus albicans subsp. donyanae, Trisetaria duforei, Ulex argenteus subsp. subsericeus

Schists and greywackes

Substratum affinity

Table 1. Biogeographical, substratum, Habitats Directive, plant communities and species with conservation interest of the thermophilous cork oak vegetation series of southwestern the Iberian Peninsula (within the Querco rotundifoliae-Oleion sylvestris alliance).

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Woodland and successional stages

Asparago aphylli-Quercetum suberis, Phillyreo angustifoliae–Arbutetum unedonis, Erico scopariae-Quercetum lusitanicae, Erico umbellatae-Ulicetum welwitschianii, Lavandulo luisieri-Ulicetum jussiaei, Thymo villosae-Ulicetum airensis, Avenulo sulcatae-Celticetum giganteae Smilaco Smilaco asperae-Quercetum suberis, Phillyreo asperae-Querco angustifoliae–Arbutetum unedonis, Cytisetum multifloro-eriocarpi, Erico australis-Cistetum suberis sigmetum populifolii, Halimio ocymoidis-Ericetum umbellatae, Avenulo sulcatae-Celticetum giganteae

Asparago aphylli-Querco suberis sigmetum

Climatophilous series

Schists and quartzites

Oretana Range 9330, 5330, and Tajo Sector *6220, 4030

Substratum affinity Schist and sandstone

Habitats Directive

Iberian Atlantic 9330, 5330, Mediter-ranean *6220, 4030 biogeographic territory

Biogeography

Table 1. (continued)

Ruscus aculeatus (Annex V Habitats Directive), Juniperus oxycedrus subsp. lagunae, Centaurea coutinhoi, Iris lusitanica

Halimium verticillatum (Annex II Habitats Directive), Thymus villosus (Annex IV Habitats Directive), Drosophyllum lusitanicum

Main species with conservation interest

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dominated by Dactylis hispanica subsp. lusitanica frequently occur where as ground clearance leads to the successive appearance of therophytic grasslands from Tuberarion guttatae. The Picrido spiniferae-Cynarietum algarbiensis, dominated by Cynara algarbiensis, represents the forest fringe of Lavandulo viridisQuercetum suberis. B. Aro neglecti–Querco suberis sigmetum According to [23], along the thermomediterranean, dry to subhumid bioclimatic belts of the Coastal Lusitania and West Andalusian Province, occurs the Aro neglecti-Quercetum suberis. This psammophilous cork oak forests develops on podzol sandy soils derived from Pleistocene paleodunes [26], and is dominated by Quercus suber and normally accompanied by Arum italicum subsp. neglectum, Pistacia lentiscus and Stauracanthus genistoides [9]. The fringe which occurs above sandy soils belongs to the strawberry tree from Phillyreo angustifoliae– Arbutetum unedonis. The elimination of woody and shrubby strata leads to the broomland from Cytisetum cabezudoi, dominated by Cytisus grandiflorus subsp. cabezudoi. Shifting to deeper soils, in forests and shrub clearings, occurs the perennial grasslands from Agrostio castellanae-Celticion giganteae alliance (Avenulo hackelii–Celticetum sterilis, Armerio macrophyllae–Celticetum giganteae, Euphorbio transtaganae-Celticetum gigantae) [13, 16] and the orchid-rich grasslands of Brachypodium phoenicoides (Hyacinthoides transtaganae-Brachypodietum phoenicoidis) [25]. In the regressive dynamic, the domain is separate from Erico umbellatae–Ulicetum welwitschiani heathlands, and a psammophilous community of Halimio halimifolii–Stauracanthetum genistoidis. For the San Vicente Coastal District, occurs the gorse scrubland of Genisto triacanthi–Stauracanthetum vicentini, with Stauracanthus spectabilis subsp. vicentinus as an important endemic element. In sandy soils with clay we observe the gorse scrubland from Tuberario majoris–Stauracanthetum boivinii, mainly in palaeopodzolic ferruginous lithosols, subject to water logging. Through its shift, in the San Vicente Coastal and San Vicente Cape Districts, in sandy soils without the ferruginous horizon, coastal gorse scrublands of Thymo camphorate-Stauracanthetum spectabilis emerge and also the psammophilous community of Cistetum bourgaeani (libanotidis). With more degradation, occurs the perennial grasslands dominated by Corynephorus canescens var. maritimus from Corynephorion maritime alliance, and the therophytic communities of Tolpido barbatae–Tuberarietum bupleurifoliae occur. C. Asparago aphylli-Querco suberis sigmetum This climatophilous series occurs in the Iberian Atlantic Mediterranean biogeographic territory, on siliceous substrata (schist and sandstone). The climatic domain corresponds to a cork oak forest from Asparago aphylli-Quercetum suberis. The pre-forestall stage is dominated by Arbutus unedo and Phillyrea angustifolia (Phillyreo angustifoliae–Arbutetum unedonis). As this scrubland regresses, occurs the Erico scopariae-Quercetum lusitanicae. According to [26] the seral stage also includes gorse/heathland dominated by Ulex australis subsp. welwitschianus (Erico umbellatae-Ulicetum welwitschianii; low Tagus and Sado), Ulex jussiaei (Lavandulo luisieri-Ulicetum jussiaei; north of the Tagus) and Ulex airensis

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(Thymo villosae-Ulicetum airensis). In woodland clearings, occurs the perennial grasslands dominated by Celtica gigantea (Avenulo sulcatae-Celticetum gigantae). The Stachydo lusitanicae-Origanetum virentis association represents the forest fringe community of Asparago aphylly-Quercetum suberis. D. Smilaco asperae-Querco suberis sigmetum This climatophilous series develops on siliceous substrata (schists and quartzites) of the lower subhumid areas of the central Tagus valley (Oretana Range and Tajo Sector). The climatic stage belongs to the Smilaco asperae-Quercetum suberis, characterized by the presence of Juniperus oxycedrus subsp. lagunae. The Phillyreo angustifoliae–Arbutetum unedonis represents the first substitution layer. The elimination of this shrubby strata leads to the Cytisetum multifloro-eriocarpi. Soil degradation promotes the development of the heathlands: Erico australis-Cistetum populifolii and Halimio ocymoidis-Ericetum umbellatae. In the woodland clearings, occurs the perennial grasslands from Avenulo sulcatae-Celticetum giganteae.

Fig. 2. Ecosystem services of cork oak forests and ecological economics tools diagram. (adapted from Ellen MacArthur Foundation [57]).

According to [32], as a direct result of human management, functional cork oak landscapes present a wide array of forest or woodland, shrubland, and open habitat components. As shown in the Table 1, a total of 8 habitats associated to European Habitats Directive (Directive 92/43/EEC), are recognized and, therefore, have a large set of rare, endemic, endangered and protected species under the Directive 92/43/EEC

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(about 41 species with conservation interest). Besides the high biodiversity value, the cork oak vegetation series provide, from an ecological perspective, important ecosystem services, mainly associated to soil fertility, water retention, watershed protection, erosion control, fire risk prevention and carbon sequestration [32] (See Fig. 2). Among these factors, the capacity of cork oak woodland to contribute to carbon mitigation targets must be highlighted. In fact, several studies in Portugal reveal that they store a significant amount of carbon (reaching 14.7 tons of CO2 per year per hectare) [36] in standing biomass (cork oaks) and soil. Despite the ecological importance, the cork oak forests are one of the few examples of fully sustainable forestry exploitations, comprising multiple land uses, including cork, acorn, firewood, fruits, oils, mushrooms, recreation and tourism activities [1]. Nevertheless, they are economically sustainable mostly to the high market value of cork, where bottle stoppers that drive the cork industry, represent almost 70% of cork’s market value [35]. Therefore, several authors evidence that cork, being a natural and renewable material, which in itself is the result of a CO2 absorption and sequestration, and also a storage of C, can also contribute to the design of the post-carbon city by reducing energy waste, improving the quality and the insulation of buildings [37–49]. Moreover, the amount of carbon sequestered in cork oaks according to [34] is 0.95–1.25 tonne C/tonne cork. Hence, if the cork oak was registered in the “National Register of Agro-Forestry Carbon Tanks”, then it would receive an allowance of 20 €/tonne/year [in 2005 the cost of a tonne of CO2 fluctuated between 8 and 32 €/tonne/year] (Spampinato et al. 2019) [43]. Currently, cork oak forests are facing complex problems and are under increasing pressure, due to soil mobilization, intensification of agricultural activities, particularly overgrazing (mainly cattle grazing), climate change, which promote diseases, drought and water stress (further endangering viable cork production), forest fires, and inappropriate silvicultural management, that could seriously threatened the long-term of trees [33]. According to [32], to address the problems driving the degradation and loss of cork oak woodlands, there is a clear need to review national forestry education schemes and introduce innovative concepts for sustainable management and biodiversity conservation of cork oak woodlands and the development of sustainable markets, based on responsible management of natural resources.

2 Conclusions We present the first approach to the cork oak vegetation series of southwestern Iberian Peninsula, through which it was possible to perceive the existence of a large diversity of plant communities and habitat type, displaying great value, with several rare endemic plants. Understanding vegetation series is of utmost importance for the diagnosis and determination of the vegetation’s current conservation status. This information allows the landscape managers to present some priority measures that must be addressed strategically, to help biodiversity adapt to recent drivers of transformation and degradation, at the same time, accounting for the socio-economic activities that support the sustainable use of the existing natural resources. According to [1], a research goal for the future must be to apply environmental and ecological economics

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tools to the valuation of biodiversity conservation and ecosystem services of cork oak woodlands and derived cultural systems. We also recognize that promote the implementation of this valuation in management and planning, is the greatest challenge and an indispensable requirement for sustainable development in its three dimensions – economic, social and environmental. Acknowledgments. Diagram icons made by Freepik from www.flaticon.com.

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Analysis of the Relationship Between Bioclimatology and Sustainable Development Ana Cano-Ortiz1(&) , José Carlos Piñar Fuentes1 , Ricardo José Quinto Canas2,3 , Carlos José Pinto Gomes4 and Eusebio Cano1

,

1

Department of Animal and Plant Biology and Ecology, Section of Botany, University of Jaén, Campus Universitario Las Lagunillas s/n, 23071 Jaén, Spain [email protected] 2 Faculty of Sciences and Technology, University of Algarve, Campus de Gambelas, 8005-139 Faro, Portugal 3 Centre of Marine Sciences (CCMAR), University of Algarve, Campus de Gambelas, 8005-139 Faro, Portugal 4 Department of Landscape, Environment and Planning, Institute for Mediterranean Agrarian and Environmental Sciences (ICAAM), School of Science and Technology, University of Évora, Rua Romão Ramalho, nº 59, 7000-671 Évora, Portugal

Abstract. Bioclimatology is the basis for a better understanding of the functioning of animals and plants, together with populations and communities: this is why the study and interpretation of the bioclimatic indices is done here. For this, meteorological station data are used, but when such data are not available, it is necessary to use thermoclimatic and ombroclimatic bioindicators. The fundamental indices that should be taken into consideration are the index of continentality (Ic), which marks the annual thermic range by which the plant activity period (PAV) can be established; ombrothermic index (Io), which measures the ombrotype of the station; thermicity index and compensated thermicity index, which mark the territory’s thermotype (It/Itc). Based on the value of these indices and the presence or absence of bioindicators, we propose planning urban and agricultural development. Keywords: Cork oak forest Biodiversity management


Quercus suber
Fagaceae
Agronomy


1 Introduction Bioclimatology has gained importance in recent years by correlating the physical aspects of the territory (climatology) with the biological ones. It differs from the Climatology in that the information, indexes and units used, are related and delimited by species and phytocenosis (biocenosis). The development of Bioclimatology as a discipline, allows correlating the life of animal and plant species with environmental factors.

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1291–1301, 2021. https://doi.org/10.1007/978-3-030-48279-4_120

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In this sense, any living being such as plant species, animals and even man live in a bioclimate. It is evident that every living being has an optimal bioclimate, which allows a sustainable and quality development. Among the different factors conditioning the existence of plant ecosystems, precipitation and temperature are among the most important. Therefore, each region or group of biogeographical regions has a peculiar distribution of life (species). These advances in bioclimatology with Rivas-Martínez’s research [1–4], in which several bioclimatic indices are proposed, has allowed other authors to establish correlation analyses between agricultural production and territorial bioclimates. Undoubtedly, it is stated that sustainable development implies the application of bioclimatology as a science to agriculture, but it can also be applied to urban structures (bioclimatic buildings and gardens): this would allow the sustainable development of cities. To explain the presence of different ecosystems, concepts such as positive precipitation (Pp), positive temperature (Tp) and bioclimatic indexes of continentality (Ic), ombrothermic index (Io), summer ombrothermic indices (Iosc2 and Iosc3) arise to explain whether or not the territory is Mediterranean, being major or minor compensation, depending on the Iosc3/Iosc2 ratio [5]. Among the many indexes proposed, Ic, Io and It/Itc explain the presence of some species. Although these indices explain the presence of different ecosystems, they do not take into account the edaphic factor. That is why we recently proposed the new ombroedafoxeric index: Ioex ¼ Pp  e=Tp  WR

ð1Þ

(Pp = positive precipitation, e = residual evapotranspiration, Tp = positive temperature, WR = water retention capacity of the soil 25, 50, 75 percent gone through both for 1). This water retention capacity depends on the slope, rockiness, granulometry and chemical composition of the soil, since in the case of salt-rich soils, the water is trapped and is not useful for the plant [6, 7].

2 Methodology In this work we provide an assessment of a set of current studies on bioclimatology and vegetation [1–3, 5, 8–10]. For the study of agricultural productions, we rely on previous works, which deal with thermotypes and ombrotypes [11–16], which together with the study carried out by [17] allows us to make a proposal for sustainable development. In previous works we have already proposed a sustainable development model, based on previous knowledge of environmental factors, bioclimatology, biogeography and vegetation series to propose a specific kind of crop [18] (see Fig. 1).

Fig. 1. Sustainable land management model according to [18].

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In this case, we propose to apply the bioclimatic diagram of Montero Burgos & González Rebollar [19] and the bioclimatic indices adapted to agriculture and urban territory. In this work, we use the climatic data of 58 meteorological stations, in whose influence area dominates olive groves cultivation, with which we obtain the values of bioclimatic indices that we have considered fundamental for the crop management (see Figs. 2, 3, 4 and 5).

Fig. 2. Thermicity index values (It).

Fig. 3. Ombrothermic index values (Io).

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Fig. 4. Continentality index values (Ic).

Fig. 5. Values of the relationship between the Iosc3/Iosec2 indices, in which the degree of compensation is observed, the maximum compensation being in values of 3.68.

3 Results and Discussion If temperature and precipitation are correlated with the biocenotic discontinuities that appear in the mountains, we see that some rhythms or changes depending on the temperature and precipitation (thermoclimate and ombroclimate) are fulfilled throughout the land. In the case of the Mediterranean region, the warm thermocline is

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always located in areas close to the sea and in the great valleys, while the rainy ombroclimate is usually located in mountain areas, due to the effect of storms, and in areas with strong oceanic influence (see Figs. 6 and 7).

Fig. 6. Thermo and Mesomediterranean thermoclimatic map of Mediterranean region.

Fig. 7. Ombroclimatic map of Mediterranean region.

The application of bioclimatic indices in agriculture reveals excellent correlations between these indices and productivity [15, 17, 20–24]. This demonstrates the high value that bioclimatology has in territorial planning to obtain sustainable development, mitigating climate change [25].

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Since the concept of bioclimate and bioclimatic belt (thermotype and ombrotype) are essential for agricultural and urban planning, it should be borne in mind that in all territorial planning, the objective is to achieve maximum economic and social profitability with the minimum environmental cost. Therefore, the management of bioindicators and bioclimatic indices must be incorporated in urban and agricultural management. So, it is necessary to carry out a bioclimatic territorial interpretation for the development of cities and crops [16, 26]. The sustainable development of the cities involves the use of renewable energy and the introduction of botanical gardens of phytosociological character: this leads to a decrease in the concentration of CO2 that would mitigate climate change [25, 27–36]. This sustainable city model eliminates a large number of allergies, since in a high number of cities highly allergenic species are used for gardens: which causes an increase in health spending [37, 38]. On the contrary, the use of native species with thermo and ombroclimatic optimum, acts as a CO2 sink and decreases population allergies. Depending on the type of crop, the ombrotype and thermotype, the productivity will be higher or lower: that is why it is necessary to place each crop in its bioclimatic optimum. For this reason, we have used the sustainable model proposed by us [18]. In this model we consider the environmental factors of a physical nature, bioclimatology, biogeography, vegetation series and, finally, the crop proposal. This overlapping of crops with vegetation series is based on the bioclimatic nature of the species, on the productions and on the possible diseases (parasitosis). Therefore, when the crop is located at its optimum bioclimatic, the production increases and the environmental cost decreases [12]. In this situation, the crop is able to better withstand the climatic change that is happening now, and this change is mitigated [25]. The sustainable agriculture model [33] helps to maintain the world agricultural heritage, as is the case of the olive grove, and favors the mitigation of climate change, by acting on these crops as well as natural forests, as CO2 sinks [27–36]. In the case of agriculture, if crop production is optimized, production and environmental costs are reduced, and the impact that climate change is causing on production is mitigated: that is why every crop must be located in one or certain series of vegetation. Those crops that are located in different environments are not productive. Therefore, the majority olive cultivation that is located in series of arid-semiarid ombrotype is not productive, since it is necessary to practice irrigation, with the consequence of exploiting excessively the aquifers and increasing the economic cost of production. Similarly, it occurs with crops whose optimum is in the dry and sub-humid vegetation series, but which are located in vegetation units of humid ombrotype [39]. When the crop is not in its ombroclimatic optimum, the farmer uses the subsoil water. Therefore, it is necessary to know the approximate date on which the crop is in water stress: for this, bioclimatic diagrams can be used [19], highlighted [16]. This model establishes improvements with respect to other diagrams, since it takes into account the ability of plants to regulate water losses. These diagrams establish a relationship between potential evapotranspiration (ETP) and water availability (D), which is given by the sum of the water reserve in the soil of the previous month plus the rainfall of the current month. Another innovation is the concept of residual evapotranspiration (e), which is based on the ability of plants to reduce ETP when water is

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scarce by phenomena such as stomatal closure, leaf loss, and may even lead to the arrest of vegetative activity. The relationship established between ETP and e is always constant: e = 0.2ETP. From the bioclimatic point of view, in the specific case of the olive grove, the crop has optimal thermotypes and ombrotypes values, with a Itc range of 210–450. Within these values, the maximum peak of production corresponds to a value of 350 of Ic, while the optimal ombrotype is in values of Io ranging 2–7. The maximum optimal value of Io is 3.6. Obviously, all those territories in which the mentioned values do not exist are unproductive, since the cost of production is higher than the income. This is because we are facing a sustained crop, in which the energy consumption to achieve a good production is higher than the income; if the crop were sustainable, and this is achieved by applying bioclimatology to agricultural management, the cost of production and the environment is lower. In addition to the thermotype and ombrotype, another parameter must be considered: the Ic or Index of continentality, which must be less than 21, since a value greater than 21 implies a high continentality. This implies that the PAV, or period of vegetative activity of the tree, lasts a short time, and if we consider in addition the possible vegetative paralysis by a low ombrotype, with a high potential evapotranspiration and a low precipitation, the time among flowering, fruiting and fruit ripening is greatly reduced, and the crop becomes unproductive [40, 41]. Bioclimatic studies are also important for monitoring and managing the invasion of alien species, both in agriculture and in natural environments [42–45]. In fact, there are increasing reports of these species replacing native species, generating many ecological problems: and many of these begin to spread precisely because they escape cultivation [46–50].

4 Conclusions The advances in bioclimatology, biogeography and vegetation sciences have allowed us to apply these sciences in agriculture. The studies carried out reveal the need to establish territorial ordinances using current scientific advances. With the territorial bioclimatic analysis, agricultural and urban planning can be done. Given the powerful climate change that is happening, it is essential to make changes in urban and agricultural structures, to move to a new integral development model. For this, it is necessary to take into account the bioclimatic, biogeographic, ecological and existing vegetation parameters. Another useful approach that can be added to bioclimatology is the use of phytotoponyms, which can indicate the uses of some areas cultivated in the past and no longer used today [51, 52]. The optimization of all these tools would reduce the pollution of the cities and obtain diversified, profitable agricultural crops with a lower environmental cost, and it will increase and strengthen the contribution given by forest resources for the construction of the Post Carbon City, according to [27–36]. All this also reduces the pollution of the cities and obtain diversified, profitable agricultural crops and with a lower environmental cost. Climate change affects the entire planet, especially the Mediterranean basin. The climatic irregularities that have appeared, together with the increase in the power of meteorological phenomena,

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greatly affect crops. The only thing that can alleviate or mitigate the strength of these climatic disorders is to have an agronomy bioclimatically ordered, and the use of cultivation techniques that minimize climatic effects.

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29. Spampinato, G., Massimo, D.E., Musarella, C.M., De Paola, P., Malerba, A., Musolino, M.: Carbon sequestration by cork oak forests and raw material to built up post carbon city. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Series: Smart Innovation, Systems and Technologies, vol. 101, pp. 663–671. Springer, Heidelberg (2019) 30. Del Giudice, V., Massimo, D.E., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Post carbon city and real estate market: testing the dataset of reggio calabria market using spline smoothing semiparametric method. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Series: Smart Innovation, Systems and Technologies, vol. 100, pp. 206–214. Springer, Heidelberg (2019) 31. Massimo, D.E., Del Giudice, V., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Geographically weighted regression for the post carbon city and real estate market analysis: a case study. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Series: Smart Innovation, Systems and Technologies, vol. 100, pp. 142–149. Springer, Heidelberg (2019) 32. De Paola, P., Del Giudice, V., Massimo, D.E., Forte, F., Musolino, M., Malerba, A.: Isovalore maps for the spatial analysis of real estate market: a case study for a central urban area of Reggio Calabria, Italy. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives: Local Knowledge and Innovation. Series: Smart Innovation, Systems and Technologies, vol. 100, pp. 402–410. Springer, Heidelberg (2019) 33. Massimo, D.E., Malerba, A., Musolino, M.: Green district to save the planet. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Green Energy and Technology, pp. 255–269. Springer, Heidelberg (2018) 34. Massimo, D.E., Malerba, A., Musolino, M.: Valuating historic centers to save the planet soil. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Green Energy and Technology, pp. 297–311. Springer, Heidelberg (2018) 35. Musolino, M., Malerba, A., De Paola, P., Musarella, C.M.: Building Efficiency Adopting Ecological Materials and Bio Architecture Techniques, pp. 707–717. ArcRHistoR (2019) 36. Massimo, D.E., Malerba, A., Musolino, M., Nicoletti, F., De Paola, P.: Valutazione energetica comparativa degli edifici per la Post Carbon City [Energy Comparative Assessment of Buildings, for the Post Carbon City], pp. 63–70. Laborest (2020) 37. Massimo, D.E., Battaglia, L., Fragomeni, C., Guidara, M., Rudi, G., Scala, C.: Sustainability Valuation for Urban Regeneration-The “Geomatic Valuation University Lab” Research. In: Advanced Engineering Forum. TTP Publications (USA) (2014) 38. Massimo, D.E., Fragomeni, C., Malerba, A., Musolino, M.: Valuation supports green university: case action at Mediterranea campus in Reggio Calabria. Procedia Soc. Behav. Sci. 223, 17–24 (2016) 39. Massimo, D.E., Malerba, A., Musolino, M., et al.: A green district to save the planet. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Results of SIEV Green Energy and Technology, pp. 255–269. Springer, Heidelberg (2017) 40. Massimo, D.E., Malerba, A., Fragomeni, C., Musolino, M.: Valuating historic centers to save planet soil. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Results of SIEV. Green Energy and Technology, pp. 297–311. Springer, Heidelberg (2017) 41. University of Arizona, Plants That May Cause Allergies in Yavapai County. https://cals. arizona.edu/yavapai/publications/yavcobulletins/Plants%20That%20May%20Cause% 20Allergies.pdf. Accessed 10 Jan 2020

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Comparison of Different Digital Models of a Sustainable Bamboo Structure Using Aerial Photogrammetry Vincenzo Barrile, Gabriele Candela, Ernesto Bernardo(&), and Antonino Fotia Mediterranea University, DICEAM via Graziella feo di Vito, Reggio Calabria, Italy [email protected]

Abstract. In eastern countries the use of bamboo as sustainable and local material is becoming a standard. The integration of this environmentally friendly material in complex structure and buildings is appreciated also from an architectural point of view. In this paper a digitalization of a bamboo spatial truss structure using aerial photogrammetry and computer vision is presented. Thanks to the availability of commercial and low-cost UAVs (Unmanned Aerial Vehicles), surveying by means of 3d reconstruction generated by computer vision algorithms low costs application are possible. These tools allow for a quick and effective methodology to acquire image data and reconstruct a detailed 3d model that can be used for structural analysis and maintenance operations. The developed methodology for acquiring data through UAV is introduced, specifying the flight acquisition plan to obtain the images data, and the data processing using structure-from-motion algorithms to provide an accurate 3d-model. Particular attention is focalized on the knots. The accuracy of the measurements is evaluated by comparing results with project drawings. The results highlight the economical and fast applicability of this technology to the survey of spatial truss structures to derive a 3d model, that can be used to investigate the structural health conditions. Keywords: Green building BIM model


UAV
3D reconstruction
Glubam structure


1 Introduction Surveying techniques for the acquisition of spatial information are rapidly growing during the last years thanks to new technologies and the diffusion of instruments (both software and hardware) available. Modern surveying techniques are fundamental to acquire spatial information and convert into digital, in case that blueprint is not available, and to analyse and monitor the structure and to schedule maintenance works. In this context, applying close-range photogrammetry, the aerial survey of a spatial truss made of bamboo-steel is presented. Starting from a research on a structure located at the entrance of the Civil Engineering College on Nanjing [1], we used different software and different level of © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1302–1309, 2021. https://doi.org/10.1007/978-3-030-48279-4_121

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details; the obtained 3d models are compared with the blueprints for the results validation. The computation low cost of this procedure together with the good precision obtained allows structural engineer to use the produced 3D model in their studies.

2 Glubam-Stell Spatial Truss Structure 2.1

Bamboo as a Structural Material

The structure analyzed herein is a roof system located at the entrance of the Civil Engineering College on Nanjing Tech University in Nanjing, China (Fig. 1). Bamboo is useful material for Green Buildings and to build up the Post Carbon City [2, 15–24]. Its most appealing features are attributable to the fact that bamboo is a highly renewable construction material with low embodied energy and high strength-toweight ratio.

Fig. 1. Bamboo steel spatial truss structure in Nanjing Tech University

The use of structure engineered bamboo composites to substitute wood in buildings is rapidly growing in Asia thanks to the good equivalent thermal performance [3]. In particular, this structure is made of Glubam, a composite bamboo material whose characteristics and production process are described in [4].

3 Image-Based 3d Reconstruction Using UAV 3.1

Close Range and Aerial Photogrammetry

The application of photogrammetry for surveying and 3d reconstruction is possible thanks to the availability of low-cost sensors and the continuous improvement of

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computer vision algorithms to elaborate the images. Nowadays these algorithms, based on Structure From Motion (SFM) [5, 6], have reached a good level of maturation and are available in different commercial software. The applications of this techniques are different [7], from civil engineer [8] to cultural heritage preservation [9]. Close-range photogrammetry [10] is a photogrammetric technique where the camera is located on the ground, used to acquire metrics information of the small object, and also to reconstruct three-dimensional measurable scene [11]. In the aerial photogrammetry [12], the camera sensor is mounted on a UAV system, that makes the process really fast and replicable, and allow to reach inaccessible areas. Consequentially, compared with other traditional techniques, survey based on aerial photogrammetry is used to quickly acquire spatial and metric information thanks to the possibility of recreating the measurable 3d scene in a cheap and fast way. 3d Reconstruction from Images Workflow. The correct acquisition of data is the first step in the workflow for 3d reconstruction. The quality of the reconstruction highly depends on the quantity and quality of the acquired photo. However, increasing number of photos correspond to an increase in the calculation time. The minimum overlap between two consecutive photos is set on 70% on both vertical and horizontal side. The creation of the 3d model from image dataset is based on SFM algorithms. Starting from photos the Scale Invariant Feature Transform (SIFT) recognize the unique feature on each photo while the SFM algorithm [13] is used to match common feature on each photo, calculate the camera positions, and recreate the target scene or object as 3d point cloud. Afterwards, the point cloud is cleaned and simplified, reducing the number of point through Poisson disk algorithm [14] and the triangular mesh is reconstructed using screened Poisson Surface Reconstruction Algorithm [15]. The output of this process is a 3d triangular mesh of the target scene or object with a coloured texture.

4 Case Study: Surveying and Modelling of a Glubam Structure 4.1

Data Acquisition Plan

The survey of the Glubam-steel spatial truss was performed using aerial photogrammetry with commercial UAV DJI Mavic mini (DJI, Shenzen, China). The flight plan was set to obtain a Ground Sampling Distance (GSD i.e., the average distance in the photo between the centre of two consecutive pixels) of 0,5 cm/pixel on each photo and 80% overlap between two consecutive photos [25, 26]. The acquisition plan of the UAV was set acquiring a photo on a grid of 1 m  1 m in both vertical and horizontal. To obtain the required GSD the 3 different flight in correspondence of the joint and on the Glubam pieces were executed. A total of 459 photos (2.5 GB of files) were acquired in 30 min survey.

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Fig. 2. Point cloud

Fig. 3. Point cloud

3d Reconstruction Process. The obtained dataset was then elaborated with the commercial software 3d Flow Zephyr and Agisoft Metashapethat it integrates the SFM algorithms and Poisson Surface Reconstruction Algorithm to generate respectively the 3d point cloud (Figs. 2 and 3) and the 3d mesh of the target scene. To ensure the metric precision in the reconstruction, the entire model was scaled with a real measure of the object. In Table 1 the data obtained from the 3d reconstruction process (high and low resolution) are summarized [27, 28]. The results obtained by the software products are very similar in terms of processing time and for the purposes set out it has been verified that even a low-definition fast reconstruction is well adaptable to structural applications of various types (Table 1). Measurements and comparison with BIM model. The acquired model was then simplified using 3d computer graphics software Rhinoceros 6 (Robert McNeel & Associates, Seattle, Washington, USA) together with the Mesh2Surface (KVS OOD, Blagoevgrad, Bulgaria) plugin providing simple and efficient tools to convert a 3D scanned mesh into a CAD model. In particular different sections (Fig. 4) were approximated to obtain a simplified model based on the original mesh [29]. Based on the extracted section a comparison between the blueprints (BIM) and the obtained model was executed, with a difference in the measure of 2 mm (58 mm of the reconstructed model and 56 mm in the real one). The reconstructed model is represented in Fig. 4. Similar consideration can be done for the other cross-sections, both for the steel and for the Glubam ones.

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V. Barrile et al. Table 1. Reconstruction process data workflow. 3D Flow Zephyr N. of photos 459 (2.5 gb) 3d point cloud 3 million points Running time 5 h 3d mesh 839.405 points – 1.674.921 triangles Running time 1 h 3D Flow Zephyr N. of photos 459 (2.5 gb) 3d point cloud 1,5 milion points Running time 2,2 h 3d mesh 426.205 points – 868.828 triangles Metashape N. of photos 459 (2.5 gb) 3d point cloud 3 milion points Running time 6 h 3d mesh 952.634 points – 1.867. 241 triangles Running time 1,2 h Metashape N. of photos 459 (2.5 gb) 3d point cloud 1,8 milion points Running time 3 h 3d mesh 472.245 points – 930.126 triangles Running time 0.6 h

Fig. 4. Cross section of the 3d mesh

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5 Conclusions The acquisition of a roof system in bamboo-steel using a UAV is presented. This acquisition was performed using aerial photogrammetry to obtain a complete measurable 3d model of the Glubam-steel truss with a fast and cheap procedure. The 3D model was obtained through elaborations with two different software at different levels of detail. The obtained results were compared with blueprints to validate the 3d mesh model. From the tests carried out it appears that even a quick shipping process provides appreciable values, very similar to those obtained from complete elaborations. Furthermore, more information on the health of the structure, of bamboo parts and of joints can be obtained from image analysis.

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Quarries Renaturation by Planting Cork Oaks and Survey with UAV Vincenzo Barrile2, Alessandro Malerba1(&), Antonino Fotia2, Francesco Calabrò1, Carlo Bernardo1, and Carmelo Musarella1 1

Mediterranea University of Reggio Calabria, Viale dell’Università 25, 89124 Reggio Calabria, Italy [email protected] 2 Mediterranea University of Reggio Calabria, Via Graziella, 89122 Reggio Calabria, Italy

Abstract. Research aims to provide a strategy to start mitigate the over consumption of fossil energy in buildings and the inter connected over burning of energy fossil sources: methane; oil; coal. All this, through energy efficiency or “passivation” of all buildings in whole districts, quarters, cities using cork, a unique and very highly performing nature-based material. All this is sufficient to think that the post carbon city strategy is really possible. It even seems incredible to think that to mitigate and solve the huge problem of climate change for Europe and Mediterranean region it would be enough to use “simple” cork as natural-based (oil free; chemical free; ffff = free fossil fuel future) insulation panels! One additional innovation, among others, in the strategy above cited, is the production from cork of vegetable sand for mortars, substituting the mineral silica-sand extracted from river sand, crushed stone and stone quarries. One positive consequence of this further innovation is the decrease and fall of mineral sand extraction and the possibility of recovery (= renaturation) of quarries with different approaches and, among them, through terracing of overhanging rock walls and subsequent “naturation” through oak cork tree planting. To perform the important mission of quarry recovery and renaturation, a general quarry survey (not existing at present time) by UAV and an extracted volume valuation are needed and the research provides a first prototype Case Study. Keywords: Valuation for post carbon city
Valuation of cork impact for green building
Quarry quantitative valuation
Quarry recovery, stabilization and renaturation simulation
UAV

1 Introduction Severe climate change causes the consequent global warming of the Earth, due to fossil energy over burning and consequent emissions and pollution, and now is causing an ecological crisis, lethal for Mankind and Planet. Additionally, energy indoor consumption in the world has grown also because air conditioning in urban buildings has increased significantly in order to reach comfortable living indoor temperature. Also, analyses confirm also that, in quantitative terms, © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1310–1320, 2021. https://doi.org/10.1007/978-3-030-48279-4_122

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the sectors consuming more than 40% of total yearly used energy are the constructions industry and the construction and civilian management. Contemporary buildings (80% of the existing total) are mostly to blame because they are the most emissive because of thin or glass walls, than they consume (per unit of m2 or m3) much more energy than historical buildings with thick walls with high thermal capacity. The metabolism of modern building is different that of historical building, which used natural materials with higher thermal capacity in their larger thicker walls. Consequently, it is important to decrease energy consumption specially in modern buildings. Energy policies must be based on the more efficient use of energy, especially in construction, and must plan the total regeneration of existing settlements. The researchers of the GEomatic VAluation University Laboratory (GeVaUL) of the Mediterranea University of Reggio Calabria conceived and tested an important strategy to start mitigate the over consumption of fossil energy in buildings and the inter connected over burning of fossil sources: methane; oil; coal. All this, through energy efficiency or “passivation” [1–11] of all buildings in whole cities using cork, a very good nature-based material. All this is sufficient to start enforcing the post carbon city framework. It even seems incredible to think that to mitigate and solve the huge problem of climate change for Europe and Mediterranean region it would be enough to use “simple” cork! One innovation, among others, in the strategy above cited, is the production from cork of vegetable sand for mortars, substituting the mineral silica-sand extracted from sand, crushed stone and stone quarries. One very positive consequence of the innovation is the decrease and fall of mineral sand extraction and the possibility of recovery of quarries with different approaches and, among them, through terracing of overhanging rock walls. A further positive opportunity is the renaturation of terraces using cork oak trees, id est the origin of renewable replicable natural vegetable cork sand for building passivation (Green Building) and built up of Post Carbon City. To perform the important mission of quarry recovery, mechanical stabilization and renaturation in the framework of post carbon city, a general quarry survey (not existing at present time) is needed and to pioneer this Strategy a following Case Study if first introduced and, then, provided.

2 Case Study: Census; Survey; Prototype Intervention The Case Study is located in Italy, in Calabria, the Southernmost region of continental Italy (Figs. 1) concerning: regional census and quantitative valuation of all Calabria quarries; focus and specific survey on one prototype quarry; real world experimentation of the same prototype quarry consolidation and ri naturalization. In Italy, quarries are under the legal control of regional governments and administrations. Surprisiling, a total and geo referenced census of all quarries, both abandoned and active, is not available and, may be, it does not exist at all. Then, research planned, undertook and performed a highly demanding census of all existing quarries, both abandoned or active. Output is an original and unedited quarry total detection, census and quantitative valuation, geo referenced and organized in Gis and WebGis.

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Fig. 1 Location of quarry of Caronte. Source: Survey. Basemap: Gis Pau-GeVaUL. Display scale on Gis: Italy 1:30.000.000; Calabria 1:5.000.000

Census WebGis encompasses today boundaries and bi-dimensional consistency, both laid out on bi-dimensional aerial ortho imagery (Fig. 3), of all excavated sites in Calabria, compared to the same sites in the year 1954 (Fig. 2). A very interesting area is a set of abandoned closed down quarries in front of an important thermal center, in the central part of the region no far from the important international airport of Calabria. Quarries can be recovered and stabilized by terracing and, then, re-naturated with cork oaks trees, the same that exist in the surrounding woodland.

Fig. 2 Caronte Anfiteatro Quarry. The site in the year 1954 (66 years ago). Before excavation. Basemap: Casmez 1954. Original scale 1:10.000. Display scale 1:10.000. Section line A-A’

Fig. 3 Caronte Anfiteatro Quarry. Aerial imagery. Area: 35.462 m2. Prototype stabilization by terracing (implemented). Basemap: 2019 aerial imagery. Display scale 1:10.000

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At this point a technical survey is needed and Unmanned Aircraft Vehicles (UAV), better known as drones, method is the preferred alternative. This survey and the recovery and renaturation investment, for prototype quarry, have been designed, planned and performed as it follows.

3 Quarry Survey 3.1

UAV and Quarry Survey

Thank to technological progress advances, the use of Unmanned Aircraft Vehicles (UAV), better known as drones, is constantly increasing. The fields of application of this technology range in different areas. Today, the integration between UAV and GIS (geographic information systems) is a resource with enormous potential that can be best exploited with the right technical and scientific knowledge [12, 14]. It is a great alternative in construction, mining and agriculture. In fact, there are many applications: for example, it can support monitoring of deposit volumes and the calculation of material quantities in defined areas. For the complex areas such as quarries: – the privileged point of view allows the survey [13] and mapping of the entire area quickly and accurately, – The ability to capture oblique and even frontal frames allows the reconstruction of the vertical walls, – the “low” flight altitude ensures sufficient resolution to the ground. The volumetric calculation of a quarry site, for example, is essential for the estimation of the material to be extracted, its economic value, the royalties to be conferred on the dealer. But also for the control of the surfaces to be restored in the postextraction phases. The characteristics of a orthophoto make it measurable, so the calculation of a distance corresponds to the actual measure between the points: estimating the volumes of material becomes an accessible geometric problem [15]. The procedures are obviously preceded by pre-flight visual inspections of the perimeter to take note of any hollows or obstacles that could affect the reliefs. The steps are as follows: – – – –

Data acquisition; Reconstructing geometric information using software; Generating the point cloud; Making a mask in a GIS environment to calculate volumes.

Mapping with aerophotogrammetry can cover areas of vast size in less time than traditional ground volume measurements, ensuring a safer, faster and cheaper method. The high resolution of the starting data also allows for greater accuracy in the sub sequential calculation phase.

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With this method it is possible to estimate differences in volume and assess changes in surface morphology, accurately enough and through a repeatable procedure. 3.2

Photogrammetric Survey

The images were captured using DJI mavic PRO and the flight was performed entirely in manual mode. The drone ‘s characteristics are shown in Table 1. Table 1. DJI Mavic Pro characteristic. DJI Mavic Pro Range Flight time Max speed Camera Stabilizer

7 km 27 min 65 km/h 12.35 Mp lens FOV 78.8, 28 mm (35 mm format equivalent) f/2.2 (shooting range: 0,5 to ∞) Gimbal 3 axis

The capture of the frames was done in several shots taken from different angles. Specifically, the following were performed: 3 swipes with oblique high grip; 2 swipes with oblique low grip; 2 swipes with nadiral grip. The frame size obtained with the Mavic Pro drone is 12.35 megapixels (4000  3000), all stabilized thanks to the integrated Gimbal system on the three axes of motion of the camera. The positioning and survey of the points on the ground were performed with traditional techniques (GNSS or Total Station), but these are a few points per hectare. In addition, prior to the execution of the flight, it was necessary to carry out a topographical survey carried out by total station, that allowed to determine the coordinates, compared to a local reference system, of some distributed targets in the area of interest. This increased the accuracy of the 3D model and, above all, allowed georeferencing. The 3D model reconstruction [13, 15, 16] was carried out by photogrammetric processing of the images that took place with the Agisoft PhotoScan software. The software first calculates, in a local reference system, the parameters of internal and external orientation of the chamber. At the same time, it generates a 3D-scattered cloud of points corresponding to the placement of the estimated counterpart points. The default coordinates are expressed in the local system, but because for our purposes it is require a georeferencing in a defined coordinate system, Metashape allows us to configure the coordinates in a defined system based on the appropriately measured markers, defining a similar transformation of the model.

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In the third step it is possible rebuild a dense cloud (Fig. 4) from the aligned image, with the purpose to constructing the detailed geometry of the model (Fig. 5). In this phase Metashape allows us to choose between different stereo-matching algorithms. The end result is equivalent to a digital surface model (DSM): a numerical representation of morphology and objects.

Fig. 4 Methodological example. A dense cloud rebuild from the aligned image

Fig. 5 Methodological example. A Mesh

The software allows you to generate a report of the processing carried out. The processing evaluation parameters are: the GCP error and the check point error.

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GCPs Ground Control Points errors [cm] Num e(x) 25 1.6 Check point errors [cm] Num e(x) 14 1.1

e(y) 2.1

e(z) 3.1

e(3D) 4.2

e(y) 1.7

e(z) 2.2

e(3D) 2.7

Table 2 shows the quality of the results. As we can see, the errors on the constraint points remain almost constant, the small oscillations (as of 5 mm) are probably related to the destruction geometry of the constraints. On the other hand, on control points, Quality Control Point QCPs or Check Points (those not used as a constraint in the photogrammetric process), errors increase considerably. Reconstructions at later times allowed to identify and measure changes that occurred during the period considered. Clearly, when comparing different eras, georeferencing and metric accuracy of threedimensional reconstructions affect the quality of the results obtained. In our case study, the starting model for the comparison was built from the level curves of a 1954 cartography (Figs. 6(a) and (b)), resulting in fairly high approximations.

Fig. 6 Caronte Anfiteatro Quarry. The level curves by drone survey (a) and overlapping. Between level curves of: -drone survey 2020 and level curves by basemap Casmez 1954 (b)

By section obtained (Figs. 7(a) and (b)) we can calculate the volumetric differential (30,000 mc). Considering the specific weight of the extracted aggregate equal to 30 ql per m3, the total extracted material is about 900,000 ql, equal to 90,000 Tons.

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Fig. 7 Caronte Anfiteatro Quarry (Lamezia Terme). 3D section A-A created by drone survey (a). Virtual Extracted Volume Depiction, from overlapping between: -Section by drone survey 2020; -and Section by basemap Casmez 1954 (b). The volumetric difference from year 1954 (before extraction) to year 2020 is around 30,000 m3

The error in calculating volumes is difficult to predict or quantify a priority because it depends on the metric accuracy and resolution of the two models, the characteristics of the area investigated and the survey carried out. Experimental tests must be carried out to determine this error, perhaps in areas that are not subject to change or using known size control volumes.

4 Focus on Prototype Quarry Stabilization (in Real World) and Re Naturation Case Study conceived, drafted and designed the above cited recovery, mechanical stabilization by terracing and renaturation of Caronte Anfiteatro Quarry, documented in Fig. 8 and simulated in Figs. 9.

Fig. 8 Caronte Anfiteatro Quarry (Lamezia Terme). A picture derived from drone survey.

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In the design, as well as in the real world experimentation, the first step, already performed and completed, is the cliffs mechanical stabilization and consolidation by terracing the solid rock slope. Pictures documents the Caronte Anfiteatro Quarry after real world implementation of terracing (Fig. 8). Second step is the renaturation through new plantation of the cork oak trees on the horizontal surfaces or terrace steps, with dynamic simulated in the Fig. 9 (before) and Fig. 9 (after). The cork oak trees in just 15–20 years will restore a landscape similar to original, will provide the green cover of rockwall cliffs and will start again the cycle to produce again useful and valuable cork barks to transform them in both bio ecological insulating panels as well as in cork based vegetal renewable sand for plaster to be used for Green Building, then to build up Post Carbon City Strategies.

Fig. 9 Before and after. Caronte Anfiteatro Quarry. Simulation of renaturation through plantation of cork oak trees on horizontal terraces. Source: Survey. Basemap: 3D.

5 Conclusion Research proposed a feasible strategy useful to mitigate the over consumption of fossil energy in buildings and the inter connected over burning of energy fossil sources: methane; oil; coal. All this, through energy efficiency or “passivation” of all buildings in whole districts, quarters, cities using cork, a highly performing nature-based material. All this is sufficient to think that the post carbon city framework is really possible also in European and Mediterranean regions. It even seems incredible to think that to solve the huge problem of climate change it would be enough to use “simple” cork! And its ecological panels and granulated vegetal sand for insulation.

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One innovation, among others, proposed in the strategy and introduced in the paper, is the production from cork of vegetable sand for mortars, substituting the mineral silica-sand extracted from rivers, crushed stone and stone quarries. One very positive consequence of this further innovation is the decrease and fall of mineral sand extraction and the possibility of close down and recovery (= renaturation) of quarries with different approaches and, among them, through terracing of overhanging rock walls. Additional opportunity is the renaturation of close down quarry consolidated terraces using cork oak trees id est the origin of renewable natural vegetable cork sand for building passivation (Green Building) and implementation, in the real world, of Post Carbon City. To perform the important mission of quarry recovery and renaturation, a regional general quarry survey (not existing before) have been provided by the present Research on Web Gis basis. Additionally, the research provides a first prototype Case Study of quarry cliffs mechanical stabilization and consolidation by terracing the solid rock slope (implemented in the real world) and subsequent second step of quarry renaturation through new plantation of the cork oak trees on the horizontal surfaces or terrace steps. Acknowledgement. Authors contributed equally to the Paper.

References 1. Massimo, D.E.: Green building: characteristics, energy implications and environmental impacts. case study in Reggio Calabria. In: Mildred, C.-S. (eds.) Green Building and Phase Change Materials: Characteristics, Energy Implications and Environmental Impacts. Energy Science, Engineering and Technology, pp. 71–101. Nova Science Publishers, Inc., New York (2015) 2. Spampinato, G., Massimo, D.E., Musarella, C.M., De Paola, P., Malerba, A., Musolino, M.: Carbon sequestration by cork oak forests and raw material to built up post carbon city. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) Smart Innovation, Systems and Technologies, vol. 101, pp. 663–671. Springer, Heidelberg, ISBN: 978-3- 319-92101-3, ISSN: 2190-3018, ita, 2018 (2019). https://doi.org/10.1007/978-3-319-92102-0_72 3. Malerba, A., Massimo, D.E., Musolino, M., Nicoletti, F., De Paola, P.: Post carbon city: building valuation and energy performance simulation programs. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) Smart Innovation, Systems and Technologies, vol. 101, pp. 513–531. Springer, Heidelberg, ISBN: 978-3-319-92101-3, ISSN: 2190-3018, ita, 2018 (2019). https://doi.org/10.1007/978-3-319-92102-0_54 4. Massimo, D.E., Del Giudice, V., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Geographically weighted regression for the post carbon city and real estate market analysis: a case study. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) Smart Innovation, Systems and Technologies, vol. 100, pp. 142–149. Springer, Heidelberg, ISBN: 9783319920986, ita, 2018 (2019). https://doi.org/10.1007/978-3-319-92099-3_17

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5. Del Giudice, V., Massimo, D.E., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Post carbon city and real estate market: testing the dataset of Reggio Calabria market using spline smoothing semiparametric method. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) Smart Innovation, Systems and Technologies, vol. 100, pp. 206–214. Springer, Heidelberg, ISBN: 9783319920986, ita, 2018 (2019). https://doi.org/10.1007/978-3-319-92099-3_25 6. De Paola, P., Del Giudice, V., Massimo, D.E., Forte, F., Musolino, M., Malerba, A.: Isovalore maps for the spatial analysis of real estate market: a case study for a central urban area of Reggio Calabria, Italy. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) Smart Innovation, Systems and Technologies, vol. 100, pp. 402–410. Springer, Heidelberg, ISBN: 9783319920986, ita, 2018 (2019). https://doi.org/10.1007/978-3-319-92099-3_46 7. Massimo, D.E., Malerba, A., Musolino, M.: Green district to save the planet. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Green Energy and Technology, pp. 255–269. Springer, Heidelberg (2018) 8. Massimo, D.E., Malerba, A., Musolino, M.: Valuating historic centers to save the planet soil. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Green Energy and Technology, pp. 297–311. Springer, Heidelberg (2018) 9. Musolino, M., Malerba, A., De Paola, P., Musarella, C.M.: Building efficiency adopting ecological materials and bio architecture techniques, pp. 1–10. ArcRHistoR (2019) 10. Massimo, D.E., Malerba, A., Musolino, M., Nicoletti, F., De Paola, P.: Valutazione energetica comparativa degli edifici per la Post Carbon City [Energy Comparative Assessment of Buildings, for the Post Carbon City], pp. 63–70. Laborest (2020) 11. Massimo, D.E., Fragomeni, C., Malerba, A., Musolino, M.: Valuation supports green university: case action at Mediterranea campus in Reggio Calabria. Procedia Soc. Behav. Sci. 223, 17–24 (2016) 12. Barrile, V., Fotia, A., Bilotta, G.: Geomatics and augmented reality experiments for the cultural heritage. Appl. Geomatics 10(4), 569–578 (2018) 13. Barrile, V., Fotia, A., Ponterio, R., Mollica Nardo, V., Giuffrida, D., Mastelloni, M.A.: A combined study of artworks preserved in the archaeological museums: 3D survey, spectroscopic approach and augmented reality. In: International Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences, XLII-2/W11, pp. 201–207 (2019) 14. Barrile, V., Fotia, A., Candela, G., Bernardo, E.: Geomatics techniques for cultural heritage dissemination in augmented reality: Bronzi di Riace case study. Heritage 2(3), 2243–2254 (2019) 15. Barrile, V., Candela, G., Fotia, A., Bernardo, E.: UAV survey of bridges and viaduct: workflow and application. In: ICCSA, Computational Science and Its Applications, pp. 269– 284 (2019) 16. Barrile, V., Fotia, A., Candela, G., Bernardo, E.: Integration of 3d model from UAV survey in BIM environment. In: International Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences, XLII-2/W11, pp. 195–199 (2019)

Cork Oak Forest Spatial Valuation Toward Post Carbon City by CO2 Sequestration Giovanni Spampinato, Alessandro Malerba(&), Francesco Calabrò, Carlo Bernardo, and Carmelo Musarella Mediterranea University of Reggio Calabria, Viale dell’Università 25, 89124 Reggio Calabria, Italy [email protected] Abstract. Cork is adopted to passivate green buildings by the mean of cork made panels for insulation and then to build up post carbon city [1–12]. World is facing an incumbent lethal ecological disaster caused by global warming which is the last final ring in responsibility chain originated by the fossil energy over consumption and burning in contemporary world. Building management, civilian sectors and construction activities share an astonishing large percentage, close to 50%, of total world consumption of energy from fossil sources. It is mainly because of the excessive inefficiency of buildings, notably the most modern and recent ones. Sugherete (cork oak woods and forests) are shifting from abandoned and meaningless wood lands in geo strategic resources needed to implement the solution to climate change planetary problem id est the Sustainability Strategy. Consequently, sugherete shall be detected, analyzed and treasured. A Case Study have been performed collecting on the field data concerning the sughereta named Angitola in the territory of Pizzo town (in the region of Calabria, the Southernmost of continental Italy; province of Vibo Valentia) whose area have been estimate at about 125 hectares. This information is important for future valuation of potential CO2% sequestration as well as of cork bark retractable from the forest. Keywords: Valuation
Quantitative valuation of cork oak forest
Valuation for post carbon city strategy
Valuation of ecological retrofitting with nature-based materials
Gis of cork oak forest
CO2 sequestration
Quercus suber L
Fagaceae

1 Introduction Cork is adopted to passivate green buildings by the mean of sustainable cork made panels for insulation and then to build up post carbon city [1–12]. Thousands of scientists have been working hard setting up systematic knowledge and incontestable proofs concerning the extreme risk of the present negative ecological trends, collected in several Reports ([13] Ipcc 1990; [14] Ipcc 1995; [15] Ipcc 2001; [16] Ipcc 2007; [17] Ipcc 2014; [18] Ipcc 2018) of the IPCC, Inter - governmental Panel for Climate Change. Following directions of IPPC, hundreds of country governments try afraidly to tackle pending environmental disaster, pledging lukewarmly to lower down planet global warming by country emission mitigation during the decades following. Consequently, governments signed timidly Kyoto Protocol (1997; 144 countries over 192) and Paris © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1321–1331, 2021. https://doi.org/10.1007/978-3-030-48279-4_123

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Agreement (2016; signatories: 195). Recent research has shown how energy indoor consumption in the world has increased also because air conditioning in urban buildings has increased significantly in order to reach comfortable living indoor summertime temperature.

2 Post Carbon City Framework to Mitigate Planet Climate Change Consequence of fossil energy over consumption is unequivocal Climate Change in direction of Global Warming and its negative spillovers: increasing of global air and ocean temperatures; rising of global average sea level; reductions of glacier, ice and snow surfaces. Specifically, the forecasts confirm for the next decade the following dramatic phenomena is: temperature increases of 3 to 6 °C; extreme weather phenomena intensification; reduced levels of regular rain in various areas; uncontrolled fires and desertification. Then, energy policies must be based on the more efficient use of energy, especially in construction, and must plan the total regeneration of existing settlements. Consequently, common goals of individuals, people, society, economy, Institutions must be the implementation of bio ecological retrofitting strategy for energy structural permanent saving in all existing buildings (residential, non-residential, public, etc.), instead of new development and novel constructions. The researchers of the GEomatic VAluation University Laboratory (GeVaUL, dir. prof. Massimo) at Mediterranea University of Reggio Calabria conceived and tested an important strategy to start mitigate the over consumption and over burning of fossil energy in buildings. Through ecological\sustainable energy efficiency or “passivation” of all buildings in whole cities using cork, a very good nature-based material. All this is sufficient to think that the post carbon city framework is really possible also for the southernmost region of continental Italy: Calabria. It even seems incredible to think that to mitigate and solve the huge problem of climate change for this Mediterranean region (and others) it would be enough to use “simple” cork! To implement the above introduced decisive and fixing “cork strategy” in post carbon city framework, able to solve climate change tragedy, a preparatory and inescapable information is needed to start a circular economy dynamic based upon local resources: first, the existence and location, and, second, the extension of cork oak (Quercus suber L.) forests.

3 Materials and Methods Research focuses on detection of the most relevant and well-preserved cork oak forests (= sugherete) in the region of Calabria, the Southern most of continental Italy (Fig. 1). These are among the total 1.526 hectares of homogeneous cork oak vegetation disentangled in Calabria within the forest general traditional census of 1997 [19], in the grand total of around 100.000 hectares in the whole Italy, and 2.240.000 hectares in the World. 1997 National Forest Census [19] follows the previous traditional ones of 1952 [20], 1963 [21], 1974 [22], 1986 [23], and it is coherent with previous pioneer researches of Flores ([24] 1927) which detected a total of 1.600 hectares of homogeneous surface in the region, and De Philippis ([25] 1936) (Table 1).

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Table 1. 1997 cork oak forest surfaces, in hectares (Istat). Regions 01. Sardinia [#1; 89%] 02. Sicily [#2; 6%] 03. Calabrie [#3; 1,5%] 04. Campania [#6] 05. Lazio [#5; 1,2%] 06. Toscana [#4; 1,3%]

Hectares per region Summing up Wwf estimate 89.209 89.209 200.000 06.008 95.217 14.000 01.526 96.743 3.400 00.258 97.001 0 01.149 98.105 2.700 01.246 99.396 3.000 99.396 223.100

A different approach (tree account) has been adopted for the subsequent versions ([26] 1985; [27] 2005; [28] 2015) of so called Inventario Forestale Nazionale. Sub sequent historical and typological researches have been performed by Caridi and Iovino ([29] 2002), Mercurio and Spampinato ([30] 2003), Vessella and Schirone ([31] 2013), Spampinato et Alii ([3] 2019) in detecting the relevant features of cork oak forests in Calabria and in Italy. Almost 92 years (from 1927 to date 2019) of studies and researches help to detect four most relevant (among some others) areas were cork oak forests are concentrated in Calabria, from South to North. – – – –

Area: Area: Area: Area:

Monte Scrisi; San Giorgio; Fiume Angitola; Fiume Amato.

In the literature ([24] Flores, 1927; [25] De Philippis, 1936; [29] Caridi and Iovino, 2002; [30] Mercurio and Spampinato, 2003; [31] Vessella and Schirone, 2013; [3] Spampinato et Alii, 2019) and statistics (Istat: [20] 1952, [21] 1963, [22] 1974, [23] 1986, [19] 1997; Inventario Forestale e dei serbatoi di carbonio: [26] 1985; [27] 2005; [28] 2015) and in academic dissertations (e.g. [32] Barreca, 2010) some sugherete in Calabria have been reported and pointed out but it have not been found any georeferenced boundary of any cork oak forest. Forest boundaries and their encompassed areas and extensions are the missed part of 92 years of research. On the other hands, boundaries derived from vegetation computerized geo data base ([33] Arssa 2008), thoroughly analyzed [34] Massimo et Alii 2019, encompass too large unrealistic areas, then they do not match with direct on the field controls, performed with the help of expert surveyor or topographer. Boundary is of utmost importance for many reasons, because it allows to: – 01. perform the direct control and the on the field survey; – 02. perform the crucial test of today existence and permanence, or not, of the reported sughereta; – 03. then, compare the on the field survey outcomes with evidence from important contemporary and historical and old maps, including recent aerial photos today available with astonishing details;

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– 04. perform the first preliminary and preparatory dendrographic valuation of the forest encompassed within boundary. To verify the existence and persistence of cork oak forests, a direct control and onsite survey, with the help of land surveyors, have been performed. A comparison has been made with: – very recent and well-defined aerial photographs (airborne imagery) geo referenced and measured on Gis; – cadastral maps, historical and contemporary, geo referenced, whose function was and is to delimit and circumscribe the boundary, highly detailed, of homogeneous vegetation or farming or wood; – any other maps. Results of on-site surveys and cross checks with several maps will follow, adding some preliminary and preparatory dendrographic valuation of the forests encompassed.

4 First Results Surprisingly, in the literature it has not be found, so far, the boundaries and roughly surface estimate of geo-referenced cork oak forest extensions. Reliable new georeferenced information and valuation about sugherete is one original and innovative objective of the research, encompassing data on location and boundaries as well as estimate on extension and consistency. The on-site survey and Gis cross checks on verified mapping resources gave the first preliminary outcome regarding four areas, among others, of tested concentration of significantly homogeneous vegetation. Estimate, even with Gis help, of surface of above cited four areas gives an original, unexpected and surprising results. All four areas sum up at about 778 hectares which account significantly more than half (51%) of total 1.526 hectares censused by Istat in 1997 in the Calabria region. The detail follows (Tables 2 and 3).

Table 2. Four, among others, concentration areas. Area Monte Scrisi San Giorgio M. Fiume Angitola Fiume Amato

Hectares ha 298 ha 060 ha 124 ha 94 + 202 = 296

Summing up ha 298 ha 358 ha 482 ha 778

Table 3. Comparison between hectares of Calabria and hectares of four concentration areas. Region Summing up Hectares Percentage Calabria [ha 01.526] ha 778: 01.526 0,5098 = 51%

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It is of utmost importance to give spatial, geometrical and image evidence of this relevant and unknown outcomes. A first case study is proposed providing spatial, image and geometrical data, thanks to Gis and maps tools (Fig. 1; Fig. 2; Fig. 3), regarding a first cork oak forest in the area of Pizzo town (province of Vibo Valentia, Calabria Region, Italy).

Fig. 1. Location of cork oak forest named “Angitola” (Calabria region; Vibo Valentia province; Pizzo town). Basemap: GeVaUL University Lab (Pau Gis) dir. Prof. Massimo, Mediterranea University. Display scale on Gis: Italy 1: 30.000.000; Calabria 1: 5.000.000.

(a)

(b)

Fig. 2. Cork oak forest named “Angitola” (Vibo Valentia province; Pizzo town). Source: direct survey. Estimated Areas: 125 hectares. Basemap: Aerial Imagery 2014, original scale 1:10.000 (Fig. 2a); Istituto Geografico Militare, 1991, original scale 1: 25.000 (Fig. 2b). Display scale on Gis 1:40.000.

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(a)

(b)

Fig. 3. Cork oak forest named “Angitola” (Vibo Valentia province; Pizzo town). Estimated Areas: 125 hectares. Source 1: direct survey (Fig. 3a). Source 2: Cadastral survey (Fig. 3b). Basemap: Casmez 1954. Original scale 1:10.000. Display scale on Gis 1:40.000.

Thanks to direct on-site survey the forest has been detected and geo-referenced on well-defined aerial photo and compared with historical and current cadastral maps noting a coincidence among direct survey, photos and maps that is evident in the following figures. Sources of spatial tools are: – airborne imagery, highly detailed and updated, adopted as guide for both on the ground tests, provided by regional government; – cadastral maps, historical and contemporary, provided by government Cadastre. Result of survey is additional plotted and geo referenced on two general maps: – the contemporary military topographic map, provided by government; – the historical (1954) regional technical map (CTR), derived from map archives.

5 Results on Dendrometric Analysis Surface Estimate In the cork oak forest named “Angitola” (Vibo Valentia province; Pizzo town), on the basis of the carried-out surveys ([32] Barreca, 2010), the tree population is on average made up of 854 plants per hectare. Of these 69% are cork oak trees (Quercus suber L.), 12% holm oak (Quercus ilex L.), 14% chestnut (Castanea sativa Mill.) and the remaining plants are downy oaks (Quercus pubescens Willd.) (Fig. 4). The distribution of the plants in diameter classes shows that cork oak varies in a range between 10 and 80 cm, while holm oak and chestnut diameters vary from 5 to 30 cm (Fig. 5). The values of average diameter and average height were determined for all the species present and which amount respectively to: 18.3 cm and 10.30 m for chestnut; 11.1 cm and 8.50 m for holm oak; 21.1 cm and 10.90 m for downy oak and 32.8 cm and 12.50 m for cork oak. Considering all the plants, the basimetric area amounts to 55.32 m2 ha−1 and the volume to 466.8 m3 ha−1 (Table 4). The understory is generally

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Fig. 4. Pizzo “Angitola”. Type: cork oak forest. Transect of structure.

Fig. 5. Pizzo “Angitola”. Type: cork oak forest. Distribution of plants in diametric classes.

absent or very scarce and is represented by Erica arborea L. (tree heath), Ruscus aculeatus L. (butcher’s broom) and brambles. The analysis of the vertical structure was carried out in a transect of 1000 m2 (50  20 m). The application of the LATHAM index highlights the presence of a distribution of plants in the vertical space divided into 4 strata (Fig. 6). The upper stratus is made up of 49% of plants and ensures 56% of the basal area of the entire population. The least represented stratus is the fourth, made up of cork and holm oak, with 7% of plants and 9% of basimetric area (Table 5). The WINKELMASS index (UAI) shows in 43% of cases a random distribution followed by a group distribution (27%). In no case was a regular distribution found. The dendrological mix index (SM) highlights the clear prevalence of pure populations (46%) and the presence, within the topsoil, of sporadic plants of other species, mainly holm oak and chestnut. The diametrical dominance index (DBHD) underlines that, alongside a prevailing situation with low diametric dominance (21%), there is also a condition with a certain diametrical dominance (18%). In other cases, intermediate conditions are observed.

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Table 4. Pizzo “Angitola” cork oak. Type: cork oak forest. Dendrometric parameters. Statistical parameters Plants number ha−1 591 Average 239 Dev. St. 422 Min 760 Max 103 Holm oak Media 10 Dev. St. 96 Min 110 Max 115 Chestnut Media 6 Dev. St. 110 Min 119 Max 5 Dawny oak Media 7 Dev. St. 0 Min 10 Max 854 Total Media 193 Dev. St. 717 Min 990 Max

Species Cork oak

G (m2 ha−1) 50,11 15,32 39,27 60,94 1,00 0,33 0,76 1,23 4,06 2,07 2,59 5,52 0,18 0,25 0,00 0,35 55,32 13,83 45,54 65,10

V (m3 ha−1) 432,7 108,5 355,9 509,4 5,3 1,7 4,1 6,5 27,8 14,2 17,7 37,8 1,1 1,5 0,0 2,1 466,8 97,4 397,9 535,7

Fig. 6. Pizzo “Angitola”. Type: cork oak forest. Stratification according to the LATHAM index.

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Table 5. Pizzo “Angitola” (Vibo Valentia). Type: high density cork forest. Dendrometric characters recorded for each of the layers. Layer Species

1 2 3 4

Cork Cork Cork Cork

oak oak oak oak

N % G % H tot (m)

- Chestnut 49 - Chestnut 29 – Holm oak 15 – Holm oak 7

56 21 14 9

DBH (cm) Min Max Min Max 10.2 18.9 3 65 7.5 9.9 9 32 4.1 7 3 34 2.1 3 8 18

6 Conclusion World is facing an incumbent lethal ecological disaster caused by global warming which is the last final step of responsibility production chain originated by the fossil energy over consumption and burning. Building management and construction activities share an astonishing large percentage, close to 50%, of total world consumption of energy from fossil sources. It is mainly because of the excessive inefficiency of buildings, notably the most modern and recent ones. GEomatic VAluation University Laboratory (GeVaUL), dir. prof. Massimo, at Mediterranea University, Patrimony Architecture Urbanism (PAU) Department, promote and share with partners one radical strategy to mitigate and solve the ecological crises and to avoid the incumbent disaster for Mankind and Planet. First, strategy consists in valuating, planning and implementing a grass root large program of ecological retrofitting devoted to a radical reduction of energy consumption in buildings climate management by insulation of existing and new constructions. Second, it consists in adopting nature-based materials without clear down any tree, instead just debarking and regenerate them (notably cork oak trees): the renewal of all material (notably cork) will happen by eating (and sequestering) CO2. The only tree that allow this is the cork oak: it reduce the CO2 that end absorbed and eated for the grow-up of tree and cork bark; it reduces the energy consumption when cork panel insulated buildings. Given this strategic relevance of this unique and special tree, it is of utmost importance to know where the forests are. Surprisingly, notwithstanding 92 years (from 1927 to date 2019) of studies and researches, the geo referenced and inter connected data concerning, as a whole, location, boundary, extension and consistency of each sughereta are not available in the literature neither on the web. This information is of utmost importance both in general as well as for future wished operational reasons such as: – estimate the CO2 sequestration operated by cork oak during the unceasing grow up of trees and notably bark; – estimate the quantity of cork that will be possible to be debarked periodically (8–9 years). To reach this goal during the research concerning a prototype Case Study on the site surveys have been performed to: – – – –

verify the existence and persistence of sugherete; detect the boundary; geo reference and estimate the surface; perform a preliminary and dendrographic analysis.

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The Case Study have been performed collecting on the field data concerning the sughereta in the territory of Pizzo town (province of Vibo Valentia) whose area have been estimate at about 125 hectares. This information is important for future valuation of potential CO2%, sequestration as well as cork bark retractable from the forests. Acknowledgement. Authors contributed equally to the Paper.

References 1. Massimo, D.E.: Green building: characteristics, energy implications and environmental impacts. Case Study in Reggio Calabria. In: Coleman-Sanders, M. (eds.) Green Building and Phase Change Materials: Characteristics, Energy Implications and Environmental Impacts. Series: Energy Science, Engineering and Technology, pp. 71–101. Nova Science Publishers, Inc., New York (2015) 2. Massimo, D.E., Del Giudice, V., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Geographically weighted regression for the post carbon city and real estate market analysis: a case study. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives. Series: Smart Innovation, Systems and Technologies. ITA 2018, vol. 100, pp. 142–149. Springer, Berlin (2019). https://doi.org/10.1007/978-3-319-92099-3_17. ISBN 978-3-319-92098-6. Series ISSN 2190-3018 3. Del Giudice, V., Massimo, D.E., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Post carbon city and real estate market: testing the dataset of Reggio Calabria market using spline smoothing semiparametric method. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives. Series: Smart Innovation, Systems and Technologies. ITA 2018, vol. 100, pp. 206–214. Springer, Berlin (2019). https://doi.org/10.1007/978-3-31992099-3_25. ISBN 978-3-319-92098-6. Series ISSN 2190-3018 4. Spampinato, G., Massimo, D.E., Musarella, C.M., De Paola, P., Malerba, A., Musolino, M.: Carbon sequestration by cork oak forests and raw material to built up post carbon city. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives. Series: Smart Innovation, Systems and Technologies. ITA 2018, vol. 101, pp. 663–671. Springer, Berlin (2019). https://doi.org/10.1007/978-3-319-92102-0_72. ISBN 978-3-319-92101-3. Series ISSN 2190-3018 5. De Paola, P., Del Giudice, V., Massimo, D.E., Forte, F., Musolino, M., Malerba, A.: Isovalore maps for the spatial analysis of real estate market: a case study for a central urban area of Reggio Calabria, Italy. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives. Series: Smart Innovation, Systems and Technologies. ITA 2018, vol. 100, pp. 402–410. Springer, Berlin (2019). https://doi.org/10.1007/978-3-319-92099-3_ 46. ISBN 978-3-319-92098-6. Series ISSN 2190-3018 6. Malerba, A., Massimo, D.E., Musolino, M., Nicoletti, F., De Paola, P.: Post carbon city: building valuation and energy performance simulation programs. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives. Series: Smart Innovation, Systems and Technologies. ITA 2018, vol. 101, pp. 513–521. Springer, Berlin (2019). https://doi.org/ 10.1007/978-3-319-92102-0_54. ISBN 978-3-319-92101-3. Series ISSN 2190- 3018 7. Massimo, D.E., Malerba, A., Musolino, M.: Green district to save the planet. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Series: Green Energy and Technology, pp. 255– 269. Springer, Berlin (2018) 8. Massimo, D.E., Malerba, A., Musolino, M.: Valuating historic centers to save the planet soil. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Series: Green Energy and Technology, pp. 297–311. Springer, Berlin (2018)

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9. Musolino, M., Malerba, A., De Paola, P., Musarella, C.M.: Building efficiency adopting ecological materials and bio architecture techniques. ArcRHistoR S(6), 706–717 (2019) 10. Massimo, D.E., Malerba, A., Musolino, M., Nicoletti, F., De Paola, P.: Valutazione energetica comparativa degli edifici per la Post Carbon City [Energy Comparative Assessment of Buildings, for the Post Carbon City], pp. 63–70. Laborest (2020) 11. Massimo, D.E., Battaglia, L., Fragomeni, C., Guidara, M., Rudi, G., Scala, C.: Sustainability valuation for urban regeneration. The “Geomatic Valuation University Lab” research. In: Advanced Engineering Forum. TTP Publications, Zurich (2014) 12. Massimo, D.E., Fragomeni, C., Malerba, A., Musolino, M.: Valuation supports green university: case action at Mediterranea campus in Reggio Calabria. Book Series Procedia Soc. Behav. Sci. (J.) 223, 17–24 (2016) 13. IPCC, First Assessment Report (FAR), United Nations, New York (1990) 14. IPCC, Second Assessment Report (SAR), United Nations, New York (1995) 15. IPCC, Third Assessment Report (TAR), United Nations, New York (2001) 16. IPCC, Fourth Assessment Report (AR4), United Nations, New York (2007) 17. IPCC, Fifth Assessment Report (AR5), United Nations, New York (2014) 18. IPCC, Special Report on Global Warming of 1.5 °C (SR15), United Nations, New York (2018) 19. Istat, Statistiche forestali. Annuario, Istituto Nazionale di Statistica, Roma (1997) 20. Istat, Statistiche forestali. Annuario, Istituto Nazionale di Statistica, Roma (1952) 21. Istat, Statistiche forestali. Annuario, Istituto Nazionale di Statistica, Roma (1963) 22. Istat, Statistiche forestali. Annuario, Istituto Nazionale di Statistica, Roma (1974) 23. Istat, Statistiche forestali. Annuario, Istituto Nazionale di Statistica, Roma (1986) 24. Flores, V.: Coltivazione della sughera. Uso e commercio del suo prodotto. F.lli Ottavi, Casale Monferrato (1927) 25. De Philippis, A.: La sughera (Quercus suber) e il Ieccio (Q.ilex) nella vegetazione arborea mediterranea. Saggio di fitogeografia ed ecologia comparatc. In: Bulletin de la Silva Mediterranea. December 1935, pp. 9–109 (1936) 26. MAF, ISAFA: Inventario Forestale Nazionale 1985. Sintesi metodologica e risultati, Trento (1988) 27. INFC: Inventario Nazionale delle Foreste e dei Serbatoi Forestali di Carbonio. Ministero delle Politiche Agricole Alimentari e Forestali, Ispettorato Generale - Corpo Forestale dello Stato. Consiglio per la Ricerca e Sperimentazione in Agricoltura, Unità di ricerca per il Monitoraggio e la Pianificazione Forestale (CRA-MPF), Roma (2005) 28. INFC: Inventario Nazionale delle Foreste e dei Serbatoi Forestali di Carbonio. Comando unità per la tutela forestale, ambientale ed agroalimentare dell’Arma dei Carabinieri. Consiglio per la ricerca in agricoltura e l’analisi dell’economia agraria (CREA), Roma (2015) 29. Caridi, D., Iovino, F.: La presenza della quercia da sughero (Quercus Suber L.) in Calabria. L’Italia Forestale e Montana. Anno LVII (Fasc. n. 6), pp. 513–532 (2002) 30. Mercurio, R., Spampinato, G.: Primo contributo alla definizione tipologica delle sugherete della Calabria. In: S.I.S.E.F., Atti, vol. 3, pp. 483–490 (2003) 31. Vessella, F., Schirone, B.: Predicting potential distribution of Quercus suber in Italy based on ecological niche models: conservation insights and reforestation involvements. For. Ecol. Manag. 304, 150–161 (2013) 32. Barreca, L.: Struttura e necromassa in boschi di sughera. Dottorato di Ricerca in Gestione Sostenibile. Dipartimento Gesaf. Università Mediterranea di Reggio Calabria, Italy (2010) 33. Arssa: Cartografia di Uso e Copertura del Suolo in Calabria. Regione Calabria, Catanzaro (2009) 34. Massimo, D.E., Musolino, M., Malerba, A.: Valuation to foster-up landscape preservation. Treasuring new elements through landscape planning. ArcRHistoR S(6), 675–687 (2019)

Ecosystem Services in Land-Use Planning: An Application for Assessing Transformation Scenarios at the Local Scale Caterina Caprioli(&) , Marta Bottero and Giulio Mondini

, Elisa Zanetta,

Politecnico di Torino, Interuniversity Department of Regional and Urban Studies and Planning (DIST), Castello del Valentino: Viale Pier Andrea Mattioli, 39, 10125 Turin, Italy {caterina.caprioli,marta.bottero, giulio.mondini}@polito.it, [email protected]

Abstract. In the last twenty years, the debate over ecosystem services (ES) has intensively increased thanks to the growing awareness of the relevance of ecological and environmental problems. Initiatives like the Millennium Ecosystem Assessment or The Economics of Ecosystems and Biodiversity have brought the ES concept into the international policy agenda, in turn stimulating the research. As a result, many applications have led to a very strong advance in the ecological and biophysical analysis of ES. However, in the context of landuse changes and transformation planning, the implications of ES have been only partially explored. Starting from a real case study, the present paper shows a tentative to bridge the gap between ES evaluation and transformation planning. The free software called Simulsoil is considered in the study to quantify, at the same time, biophysical and economic values of eight ES. Apart from the specific results of the simulation, the application shows the role of these analyses to support the decision-making process and the definition of alternative scenarios. In particular, the results can support the concertation between public administrations and developers in the definition of shared actions or, eventually, the identification of compensation measures. Keywords: Ecosystem services
Land-use planning Evaluation approach
Scenario-planning


Decision-making


1 Introduction: Ecosystem Services and Planning According to the most relevant definitions of Ecosystem Services (ES), there is a relevant degree of interdependence between humans and the rest of nature [1]. In this sense, De Groot et al. [2] and the Millennium Ecosystem Assessment (MEA) [3] define ES as benefits that humans obtain from ecosystem functions, whereas Costanza [4] and The Economics of Ecosystems and Biodiversity (TEEB) [5] as direct and indirect contributions from ecosystems to human well-being. In addition to an “anthropocentric” view of the ES concept, those definitions underline how the whole system matters, both to humans and to the other species living on the Earth [1]. However, in this whole © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1332–1341, 2021. https://doi.org/10.1007/978-3-030-48279-4_124

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system, humans have the fundamental role and responsibility to protect and maintain this ecosystem and related services. To support this vision, in 2011, the EU adopted an ambitious strategy, setting out 6 targets and 20 actions to halt the loss of biodiversity and ecosystem services in the EU by 2020 [6], including increasing knowledge of ecosystems, promoting the development of green infrastructure and reducing biodiversity loss and services. For achieving these objectives, the adoption of rigorous evaluation approaches plays a fundamental role, for ensuring ES consideration in spatial planning policies and actions. In fact, the effects of projects and plans upon ES provision and use are more evident and straightforward [7], and the opportunities provided by ecosystem services can be explored through strategic approaches to enhance the value of the benefits and avoid the negative impact of human actions on ecosystem services [8]. During the decision-making process, the integration of ES evaluation and management tools and a Strategic Environmental Assessment (SEA) can allow the improvement of sustainability in the land use planning process [9]. However, the practical use in planning are still weak [10] and the quantification and mapping of the ES are not systematically oriented to the evaluation of the forecasted land use transformation in the SEA process [11]. The main objective of this paper is to show through a real case study application how the evaluation of ES during a preliminary phase of a transformation process can support the definition of better strategies. Moreover, it can guide the decision-making process more transparently through communication among the different parties to achieve the same aim.

2 Valuing Ecosystem Services 2.1

ES Evaluation Approaches

As Costanza et al. [1] rightly point, the connections between ecosystem processes and functions and human wellbeing are complex and the various pathways are still not well understood. Assessing these connections and evaluating these benefits require to adopt a pluralistic and precautionary approach. However, there is no one right way to do that, but there is however a wrong way, that is, not to do it at all [1]. Due to the extremely complex and interdisciplinary nature of ecosystem services research [12], there is a need to address ecosystem services into planning practice [13], which requires the interrelated consideration of ecological, economic, political and social domains of knowledge [14, 15]. In that context, the evaluation, as a discipline, can provide tools and methodologies able to endorse a ‘value pluralism’ perspective [16] and to support the decision-making process in the definition of urban and territorial transformations. Different values of ecosystem services may be captured and measured to inform urban and transformation planning [16]: from the most common, the ecological and biophysical elements, and the economic and insurance values, to the less considered, social and cultural aspects [5, 17]. With particular reference to economic values, it is important to stress that the loss of ecosystem services in urban areas often involves economic costs in one form or another [5, 18–20]. The economic values of ES could be

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addressed in different ways in terms of use (direct and indirect) and non-use (option and existence) value for the different services under investigation (Table 1). There are several textbooks and reviews [21] of conventional economic valuation approaches. Table 1 summarizes the main characteristics of economic valuation approaches in the context of ES. Table 1. Economic valuation approaches for ecosystem services (elaborated from [16, 22]) Market valuation

Market prices

Cost based

Production function/factor income Revealed preferences

Travel cost method

Hedonic pricing method

Stated preferences

Contingent valuation method

Choice modelling

Group valuation

Mainly applicable to the ‘goods’ (e.g. fish) but also some cultural (e.g. recreation) and regulating services (e.g. pollination) Avoided expenditure or replacement costs are used to address values of regulating services such as tree (e.g.) or loss of ecosystem services which can increase costs for compensation (e.g. water purification plants) or for preventive expenditures (e.g. flood barriers) Used for considering for example the improvement of soil fertility or water quality that improve crop yield or commercial fisheries catch and the incomes of farmers or fishermen. Cultural/recreational values of a site are reflected in the amount of time and money that people spend while travelling to the site A wide array of ecosystem service benefits has been valued using hedonic pricing, considering the increase in the price of surrounding real estate (e.g. recreational and amenity benefits) It is often the only way to estimate non-use values, asking respondents to express their willingness to pay or accept an increase or decrease in the level of quality (e.g. water quality in a lake for swimming, boating or fishing) Different methods, such as choice experiments, for analyzing e.g. preferred option on biodiversity conservation It allows addressing shortcomings of revealed preference methods such as preference construction and lack of knowledge of respondents about what they are being asked to allocate values to

On the contrary, socio-cultural values are less evaluated when referred to ES. In most cases, emotional, affective, and symbolic values are not simple to be evaluated, because they cannot be adequately captured by commodity metaphors or monetary metrics [23, 24]. The use of qualitative assessments, constructed scales or narrations, deliberative process and the use of locally defined metrics and guiding principles are some of the ways to capture and measure these values [16]. However, the consideration

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of these values into the decision-making processes still represent an underexplored and promising field of research for assessing a more comprehensive analysis of ES. 2.2

Mapping Ecosystem Services Considered

Quantitative data are fundamental to conduct ES mapping and to obtain spatial outputs related to the biophysical values in the specific context under analysis. The improvement of GIS technologies and the increasing availability of data (thanks to for example remote sensing data at multiple scales, decentralized data collection involving citizens [1] or national and local mapping of land use), several tools were developed, such as InVEST [25], LIFE+ Making Good Natura [26] and Simulsoil [27], in order to connect biophysical and economic evaluation in a combined manner. The present study considers the use of Simulsoil that is a computer-based tool that quantifies the ES variation generated by land-use changes in a selected territory both in biophysical and economic terms [28]. The easy to use of this software allows different users, spanning from planners, researchers or public administrators, to verify the impacts of predicted land-use changes and to think about alternative scenarios of transformation or compensations measures. In particular, among the different typologies of ecosystem services, eight ES can be evaluated through Simulsoil: Habitat Quality, Carbon Sequestration, Water Yield, Sediment Retention, Nutrient Retention, Crop Production, Crop Pollination and Timber Production. Table 2 describes one by one of the eight ES considered in the software. In Simulsoil, the land use determination is based, at national level, on the comparison between the Corine Land Cover (CLC) and the Carta Nazionale di Copertura del Suolo (level of resolution equals to 20 m) and, at local level, on the Piedmont Land Cover (LCP) (level of resolution equals to 5 m) (for more details see [29]). The results of the variation in ES among alternatives are given graphically by spatial maps for each ES and schematically by a final comparative table that quantitatively reports the biophysical and economic values of all scenarios. Since Simulsoil is a free-downloadable plugin from the LIFE SAM4CP website [27] that works on QGIS 2.18.15, it allows different actors to conduct preliminary analyses on the effects of plans and projects, helping to enrich a more comprehensive view of the aspects relevant for land use planning and to promote a more sustainable and holistic decision-making process.

3 Materials and Methods The case study under investigation is an about 14 ha park in the north of Italy which hosts recreational services. The area was chosen for the evaluation of ES for two main reasons. Firstly, in this site, a real transformation should be expected in the next years, including the expansion of the services, the amelioration of tourist facilities and different infrastructural works for the management of the water system. For that reason, this analysis allows an investigation based on real transformation scenarios and, at the same time, the results obtained could support the dialogue among the different parties during the decision-making process. Secondly, the uncommon land-use of this area enables the creation of new debate and discussion about the role of ES in different contexts.

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C. Caprioli et al. Table 2. Description of the eight ecosystem services considered in Simulsoil

ES Carbon Sequestration Crop Production

Timber Production Habitat Quality

Nutrient Retention Sediment Retention Crop Pollination

Water Yield

Description Carbon sequestration is the ability of the ground to storage a certain quantity of CO2, avoiding its emission into the atmosphere. Different type of ground, different amount of CO2 sequestered Agricultural production is an essential provisioning ES for human survival. It can increase the infiltration of nutrients (such as nitrogen and phosphorus) or provide essential service as a main source of food Timber production is an important provisioning ES. It is a complex service, since the management of wood production and collection influence the maintenance of many other ES (such as habitat quality) Habitat quality is a proxy of biodiversity. The changing in land-use determines serious damage on biodiversity. This ES estimates the extent of habitat and vegetation types across a landscape Nutrient retention is a provisional ES provided by the aquatic and terrestrial ecosystems that contribute to filter and decompose organic wastewater from internal waters and coastal and marine ecosystems. Sediment retention is a regulation ES that considers the mitigation of soil in the removal of the most external surface (that richest of organic substance) caused by the action of the water surface runoff and rainfall Crop pollination is a regulation and provisioning ES fundamental for the productivity of many crops which depend on pollination processes. Anthropic phenomena (such as urban sprawl, infrastructure and use of insecticides) can strongly affect the health of pollinator species Water yield is a regulation ES which describes the capacity of soil to filter water based on land use. The permeability and the soil characteristics (depth, texture and absorption capacity) contribute to retain water

From these considerations, it is quite clear the innovative contribution of this research, in order to, not only, test pros and cons of Simulsoil in this specific and particular case study, but also to reflect on the role of ES evaluation in supporting the definition of scenarios and helping transformation planning. In fact, ES biophysical assessment is usually used at a landscape level and for an analytic purpose [28]. Moreover, the dialogue of the different parties called to the decision-making process is facilitated thanks to the creation of maps that show how much the transformations affect the ES variation. In this study, two different land-use scenarios are analyzed (hereafter namely T0 and T1). The T0 alternative represents the state of the art of the area, whereas T1 provides some land-use changes. The two scenarios were created starting from a georeferenced.dwg file, then imported in QGIS 2.18.28. The polygons created in the CAD environment had a specific layer based on the local classification of land uses of Simulsoil (see Sect. 2.2 and [29]).

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4 Results and Discussion The results of the two scenarios obtained through the LULC change analysis developed in Simulsoil are reported in Table 3 and showed in Fig. 1. These results are very preliminary with only the aim to show the role of this simulation software in supporting the decision-making process during the definition of alternative scenarios in land-use changes.

Table 3. ES quantification for the two transformation scenarios (T0 and T1) in biophysical and economic terms Code CS CPO HQ NR SDR WY CPR TP Total

ES name Carbon sequestration Crop Pollination Habitat quality Nutrient Retention Sediment Retention Water supply Crop Production Timber production

u.m. ton 0–1 0–1 ton ton 0-1 € €

T0 (bio) 876.01 0 0.25 0 55.52 210.93 0 0

T1 (bio) 985.56 0 0.27 0 54.12 233.24 0 0

u.m. € € € € € € € €

T0 (econ) T1 (econ) 87,601.07 € 98555.92 € 0 0 52,764.74 57284.14 0 0 8,328.32 8117.60 2.66 2.94 0 0 0 0 148,696.8 163,960.6

As it is possible to see in Table 3, four ecosystem services have a zero value and, for that reason, the specific maps of these four ES are not reported in Fig. 1. The reason for these values depends on, for sure, the specific land-use in the area, but also the strong simplification of the floral resources made. The different species present in the area are not considered in this first simulation, so the results could vary with these specifications. In particular, ecosystem services like CS, CPO, HQ, NR, SDR and WY depend also on the type of flora resources (for a detailed description on these ES see [28, 29]). Anyway, some interesting considerations on the results can be made. In general, the value obtained from the simulation remains essentially the same in the different scenarios due to the small variation of land-use change in the area (northeast). The absence of productive use of the site shows no significant variation for TP, as well as the absence of agricultural uses for CPR. The increase in the value of CS, HQ and WY in the T1 scenario can be partially explained by the lower fragmentation of (nonagricultural) green areas in T1 compared with T0. Based on a consolidated rule in ecology, the concentration of the green space provides better environmental performance if compared with a fragmented distribution, as well as more interaction between sources of habitat and lower sources of threats [28]. This aspect goes hand in hand with a positive transformation (in biophysical terms) of an artificial productive basin and the re-configuration with new recreational services. So, the rearranged of soil and water certainly helps in the increase of these ES values, even if more urban fabrics and roads are developed in the T1 scenario. On the contrary, the slight decrease of SDR is

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Fig. 1. ES quantification for the two transformation scenarios (T0 and T1)

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probably due to the decrease of the existing non-agricultural green areas in the northeast part of the area under investigation.

5 Conclusion and Future Perspectives The present paper underlines the fundamental role of ES evaluation in the context of spatial and land-use planning, giving some insights both in a theoretical and application perspective of ES research in that context. From a theoretical point of view, it is evident how much the integration of ES evaluation is fundamental for achieving a pluralistic perspective of land-use transformations and for improving sustainability in land use planning process. The consideration upon ES provision and use are more evident and straightforward since strategic solutions can be explored in a preliminary phase of the decision process to increase the benefits of ES and avoid impacts of human actions. From an applicative perspective, the work has shown that it does not exist one single right way to evaluate ES, but the interconnections between ecosystem processes and functions and human wellbeing need to be analyzed. In this context, the work explored the free tool called Simulsoil, revealing the ease-to-use that should help both public and private entities, such as administrators, urban designers and planners in increasing their awareness on ES during the definition of transformation scenarios. Then, with respect to the simulation, apart from the specific results, the application shows how these analyses can support the concertation between public administrations and developers in the definition of shared actions or, eventually, the identification of compensation measures. The transformation should address better solution in biophysical terms, but, when it is not possible, the evaluation can give the direction toward compensation actions in other parts of the territory. Future perspective of this research will certainly consider the floral resources present in the study area with a particular focus on the quantity and type of new floral species in the portion under transformation. As mentioned in the results section, these species are relevant in the quantification of biophysical values. Moreover, other landuse hypotheses will be evaluated to perform the best results. In particular, some simulations will analyze the effects of a future expansion of the area outside its borders. Another aspect that should be investigated in future researches is related to the improvement of the evaluation with respect to socio-cultural values, that are particularly relevant for the specific recreational use of the area. In that context, the adoption of multicriteria analysis (MCDA) as an alternative approach for ecosystem service valuation is an interesting perspective of research, also in line with the recent trends of the literature [30]. MCDA in general perform better than monetary valuation techniques in several aspects that are essential in ecosystem service valuation, such as the consideration of multiple dimensions of well-being, including ecological and economic as well as cultural and moral aspects of a policy or management problem, and the creation of an open and transparent public debate on the pros and cons of alternative courses of action, including the distribution of gains and losses across beneficiaries of ecosystem services [30].

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Acknowledgement. Part of this work has been developed in the research project titled VALIUM (Valuation for Integrated Urban Management) that has been supported by the Department of Regional and Urban Studies and Planning - DIST of the Politecnico di Torino (I call 2017)

References 1. Costanza, R., de Groot, R., Braat, L., Kubiszewski, I., Fioramonti, L., Sutton, P., Farber, S., Grasso, M.: Twenty years of ecosystem services: how far have we come and how far do we still need to go? Ecosyst. Serv. 28, 1–16 (2017) 2. De Groot, R.S., Wilson, M.A., Boumans, R.M.J.: A typology for the classification, description and valuation of ecosystem functions, goods and services. Ecol. Econ. 41(3), 393–408 (2002) 3. Millennium Ecosystem Assessment: Living Beyond Our Means: Natural Assets and Human Well-being Statement from the Board (2005) 4. Costanza, R., Arge, R., deGroot, R., Farberk, S., Grasso, M., Hannon, B., Limburg, K., Naeem, S., Neill, R.V.O., Paruelo, J., Raskin, R.G., Sutton, P.: The value of the world’s ecosystem services and natural capital. Nature 38(6630), 253–260 (1997) 5. TEEB (The Economics of Ecosystems & Biodiversity): Mainstreaming the economics of nature : a synsthesis of the approach, conclusions and recommendations of TEEB (2010) 6. Biodiversity Strategy. https://ec.europa.eu/environment/nature/biodiversity/strategy/index_ en.htm. Accessed 18 Jan 2020 7. Geneletti, D.: Reasons and options for integrating ecosystem services in strategic environmental assessment of spatial planning. Int. J. Biodivers. Sci. Ecosyst. Serv. Manage. 7(3), 143–149 (2011) 8. Partidario, M.R., Gomes, R.C.: Ecosystem services inclusive strategic environmental assessment. Environ. Impact Assess. Rev. 40, 36–46 (2013) 9. Bottero, M., Caprioli, C., Cotella, G., Santangelo, M.: Sustainable cities: a reflection on potentialities and limits based on existing eco-districts in Europe. Sustainability (Switzerland) 11(20), 5794 (2019) 10. Meerow, S., Newell, J.P.: Spatial planning for multifunctional green infrastructure: Growing resilience in Detroit. Landscape and Urban Planning. 159, 62–75 (2017) 11. Caldarice, O., Salata, S.: Ecosystem service assessment in land use planning decreasing territorial vulnerability. A critical exploration of planning problems starting from the land take regulation in Piedmont Region, Italy. Valori e Valutazioni. 22, 67–83 (2019) 12. Daily, G.C., Polasky, S., Goldstein, J., Kareiva, P.M., Mooney, H.A., Pejchar, L., Ricketts, T.H., Salzman, J., Shallenberger, R.: Ecosystem services in decision making: time to deliver. Front. Ecol. Environ. 7(1), 21–28 (2009) 13. Luederitz, C., Brink, E., Gralla, F., Hermelingmeier, V., Meyer, M., Niven, L., Panzer, L., Partelow, S., Rau, A.L., Sasaki, R., Abson, D.J., Lang, D.J., Wamsler, C., von Wehrden, H.: A review of urban ecosystem services: six key challenges for future research. Ecosyst. Serv. 14, 98–112 (2015) 14. Carpenter, S.R., Mooney, H.A., Agard, J., Capistrano, D., Defries, R.S., Diaz, S., Dietz, T., Duraiappah, A.K., Oteng-Yeboah, A., Pereira, H.M., Perrings, C., Reid, W.V., Sarukhan, J., Scholes, R.J., Whyte, A.: Science for managing ecosystem services: beyond the Millennium Ecosystem Assessment. Proc. Natl. Acad. Sci. U.S.A. 106(5), 1305–1312 (2009) 15. Hubacek, K., Kronenberg, J.: Synthesizing different perspectives on the value of urban ecosystem services. Landscape Urban Plann. 1(109), 1–6 (2013)

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16. Gómez-Baggethun, E., Barton, D.N.: Classifying and valuing ecosystem services for urban planning. Ecol. Econ. 86, 235–245 (2013) 17. Bottero, M., Dell’Anna, F., Nappo, M.: Evaluating tangible and intangible aspects of cultural heritage: an application of the promethee method for the reuse project of the Ceva–Ormea railway. In: Green Energy and Technology, pp. 285–295 (2018) 18. European Environment Agency: Green infrastructure and territorial cohesion (2011) 19. Bottero, M., Bravi, M., Giaimo, C., Barbieri, C.A.: Ecosystem services: From bio-physical to economic values. In: Green Energy and Technology. pp. 37–50 (2020) 20. Assumma, V., Bottero, M., Monaco, R.: Landscape economic attractiveness: an integrated methodology for exploring the rural landscapes in piedmont (Italy). Land 8(7), 105 (2019) 21. Pascual, U., Muradian, R., Brander, L., Gómez-Baggethun, E., Martín-López, B., Verma, M., Armsworth, P., Christie, M., Cornelissen, H., Eppink, F., Farley, J., Loomis, J., Pearson, L., Perrings, C., Polasky, S., McNeely, J.A., Norgaard, R., Siddiqui, R., David Simpson, R., Kerry Turner, R., Simpson, R.D.: The economics of valuing ecosystem services and biodiversity. In: The Economics of Ecosystems and Biodiversity: Ecological and Economic Foundations (2012) 22. Larondelle, N., Haase, D.: Urban ecosystem services assessment along a rural-urban gradient: a cross-analysis of European cities. Ecol. Ind. 29, 179–190 (2013) 23. Martinez-Alier, J., Munda, G., O’Neill, J.: Weak comparability of values as a foundation for ecological economics. Ecol. Econ. 26(3), 277–286 (1998) 24. Norton, B.G., Hannon, B.: Environmental values: a place-based theory. Environ. Ethics 19 (3), 227–245 (1997) 25. Sharp, R., Chaplin-Kramer, R., Wood, S., Guerry, A., Tallis, H., Ricketts, T., Nelson, E., Ennaanay, D., Wolny, S., Olwero, N., Vigerstol, K., Pennington, Derric Mendoza, G., Aukema, J., Foster, J., Forrest, J., Cameron, D.R., Arkema, K., Lonsdorf, E., Douglass, J.: InVEST User’s Guide (2018) 26. LIFE + Making Good Natura. http://www.lifemgn-serviziecosistemici.eu/IT/risultati/Pages/ se0.aspx. Accessed 11 Dec 2019 27. Simulsoil web page. http://www.sam4cp.eu/en/simulsoil/. Accessed 12 Sept 2019 28. Giaimo, C., Salata, S.: Ecosystem services assessment methods for integrated processes of urban planning. The Experience of LIFE SAM4CP towards sustainable and smart communities. In: IOP Conference Series: Earth and Environmental Science, p. 012116 (2019) 29. Simulsoil User Guide. http://www.sam4cp.eu/simulsoil/. Accessed 11 Dec 2019 30. Saarikoski, H., Mustajoki, J., Barton, D.N., Geneletti, D., Langemeyer, J., GomezBaggethun, E., Marttunen, M., Antunes, P., Keune, H., Santos, R.: Multi-criteria decision analysis and cost-benefit analysis: comparing alternative frameworks for integrated valuation of ecosystem services. Ecosyst. Serv. 22, 238–249 (2016)

Project and Evaluation of Nature-Based Solutions for the Regeneration of Public Space Elena Mussinelli(&)

, Andrea Tartaglia , Giovanni Castaldo and Davide Cerati

,

Politecnico di Milano, via Bonardi 9, 20133 Milan, Italy {elena.mussinelli,andrea.tartaglia,giovanni.castaldo, davide.cerati}@polimi.it

Abstract. The paper outlines the importance of project evaluations not only to measure the impacts of realizations but also to support decision-making and design processes forecasting the obtainable benefits. The potential of ex ante evaluations is particularly evident especially in the perspective of selecting effective and feasible solutions for dealing with environmental challenges. In these terms, nature-based solutions and green infrastructures are widely becoming central in architectural and urban projects, with particular reference to the role played by ecosystem services provided by these solutions in increasing the urban resilience and facing the negative trends due to climate change. Through the analysis of 72 case studies and the development of three pilot projects applied to open public spaces in the south-east context of the city of Milan (Italy), within the framework of a PRIN Project, the research reported in this paper identifies methods, tools and indicators in order to conduct ex ante evaluations. Keywords: Nature-based solution evaluation


Environmental indicator
Ex ante

1 Introduction The application of Nature-Based Solutions (NBS) and Green Infrastructures (GI) with the aim of increasing urban resilience represents a highly topical issue, so much so that it has been recognized as a key-element by institutional bodies through numerous policies and recommendations, as well as by the international scientific community [1, 2], in particular, with reference to the development of mitigation and adaptation strategies to climate change. Furthermore, the resilient approach to urban regeneration and development is encouraged by the European Union and, not least, by many cities and territories at the local level through the implementation of a wide range of actions and interventions [3]. In the face of this general interest and the growing awareness of local communities, the analysis of the scientific literature and of many case studies – activities carried out within the framework of the research conducted by the local unit of Politecnico di Milano collaborating in the Research Project of National Interest (PRIN) 2015 “Adaptive design e innovazione tecnologica per la rigenerazione resiliente dei distretti © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1342–1351, 2021. https://doi.org/10.1007/978-3-030-48279-4_125

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urbani in regime di climate change”1 – shows that the environmental benefits generated by the application of NBS and GI – referable both to the increasing of the resilience and ecosystem quality of the urban space, and to the improvement of the conditions of individual and collective health and well-being [4] – are not always adequately measured or correctly quantified, nor monitored along the life cycle of the projects. In fact, the formulation of estimations based on “standard” parameters seems to prevail, in the absence of more precise evaluations with reference to the intrinsic complexity of an effective and efficient application of NBS. In general, it is fully recognized by the scientific community [5] that the formation of bio-basins and wetlands, the increase of greenery and permeable areas, the tree planting as well as the implementation of green roofs and green walls can support the strategies of adaptation and mitigation with respect to the major criticalities of the urban environment, such as urban heat island, extreme weather events, air pollution, loss of biodiversity and alteration of ecosystems [6]. Parametric systems allow evaluating the average values of those benefits. At the same time, it is necessary to consider that the real behavior of the vegetation depends on a wide range of site-specific factors, which can strongly influence the extent of the benefits, determining also negative effects [7, 8]. In the case of a tree-lined avenue, for instance, the foliage can contribute to increase the perceived thermal comfort, but it can also retain the pollutants in the lower aerial layers, determining a greater concentration, precisely where the use of the pathways is more intense. Starting from these considerations, the definition of methods, tools, databases, indicators (of status, impact and response) – and the related evaluation systems that can support the decision-making process of the project in the ex ante, in itinere and ex post phases – can allow to measure in a site-specific way the environmental benefits deriving from the application of the NBS is fundamental. With respect to this framework, the city of Milan represents an interesting case for the elaboration of simulations, evaluations and experimental verifications, also with reference to the comparison between the estimated benefits by the implementation of the policies promoted by the local administration and the evidences given by the research [9]. The Municipality of Milan, through its town plan (Piano di Governo del Territorio, PGT) and a series of projects at different scales, is strongly promoting the issues of sustainability and urban resilience. A municipal Resilient Cities Unit has been established, led by a Chief Resilience Officer who coordinates the implementation of The Rockefeller Foundation’s 100 Resilient Cities international project2. In 2017–2018 the international competition “Reinventing Cities” for the selection of resilient and zerocarbon urban projects was launched involving five sites of the city. In 2019–2020 1

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National scientific responsible: Mario Losasso. Coordinator of the Local Unit of the Politecnico di Milano: Elena Mussinelli; research group: Andrea Tartaglia, Raffaella Riva, Daniele Fanzini, Roberto Bolici, Matteo Gambaro, Davide Cerati, Giovanni Castaldo. 100 Resilient Cities was a program started in 2013 and closed in 2019 to help cities in developing resilience providing resources necessary to create a Chief Resilience Officer position and support a Resilience Strategy. Source: https://www.rockefellerfoundation.org/our-work/initiatives/100resilient-cities/, https://milanoclever.net/, last accessed 2020/03/05.

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Milan is also taking part in the second edition of the competition, involving other seven areas of the city. Furthermore, the research “ForestaMi”3 foresees the planting of three million of trees by 2030, with an increase equal to the 30% of the metropolitan arboreal heritage (from 10 up to 13 million). Also the “Clever Cities” Horizon project4 is specifically aimed at promoting urban regeneration projects based on experimental and innovative solutions, such as the adoption of NBS. These actions are defined through co-creation paths (Clever Action Labs-CAL) participated by the local communities and stakeholders, with the commitment, monitoring the impacts and the effectiveness. The three activated CALs concern: 1) the testing of innovative green roofs and green walls; 2) interventions in the shared garden of the Giambellino district; 3) the engagement of citizens in the maintenance of green areas along the railway and Viale Tibaldi. It must be noticed that only limited indications on the methods and the indicators used for the evaluation of the benefits of the Clever Cities Project are available at the moment. With reference to the “ForestaMI” Project, a recent municipal document5 specifies the expected results in terms of: CO2 assimilation (5 million tons/year, equal to 4/5 of the total CO2 produced by the Municipality of Milan per year); reduction of fine dust (3,000 tons PM10 assimilated in 10 years); reduction of the heat island effect (UHI) (−2 °C in urban areas); increase in the tree canopy cover of the Metropolitan Area (+8%); increase in soil permeability and decrease in hydrogeological risk; increase in biodiversity and green and blue infrastructures. The benefits deriving from the forestation are forecasted with reference to the metropolitan scale. In particular they are referred to: reduction of the “heat island” effect; removal of air pollutants; reduction of noise pollution; CO2 assimilation and storage and climate change mitigation; reduction of energy consumption through shading and the creation of a microclimate (evapotranspiration); reduction of runoff and flooding risks; increase in the biodiversity and permeable surfaces of the city; creation

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Research developed by the Politecnico di Milano under the scientific responsibility of the architect Stefano Boeri, for the Comune di Milano. The objective is improving the quality of the air and green spaces through an urban forestry intervention. Source: http://forestami.org/, accessed 2020/03/05. Clever Cities Horizon project, developed in a network of cities that includes London and Hamburg, involves in Milan Comune di Milano, AMAT, Ambiente Italia, Eliante, Fondazione Politecnico, Politecnico di Milano, RFI, Italferr, WWF. Source: https://milanoclever.net/, last accessed 2020/03/05. Pelizzaro, P., Putignano, F.: Resilienza, Forestazione Urbana e NBS a Milano, http://www. cittametropolitana.milano.it/export/sites/default/ambiente/SVILUPPO-SOSTENIBILE/FESTIVAL -2019/Presentazioni/N4C/07_Pelizzaro_NBS_VEG-GAP_Milano_230519.pdf, last accessed 2020/ 01/30.

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of new jobs; improvement of public health6. Also, in this case, it is not possible to clearly identify methods and indicators underlying the estimations.

2 Methodology Within this context, the objective of our research mainly concerns the identification and the verification of the most suitable tools to evaluate the effectiveness of the interventions based on the application of NBS. In particular, the research focuses on the issues of mitigation and adaptation through the implementation of green infrastructures (GI) and the application of naturebased solutions (NBS), with particular reference to the regeneration of open public spaces. More precisely, the activity consists in three main parts: 1. analysis of the scientific literature and case studies; 2. definition of technical solutions, related methods and sets of indicators for the evaluation of direct and indirect benefits; 3. simulation of design scenarios of regeneration applied to public space systems identified within the south-east urban district of the city of Milan. Indicators can be divided into four macro-classes of impact (ecological environmental, health and well-being, socio-cultural and economic), but the focus in the research has been mainly on the use of environmental indicators. The research entailed the analysis of a selection of significant best practices for the use of nature-based solutions and green and blue infrastructure as well as for the evaluation of their impacts. In fact, the cases selected explicitly expressed the environmental goals, the expected benefits (see Fig. 1) and the methodologies and indicators for verification and monitoring. Out of 166 cases identified (see Fig. 2), 72 had this requirement and they were related to open public spaces. The analyzed cases refer to a wide range of possible technical solutions aimed at increasing the resilience and the environmental behavior. They can be distinguished in four categories: NBS-Tree Planting, NBS-Sustainable Urban Drainage Systems, Other NBS and Semi Natural Environments (see Fig. 3).

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The quantification of these benefits is based on the assumption that an adult tree is able to absorb 0,4 tons of CO2/year, to produce oxygen to cover the annual needs of 10 people, to breathe up to 450 L of water per day and to generate an economic benefit of 4.7 € for each euro invested in planting and maintenance; and also, that woods and forests contribute to decreasing the temperature from 2 °C to 5 °C. Source: Comune di Milano: Verso un parco metropolitano. Una strategia verde per l’area metropolitana milanese, http://download.comune.milano.it/28_05_2018/Verso%20un% 20parco%20metropolitano%20(1527505863631).pdf, last accessed 2020/01/30.

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Economic Health and well-being Sociocultural Regulation Production Support 0

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Fig. 1. Expected benefits and ecosystem services in the case studies (Elaboration by arch. PhD Davide Cerati).

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Fig. 2. Former land use in the case studies (Elaboration by arch. PhD Davide Cerati).

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Water tanks Drainage stone gabions High albedo pavings Vegetable gardens Vegetated riprap Vegetated geotextiles Green wall Rain gardens Bio swales/Biobasin Native plant pallets Tree planting 0

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Fig. 3. NBS adopted in the case studies (Elaboration by arch. PhD Davide Cerati).

3 Design Scenarios and Results of the Evaluations The South-East area of Milan – an area that is characterized by many urban transformations and ongoing redevelopment processes [10] – has been selected as design scenario and test site. The South-East mega-district of Milan is structured according to twelve urban districts (NIL), homogenous areas for size and number of inhabitants recognized by the town plan. The categorization of the NIL offers databases referred to social, economic and environmental characteristics of each district, allowing in this way specific analysis and elaborations. In this context, the research developed three pilot projects, that are part of a broader proposal (see Fig. 4) developed in a bottom-up process with the cooperation between some researchers of the Politecnico di Milano and Urban Curator TAT7, association focused on the promotion of cultural activities related to urban regeneration [11]. In the development of these pilot projects, some specific indicators have been used, for example those developed on tree planting issues. The models for evaluating the

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It is an association chaired by Fabrizio Schiaffonati and born on a common interest of university professors, architects, professionals, urban planners and scholars of economic and social problems to promote studies, projects, publications and actions for the qualification of the public space. The Association, through a series of workshops, also of a planning nature organized with the Municipalities 4 and 5 of Milan, has built up a framework of actions necessary to solve some of the most evident critical issues in the south-east context of Milan.

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implementation of tree presence consider the 20 main types of tree species present in the Milan area, differentiating for each essence the values relating to the size and age of the plant. These parameters imply significant differences in terms of impacts. The state of the art of the georeferencing of tree species is derived from a database provided by the Office “Area Verde, Agricoltura e Arredo Urbano” of Comune di Milano. Data were therefore processed through a GIS software for implementing the information necessary for the application of the UFORE (Urban FORest Effects) model. Thanks to the application of this model, it was possible to quantify the ecological-environmental benefits provided by the existing tree heritage. The benefits were further compared with the ones parametrically expressed by the database Qualiviva8, so to verify the coherence. At the same way, in a predictive perspective, the impacts deriving by the design proposal have been assessed, with reference to the forecasted tree planting actions, quantifying the benefits provided by the transformations [12].

Fig. 4. Pilot projects in the South-East sector of Milan.

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The research project Qualiviva, financed by the Ministero delle Politiche Agricole Alimentari e Forestali was developed in 2015 by Associazione Vivaisti Pistoiesi with Associazione Italiana di Architettura del Paesaggio, CNR-IPSP, Università di Firenze, Fondazione Minoprio, Scuola Agraria del Parco di Monza, Piante e Fiori d'Italia and Consorzio Florovivaisti Lombardi. The outcomes of the research consisted, in addition to the evaluation of environmental impact of urban forests, in the elaboration of technical sheets, guidelines, methodologies and technical solutions. Source: https://www.politicheagricole.it/flex/cm/pages/ServeBLOB.php/L/IT/IDPagina/9785, acce ssed 2020/03/05.

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The first pilot project concerns the redevelopment of the former railway yard of Rogoredo (ATU Toffetti-Rogoredo). In 2017 an agreement between the owner of the seven former railway yards of Milan and the Municipality was signed in order to launch a vast program of transformation. The agreement defines the specific urban and environmental indices to be applied in the projects of redevelopment. The masterplan of the area developed by the research is based on the application of NBS with specific regard to the quantification of the environmental performances obtainable. The planting of deciduous trees has been considered as a proper solution for shading and for the winter thermal gain. 22 species have been identified as largely present in Milan. The use of the I-Tree.eco software9 allowed simulations referred to the localization of the trees in accordance with the morphological characteristics of the masterplan, the optimal solar exposition, as well as the age of trees and the trunk diameter. More in detail, the ability of plants to intercept rainwater, the possibility of removing the main air pollutants through the canopy mass and leafs shape, the absorption capacity through the canopy interception, and the increase of benefits in relation to the growth of the plants were simulated and evaluated10. The simulations were conducted at the time 0 and 5 and 20 years after the intervention to understand the trend of the benefits over time. With respect to this period, some considerations have been made regarding the quantification of the benefits based on the methodology indicated by the Center for Neighborhood Technology of Chicago, where the benefits are distinguished in direct (environmental), indirect and economic [13]. The second experimentation is focused on the redesign of the main urban axis of the south-east sector of Milan, that is Corso Lodi-Via Cassinis. A 3-kilometer-long organic system of public spaces that linearly connects the center of the city to the Rogoredo station. The redesign of the axis offers the opportunity to completely rethink the vehicular, cycle and pedestrian circulation, in line with the mobility plans of Milan aimed at encouraging sustainable means of transportation. In accordance with some analyses regarding the possible reconnection of the green areas, this axis results as strategic in the perspective of a cycle-pedestrian and soft mobility. Also in this case, NBS have been identified. For each type of natural solution, efficacy assessments were made with respect to the positioning of the green components and the quantities11. The third study concerned the environmental regeneration of the residential district of San Luigi, located alongside the axis of Corso Lodi. An urban area without any greenery except for small interstitial portions. Some thermographic analyzes carried out during the summer period show the high thermal incidence of the parked cars that

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https://www.itreetools.org/tools/i-tree-eco. The estimated benefits derived from the application of the NBS in the transformation of ATU Toffetti-Rogoredo will progressively increase and after 20 years from the planting will approximately achieve the values: 14,17 kg of NO2 removed per year; 183,33 kg of O3 removed per year; 9,27 kg of SO2 removed per year; 26,5 kg of PM10 removed per year; 5.409 kg of CO2 sequestered per year; 1.100.952.210 L of runoff of water reduced per year. The total estimated sequestration in the first 20 years derived from the tree planting is 464.723 kg of CO2. The values of sequestration are lower at the beginning of the transformation and then they will progressively increase achieving values relatively stable after 20 years. The total estimated sequestration in 20 years of carbon derived from biofiltration is 10.418 kg.

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makes worsen the environmental conditions of the streets, already heavily irradiated during the afternoon hours, with consequent discomfort for the pedestrians. In this case, green roofs and green walls were identified as feasible and effective solutions for the improvement of the environmental quality of the public space. The experimental context of this project consisting in a specific configuration of the built system can be considered as an urban canyon. Several urban canyon conditions were mapped in the neighborhood and the wind directions analyzed. In this case, the effectiveness of the solutions in terms of mitigation and adaptation was not measured, but the different effects of the alternatives were assessed. In this way, the most appropriate solutions were identified and systematized within a meta-design model. The different simulations made in the three cases have highlighted how in the specific interventions the environmental impacts of the NBS can vary significantly and be less effective than the parametric values widely used to quantify the possible effects of large-scale policies and actions such as those of urban forestation. NBS are strongly site specific also with respect to the effects. Moreover, large-scale policies frequently tend to focus on one main objective, while NBS are characterized by being multifunctional. Therefore, widespread actions, if not properly controlled at the project scale, can limit the wider effectiveness of these solutions, leading to a less effective use of resources, including those of economic nature.

4 Context and Limits of the Research The PRIN Research focuses on innovative processes and projects of adaptive regeneration of urban and periurban contexts characterized by critical environmental trends due to climate change. Through an experimental approach based on the evaluation of scenarios, the research investigates the feasibility and efficacy of strategic guidelines and of technological and environmental design solutions aimed at reducing the exposure to climate risks. The objective to trigger and regenerate ecosystem services through the application of NBS is increasingly becoming crucial, both in the territorial and urban planning processes and in the definition of interventions at the architectural scale. A scenario that will gradually change the image of cities [14]. The environmental design can be an important tool for the research of balanced relationships between the introduction of natural components and the quality of public spaces. In fact, the green infrastructure of some parts of the city is strategic for the improvement of the fruition of public spaces and the general well-being against the effects of climate change. Furthermore, the use of these multi-functional solutions can guarantee a wide range of benefits. But in-depth analyzes confirmed the great variability in terms of efficacy and efficiency of the NBS depending on the methods of application, the specific characteristics of the contexts and the goals of the interventions. The need to develop more precise tools and easier to be used for ex ante evaluations of alternatives and to implement the monitoring of the interventions as an essential moment of verification of the appropriateness of the solutions is highlighted. The NBS,

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in fact, show a significant sensitivity to the modification of the local conditions, outlining the importance of a place-based approach based on the prediction of the impacts and their verification with the use of indicators specifically identified with respect to the scale and objectives of the single intervention.

References 1. European Environment Agency (EEA): Green Infrastructure and Territorial Cohesion. Publications Office of the European Union (2011) 2. Costanza, R., et al.: The value of the world’s ecosystem services and natural capital. Nature 387(6630), 253–260 (1997) 3. Antonini, E., Tucci F. (eds.): Architettura, città e territorio verso la Green Economy. La costruzione di un manifesto della Green economy per l’architettura e la città del futuro. EdizioniAmbiente, Milano (2017) 4. Millennium Ecosystem Assessment (MEA): Ecosystems and Human Well-Being: Synthesis. Island Press. Washington, DC (2005) 5. European Commission: Nature-Based Solutions & Re-Naturing Cities, Final Report of the Horizon 2020 Expert Group (2015) 6. Bastin, J.F., et al.: The global tree restoration potential. Science 365(6448), 76–79 (2019) 7. Veldman, J.W., et al.: Comment on ‘the global tree restoration potential’. Science 366 (6463), eaay7976 (2019) 8. Lewis, S.L., et al.: Comment on ‘the global tree restoration potential’. Science 366(6463), eaaz0388 (2019) 9. Mussinelli, E., Tartaglia, A., Bisogni, L., Malcevschi, S.: The role of nature-based solutions in architectural and urban design. Techne-J. Technol. Archit. Environ. 15, 116–123 (2018) 10. Schiaffonati, F.: Le sfide del sud-est: una città nella città. In: UCTAT (eds.) Proposte e progetti per il sud Milano. Il ruolo dei Municipi, pp. 21–25. Municipio 4, Milano (2017) 11. Mussinelli, E., Tartaglia, A., Cerati, D., Castaldo, G.: Qualità e resilienza ambientale nelle proposte di intervento per il sud Milano: un’analisi quanti-qualitativa delle infrastrutture verdi. Le Valutazioni Ambientali-Valutare la rigenerazione urbana 2, 79–98 (2018) 12. Cerati, D.: Nature-based solutions and open spaces regeneration. Methods, tools and indicators for environmental design and assessment. Ph.D. thesis, Ph.D. Program in Architecture, Built Environment and Constriction Engineering, Politecnico di Milano (2019) 13. CNT (Center for Neighborhood Technology): The Value of Green Infrastructure. A Guide to Recognizing Its Economic, Environmental and Social Benefits. Publications of the CNT, Chicago (2010) 14. International Union for Conservation of Nature (IUCN): No time to lose: make full use of nature-based solutions in the post-2012 climate change regime. Position paper on the Fifteenth Session of the Conference of the Parties to the United Nations Framework Convention on Climate Change (COP 15), Gland (2009)

Reclamation Cost: An Ecosystem Perspective Leopoldo Sdino1(&) 1

, Paolo Rosasco2

, and Marta Dell’Ovo1

Department of Architecture, Built Environment and Construction Engineering (ABC), Politecnico di Milano, via G. Ponzio 31, 20133 Milan, Italy {leopoldo.sdino,marta.dellovo}@polimi.it 2 Dipartimento di Architettura e Design, Università degli studi di Genova, Stradone S. Agostino, 37, 16123 Genoa, GE, Italy [email protected]

Abstract. The feasibility of an urban regeneration project is the result of both intrinsic and extrinsic characteristics. What deserves to be analyzed in this context, it is the role of the reclamation costs and the location of the site in influencing the success of the intervention. Given these premises, the convenience and the feasibility of an urban regeneration project seem to be the result of this formula even if there are other factors able to affect the final outcome. Nowadays the estimation of Ecosystem Services (ESs) is becoming a guide for the landscape design even if quantifying their benefits presents limits and criticalities. In this context the research proposed, presents an ecosystem perspective to estimate reclamation costs. The aim of the paper is to understand how to evaluate the compensation given by the provision of ESs in urban regeneration context when reclamation costs are necessary. Keywords: Reclamation cost


Ecosystem services
Urban regeneration

1 Introduction The success of an urban regeneration project is strongly influenced by both its intrinsic and extrinsic characteristics. Among them, the reclamation cost and the location of the site are two of the main issues able to affect the development phase of the intervention and its risk [1–6]. Urban regeneration is considered as a strategic solution to oppose to the current trend of urbanization, to preserve the scarce land resource of urban areas and boost the economic potentiality of the site, usually abandoned, where the project will be located [6–9]. Within this context, despite its demonstrated benefits, the presence of unpredictable variables to control makes the investment risky and costly for both public and private bodies [3, 4, 10]. Mohamed et al. [6] identified six categories able to influence urban regeneration investments which include risks, returns, governance, costs and property tax, damage neighborhood and social network, and problems with multiple ownership. Features related to the issues previously defined, e.g. reclamation and the location of the site, deserve to be better investigated. They are reported in the first two categories and in fact, both risks and returns are directly related to the initial cost of the investment, if suitability and preliminary works are necessary, and to the geographical location, meant as the presence of services and infrastructures and the average market © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1352–1358, 2021. https://doi.org/10.1007/978-3-030-48279-4_126

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value of the context. The decision is, therefore, guided by these two constraints and nowadays, only big cities are capable to be attractive for real-estate investment [2, 11–13]. Given these premises, the convenience and the feasibility of an urban regeneration project seem to be the result of this formula even if there are other factors able to affect the final outcome. In detail there are benefits provided by the intervention which could compensate costs previously stated. Ecosystem Services (ESs) are the capacity of the natural capital to satisfy human’s needs and have been systematized by the Millennium Ecosystem Assessment report [14, 15]. Since the contributions provided by the natural environment or by recreational activities are not directly measurable or observable in the short period, usually they are not considered in the market transactions [16]. The aim of the paper is to understand how to evaluate the compensation given by the provision of ESs in urban regeneration context when reclamation costs are necessary. In detail the paper presents (Sect. 2) an investigation of evaluation methods aimed at assessing benefits provided by ES, (Sect. 3) the description of the Italian context with a focus on sites of national interest to be reclaimed and (Sects. 4 and 5) some conclusive considerations.

2 Evaluating Ecosystem Services Ecosystem Services are defined as “the benefits people obtain from ecosystems” [14] and have been clustered in provisioning services, regulating services, cultural services and supporting services. Assigning monetary value to the contribution of ESs can be still considered as a challenging task [17], in fact, most of them are public or semipublic values difficult to quantify and trade on the market [18]. Despite the limits in performing monetary valuation method to take into account the several multi aspects involved in ESs [19], in order to give a measure to their possible compensation with respect to preliminary costs, different approaches can be applied. Mainly, in this field of research, the Cost Benefit Analysis (CBA) has been approached based on the possibility to estimate in monetary unit both cost and benefit of projects or options [19–21]. When it is necessary to assess non-marketed goods and services, as the ESs, it is possible to use mostly two groups of methods: stated preference methods and revealed preference methods. In the first case the willingness to pay (WTP) is obtained through the administration of questionnaires and surveys with direct questions (contingent valuation) or by comparing alternatives (choice experiment) [17]. In the second case, values are based on the actual choice of people within the market, their actual behavior [22]. For these last group of methods less criticalities have been detected since constructed on real market trends [19]. Costanza et al. [23] provided a deep analysis of evaluation methods aimed at assessing ESs and, synthetizing various studies, estimated the values of each of them considering ecosystem type. These results have been discussed and applied by others scholars [24–26] in order to evaluate monetarily the annual value of ESs for new design projects. Moreover, different tools have been developed in order to facilitate both the valuation and the communication of the results; among them it is possible to mention

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InVEST (Integrated Valuation of Ecosystem Services and Tradeoffs) [27] and Simulsoil, developed by Politcnico di Torino within the project LIFE + Program SAM4CP (2014–2018) [15]. They are both aimed at supporting the estimation of benefits and costs provided by changes in ecosystems and in detail considering land use changes, are based on GIS software and help in evaluating trade-off among different projects.

3 The Italian Context. Contaminated Sites and Reclamation Costs The term “contaminated site” refers to all those areas where, as a result of past or ongoing human activities, it has been established that there has been an alteration in the qualitative characteristics of the soil, subsoil and groundwater environmental matrices such as to represent a risk to human health (Legislative Decree 152/2006). In Italy, the ISPRA (Institute for the Environmental Protection and Research), a public Italian body, that deals with environmental protection, including marine protection, environmental emergencies and research is in charge of drafting and updating guidelines for the remediation of contaminated sites. It identified, moreover, 41 “sites of national interest” (SIN) classified considering the characteristics of the site, the quantity and dangerousness of the pollutants present, the impact on the surrounding environment in terms of health and ecological risk, as well as damage to cultural and environmental assets (Legislative Decree 152/2006) (see Fig. 1).

Fig. 1. Location, dimension and nature of SIN (adapted from http://www.isprambiente.gov.it/ files2017/temi/siti-contaminati/LocalizzazioneesuperficieSIN_rev_aprile_2019.pdf)

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Considering data provided by ISPRA and the analysis elaborated by [28] the maximum unitary cost for the reclamation has been estimated for dimensions up to 1,000 sqm, and is about € 709, while the minimum, about € 23, and concerns extension of more than 100,000 sqm. Besides the size, the cost is also influenced by the original land use as presented in Table 1. Table 1. Unitary reclamation costs for land use destination (Source: ISPRA and [28]) Land use Agricultural Industrial Residential Average

€/sqm € 171,8 € 189,3 € 106,1 € 168,6

Despite this information, the estimation of reclamation costs is not predictable, since directly related to the level of pollution, the type of pollutants and the depth [28], features that are better known when the works are in progress. By the way, preliminary analysis can support obtaining a synthetic evaluation of the final cost. In fact, by consulting some economical report developed by the Municipality of Milan to evaluate the feasibility of new projects, the incidence of the reclamation on the overall cost is around 3% and incomes are directly related to the location of the site. As it has been already mentioned, these evaluations are parametric and can incur in important cost increase given by superficial investigations as it happened for the case of Sesto San Giovanni, Milan (Italy).

4 How to Support Ecosystem Policies Considering both the monetary evaluation of initial costs and potential future benefits, when the convenience of new urban regeneration project has to be evaluated, all these aspects should be taken into consideration. Even if benefits concerning the provision of ESs are not immediate, on the long term, inhabitants will take advantages from them. In fact, it has been scientifically demonstrated the beneficial effects of green areas, for example, on the air quality, on the promotion of physical activity and social cohesion and on the reduction of the stress [29]. By assigning a value to those benefits it would be possible to understand and quantify if future benefits are able to compensate present costs. In detail, what deserves to be explored within this context and can boost the definition of new public policies, are the avoided costs produced by the adoption of ecosystem choices. In fact, each benefit can be described as potential cost saving or costs avoided [30] such as in terms of energy demand, social interaction, psychological and health therapies [31]. Savings derived by the adoption of nature-based solutions could have an important impact on the general well-being of the population [30, 32, 33] and support the definition of regulation with this perspective.

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Politecnico di Milano is currently developing a research about this topic and investigating case studies of urban regeneration in order to validate the assumption stated. Once the methodological approach has been validated it would be possible to draw guidelines or recommendations able to guide the policy maker in taking conscious decisions about the feasibility of new interventions and their location.

5 Conclusions The research proposed, presents an ecosystem perspective to estimate reclamation costs. Starting from the difficulty in evaluating the convenience of urban regeneration projects by quantifying only costs and incomes and by the influence generated by reclamation costs and the geographical location of the site, the paper moves to the description of main important methodologies aimed at assessing tangible and intangible values of ESs until the definition of the Italian context. A further investigation is now in progress and is aimed at testing the methodologies identified and at validating the assumptions stated. Evaluating both marketed and non-marketed goods and services considering monetary approaches could result as a useful and robust evidence for policy maker and designers, but considering the literature provided by [19] these methodologies fails to capture social and ethical values. Multi-Criteria Decision Analysis (MCDA) in this context are the more promising methods able to considers multiple dimensions evaluated according to unit of measurement of different nature. Moreover, these approaches facilitate both the communication of the results and the involvement of several stakeholders.

References 1. Fregonara, E., Ferrando, D.G., Carbonaro, C.: Cost-risk analysis for supporting urban regeneration technological projects. In: Values and Functions for Future Cities, pp. 403–423. Springer, Cham (2020) 2. Sdino, L., Rosasco, P., Lombardini, G.: The evaluation of urban regeneration processes. In: Regeneration of the Built Environment from a Circular Economy Perspective, pp. 47–57. Springer, Cham (2020) 3. Oppio, A., Torrieri, F., Bianconi, M.: Land value capture by urban development agreements: the case of lombardy region (Italy). In: Smart Innovation, Systems and Technologies, vol. 100, pp. 346–353. Springer, Cham (2018) 4. Morano, P., Tajani, F.: Saving soil and financial feasibility. A model to support publicprivate partnerships in the regeneration of abandoned areas. Land Use Policy 73, 40–48 (2018) 5. Mangialardo, A., Micelli, E.: Simulation models to evaluate the value creation of the grassroots participation in the enhancement of public real-estate assets with evidence from Italy. Buildings 7(4), 100 (2017) 6. Mohamed, N.A., Baharum, Z.A., Senawi, A., Salleh, N.A.: Investment constraints in urban regeneration: property developers and local authorities perspective. In: MATEC Web of Conferences, vol. 66, p. 00063. EDP Sciences (2016)

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7. Bottero, M., Oppio, A., Bonardo, M., Quaglia, G.: Hybrid evaluation approaches for urban regeneration processes of landfills and industrial sites: the case of the Kwun Tong area in Hong Kong. Land Use Policy 82, 585–594 (2019) 8. Capolongo, S., Sdino, L., Dell’Ovo, M., Moioli, R., Della Torre, S.: How to assess urban regeneration proposals by considering conflicting values. Sustainability 11(14), 3877 (2019) 9. Egolum, C.C., Emoh, F.I.: The issues and challenges of urban renewal in a developing economy. Int. J. Dev. Econ. Sustain. 5(1), 32–44 (2017) 10. European Commission: The State of the Soil in Europe. Publication Office of the European Union, Luxembourg (2012). https://ec.europa.eu 11. Sassen, S.: Cities in a World Economy. Sage Publications, Thousand Oaks (2018) 12. Dicken, P.: Global Shift: Reshaping the Global Economic Map in the 21st Century. Sage, Thousand Oaks (2003) 13. Sassen, S.: Global cities and developmentalist states: how to derail what could be an interesting debate: a response to Hill and Kim. Urban Stud. 38(13), 2537–2540 (2001) 14. Millennium Ecosystem Assessment: Ecosystems and Human Well-Being: General Synthesis. A Report of the Millennium Ecosystem Assessment. Island Press, Washington, D.C. (2005) 15. Giaimo, C., Salata, S.: Ecosystem services assessment methods for integrated processes of urban planning. The experience of LIFE SAM4CP towards sustainable and smart communities. In: IOP Conference Series: Earth and Environmental Science, vol. 290, no. 1, p. 012116. IOP Publishing, June 2019 16. Mishra, S.K., Hitzhusen, F.J., Sohngen, B.L., Guldmann, J.M.: Costs of abandoned coal mine reclamation and associated recreation benefits in Ohio. J. Environ. Manag. 100, 52–58 (2012) 17. Pavanelli, D.D., Voulvoulis, N.: Habitat equivalency analysis, a framework for forensic cost evaluation of environmental damage. Ecosyst. Serv. 38, 100953 (2019) 18. Cheng, L.L., Hu, Z.Q.: Economic-theory-based analysis of the collection standard of mine land reclamation bond and its calculation approach. Procedia Earth Planet. Sci. 1(1), 1275– 1279 (2009) 19. Saarikoski, H., Mustajoki, J., Barton, D.N., Geneletti, D., Langemeyer, J., GomezBaggethun, E., Marttunen, M., Antunes, P., Keune, H., Santos, R.: Multi-criteria decision analysis and cost-benefit analysis: comparing alternative frameworks for integrated valuation of ecosystem services. Ecosyst. Serv. 22, 238–249 (2016) 20. Dixon, J.A., Hufschmidt, M. (eds.): Economic Valuation Techniques for the Environment. A Case Study Workbook. Johns Hopkins University Press, Baltimore (1986) 21. Pearce, D., Nash, C.: The Social Appraisal of Projects. A Text in Cost- Benefit Analysis. MacMillan Press, London (1981) 22. Boyle, K.J.: Introduction to revealed preference methods. In: A Primer on Nonmarket Valuation, pp. 259–267. Springer, Dordrecht (2003) 23. Costanza, R., d’Arge, R., De Groot, R., Farber, S., Grasso, M., Hannon, B., Limburg, K., Naeem, S., O’Neill, R.V., Paruelo, J., Raskin, R.G.: The value of the world’s ecosystem services and natural capital. Nature 387(6630), 253–260 (1997) 24. Li, H., Zhao, Y., Zheng, F.: The framework of an agricultural land-use decision support system based on ecological environmental constraints. Sci. Total Environ. 717, 137149 (2020) 25. da Silva, J., Fernandes, V., Limont, M., Rauen, W.B.: Sustainable development assessment from a capitals perspective: analytical structure and indicator selection criteria. J. Environ. Manag. 260, 110147 (2020)

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26. Bottero, M., Comino, E., Dell’Anna, F., Dominici, L., Rosso, M.: Strategic assessment and economic evaluation: the case study of Yanzhou Island (China). Sustainability 11(4), 1076 (2019) 27. Nelson, E.J., Daily, G.C.: Modelling ecosystem services in terrestrial systems. F1000 biology reports, 2 (2010) 28. Rosasco, P., Sdino, L., Magoni, S.: Reclamation costs and their weight in the economic sustainability of a project. Procedia-Soc. Behav. Sci. 223, 209–216 (2016) 29. D’Alessandro, D., Buffoli, M., Capasso, L., Fara, G.M., Rebecchi, A., Capolongo, S.: Green areas and public health: improving wellbeing and physical activity in the urban context. Epidemiol. Prev. 39(4), 8–13 (2015) 30. Wolf, K.L., Measells, M.K., Grado, S.C., Robbins, A.S.: Economic values of metro nature health benefits: a life course approach. Urban Forest. Urban Greening 14(3), 694–701 (2015) 31. Zinia, N.J., McShane, P.: Ecosystem services management: an evaluation of green adaptations for urban development in Dhaka, Bangladesh. Landscape Urban Planning 173, 23–32 (2018) 32. Brambilla, A., Rebecchi, A., Capolongo, S.: Evidence based hospital design. A literature review of the recent publications about the EBD impact of built environment on hospital occupants’ and organizational outcomes. Ann. Ig 31, 165–180 (2019) 33. Buffoli, M., Rebecchi, A., Gola, M., Favotto, A., Procopio, G.P., Capolongo, S.: Green SOAP. A calculation model for improving outdoor air quality in urban contexts and evaluating. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Green Energy and Technology, pp. 453–467. Springer, Cham (2018)

The Role of the Evaluation in Designing Ecosystem Services. A Literature Review Marta Dell’Ovo1(&) 1

and Alessandra Oppio2

Department of Architecture, Built Environment and Construction Engineering (ABC), Politecnico di Milano, via G. Ponzio 31, 20133 Milan, Italy [email protected] 2 Department of Architecture and Urban Studies (DAStU), Politecnico di Milano, via E. Bonardi 3, 20133 Milan, Italy [email protected]

Abstract. Starting from the Millennium Ecosystem Assessment several research domains have focused on the complex relationship that persists between environmental system and human well-being according to their own theoretical as well as operational paradigms. Few are the cross-sectorial researches aimed at analyzing the ecosystems, their services and performances at different scales according to an integrated approach. The combination of different approaches and research methodologies represents a promising perspective both for framing the analysis and for landscape designing. Furthermore, the development of integrated and cross-disciplinary studies on the identification, measurement and evaluation of Ecosystem Services (ESs) appears relevant for its practical consequences on urban planning decisions with special respect to the construction of innovative strategies for metropolitan agricultural systems, urban open spaces and green areas. Given these premises, the contribution provides a systematic review and a citation network analysis to understand the relationship between the role of the design and the importance of evaluation in the ESs’ field of research. Keywords: Ecosystem services


Landscape design
Evaluation

1 Introduction Ecosystem Services (ESs) have been systematized by the Millennium Assessment project [1] and clustered in four main categories: provisioning services; supporting services; cultural services; regulating services. The set of these actions, extremely articulated, represents the conditions of well-being and life of the planet and its inhabitants [2, 3]. The studies developed on ESs in these years are as numerous as specialized. The multiplicity of aspects involved engages almost every discipline, from natural sciences, geography, economics, humanities, whose integration cannot be taken for granted in terms of paradigms, languages, techniques and ways of observing reality. In relation to the city and the territory, the topic has been extensively dealt with in relation to individual specific fields, each of which has led to the autonomous development of a wide and in-depth series of studies, and related literature, often through © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1359–1368, 2021. https://doi.org/10.1007/978-3-030-48279-4_127

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large-scale readings [4]. On the other hand, interdisciplinary experiences able to consider in an integrated way the multiplicity of services produced by ecosystems over time are rare. This integration is relevant both from an analytical point of view - for the construction of complex frameworks of analysis - and a design point of view - for the development of interdisciplinary studies aimed at the identification, measurement and evaluation of ESs. Given these premises, this study provides a systematic review and a citation network analysis to understand the relationship between the role of the design and the importance of evaluation in the ESs’ field of research. The rest of the paper is organized as follows: Sect. 2 illustrates the system methodology adopted by the authors; Sect. 3, the systematic literature review; Sect. 4, the citation network analysis and existing evaluation tools; in conclusion, Sect. 5 provides the main findings and it highlights the necessary and proper future developments.

2 Research Methodology This section illustrates the literature reviews methodology adopted. It has been organized mainly in two distinct phases as described in Fig. 1. The first one concerns the systematic literature review (SLR) [5, 6], based on the use of focused keywords, while the second one the citation network analysis (CNA) [7] resulted by the investigation of the references of the previous sample of papers as suggested by Colicchia and Strozzi [8]. This paper proposes a reviewed version of the systematic literature network analysis (SLNA) developed from the combination of the two approaches previously defined. SYSTEMATIC LITERATURE NETWORK ANALYSIS SYSTEMATIC LITERATURE REVIEW SCREENING

keywords

+ year

+ title

+ abstract

+

coherence of the paper

CITATION NETWORK ANALYSIS

ANALYSIS

- year - context - aim - case study - evaluation method - criteria

Fig. 1. Methodological framework

SCREENING

coupling

+ co-citation

ANALYSIS

- year - contex - aim

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In detail, the literature review aims at mapping the state of the art and at identifying possible gaps in the field of research under analysis [6, 9]. As presented in Fig. 1, the first phase is further divided in stages in order to support the identification of coherent papers: 1. keywords: it consists in defining a specific set of keywords able to answer to the research question; 2. year: it allows to filter paper according to the year of publication if some have to be excluded since not pertinent for the analysis; 3. title: it is the first step of screening in which, according to the coherence of the title, papers find out from the search are going to be further analyzed; 4. abstract: it is the second step of screening, here papers are going to be selected by reading the abstract and understanding their potential coherence; 5. coherence of the paper: it consists in reading the papers to be included in the systematic review. Once the coherence of papers has been evaluated, it is possible to proceed with the analysis aimed at underlying common aspects and gaps of the topic examined. The second phase involves a visual analysis able to represent connection and relation among papers. In detail in this context, it has been decided to proceed with the CNA by performing the following analysis [10]: 1. coupling: it consists in evaluating the number of references different papers have in common and focuses on groups of papers which cite a source document; 2. co-citation: represents the frequency with which documents are cited together.

3 Bibliometric Analysis The systematic literature has been carried out with the support of the Scopus database. Since the aim of the investigation is to understand the relationship between Landscape design, ESs and the Evaluation, the set of keywords has been selected carefully considering all possible combination and synonym. By following the scheme previously explained: 1. keywords: a specific set has been chosen considering the purpose declared, “Ecosystem Services” & “Evaluation” or “Assessment” or “Valuation” & “Landscape Design” or “Landscape project”; 2. years: papers published after 2005 (publication of Millennium Ecosystem Assessment [1]); 3. title: twenty papers resulted by the investigation and they have been confirmed by the first phase of screening; 4. abstract: also in this phase all the papers have been confirmed; 5. coherence of the paper: by reading in detail all the papers, one has been disregarded since considered not relevant with the aim of the research [11].

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Once the screening phase has been processed, the nineteen resulted papers have been further classified by considering six main criteria (year, context, aim, case study, evaluation method, criteria). For what concern the year of publication, it is quite evident how the interest on this topic and in particular in investigating the relationship previously declared, increased during these last years and the context mostly analyzed concerns the field of the landscape design, renewable energy and agroecology. By analyzing the aim, the case study and the evaluation method applied (Table 1), it is possible to underline how approximately 40% of the contributions are supported by quali-quantitative methodologies such as the multicriteria analysis (MCA). For what concerns the aim, mostly, the evaluation is used to support the design in order to meet the needs of transparency and evidence, but focusing on the case study, trends or similarity are not resulted since each papers investigate a different decision context and also a different scale of intervention. Table 1. Literature review Authors [12]

Aim Sustain the landscape design choices

Case study Rural area 100 ha

[13]

Landscape design for the restoration of Napahai wetland Validation of guidelines for shaping neighbourhood landscapes Supporting realistic lignocellulosic feedstock production on marginal agricultural lands Optimization of hybrid biofuel supply chains

Napahai wetland 3125 hm2

[14]

[15]

[16]

[17]

[18]

GeoDesign for Landscape sustainability science to help design sustainable landscape Social values for ES

Neighbourhood

Marginal land

Evaluation method Multicriteria economic valuation; Total Economic Value (TEV) approach Emergy and eco-exergy for assessing the effects of wetland restoration project Survey methods; Delphi method; Descriptive statistics and statistical analysis (ANOVA) Qualitative methodology

55,401 ha of irrigated corn fields in six counties within an 80 km-radius No

Coupled simulation modelling and life-cycle assessment approach

Wusong Paitaiwan Wetland (WPW) Park, Shanghai, China, (park 106,6 ha and wetland 63,6 ha)

Visitor-Employed Photography (VEP) method with Social Values for Ecosystem Services (SolVES) mapping tool (continued)

Geodesign

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Table 1. (continued) Authors [19]

Aim To facilitate rapid and repeatable creation of GI landscape designs

Case study Baltimore County, Maryland, USA

[20]

How to conduct an ecosystem services assessment using EPFs To develop and test an approach for the practical application of landscape design to advance multifunctionality and sustainable outcomes To analyse existing forms and levels of crop–livestock integration, to design TCLS and to perform integrated assessment of the designed system To compare the economics of growing shrub, or short-rotation willows (referred to as willow(s) in this manuscript) for bioenergy in an agricultural Midwest under different scenarios Designing CropLivestock Systems (ICLS) at the territorial level Potentialities for the PV design to provide ES Review on ecosystem services in urban areas How landscape functions and ecosystem services have responded to the large variety and number of existing landscape patterns

Yongding River Green Ecological Corridor

Evaluation method Regional HydroEcological Simulation System (RHESSys) Ecological Production Functions (EPFs)

Site in Sardinia

GIS and MCA

Aveyron River watershed

MCA

Indian Creek watershed in central Illinois (USA)

Production and transport cost (EcoWillo 2.0)

Aveyron River basin

MCA

No

MCA

No

Review of methods

No

Review of methods

[21]

[22]

[23]

[24]

[25] [26] [27]

(continued)

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M. Dell’Ovo and A. Oppio Table 1. (continued)

Authors [28] [29]

[30]

Aim Evaluation of urban ecological landscape To create new economic opportunities for landowners and other stakeholders and thereby to attract their voluntary participation in land-use change needed to meet Total Maximum Daily Load (TMDL) To introduce an evolving framework for evaluating the design of agroecosystems

Case study No No

Vermont, 2 farms

Evaluation method Quantitative and qualitative method Communicative/Systemic Approach (C/SA) Multi-stakeholders landscape design

The agroecosystem design assessment tool (assigned a value to each land use)

4 Network Analysis and Evaluation Tool This second phase of analysis has been carried out with the support of the VOSviewer software tool. It allows to visualize bibliometric network, with the aim of investigating common references of contributions previously considered. Following the purpose of the analysis, the coupling (see Fig. 2) and co-citation (see Fig. 3) have been visualized.

Fig. 2. Coupling network analysis

Fig. 3. Co-citation network analysis

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In detail, these networks allow to understand if papers analyzed have a common source of info and moreover, support in finding related researches belonging to the past. In fact, as it is possible to appreciate in particular from Fig. 3, there are mostly four contributions in common [31–34] which are mainly based on the topic of the ecology and its role in supporting urban transformations. Table 2 presents a synthesis of main topics investigated by the contributions defined in the co-citation network analysis in order to better understand their relation with the issue examined within this context. Table 2. Contributions of co-citation network analysis Title Design with nature

Author [31]

Year 1969

Multifunctional Agriculture in the United States

[32]

2005

Design in science: extending the landscape ecology paradigm

[33]

2008

Landscape services as a bridge between landscape ecology and sustainable development

[34]

2009

Aim Ecology to understand the relation between nature and humanity. Design should learn from nature to support the transformation Agricultural management. How farm policy might affect environmental, social and economic outcomes Design as any intentional change of landscape pattern for the purpose of sustainably providing ecosystem services The role of landscape ecological science with its valuation component and suitable for use in collaborative decision-making on a local scale

Also in this case the evaluation is conceived to support the decision-process that correspond to the design process. Together with the analysis of the literature, existing evaluation tools aimed at assessing the value of ESs have been investigated. In particular, in the national and international scenario mainly three tools exist: – InVEST (Integrated Valuation of Ecosystem Services and Tradeoffs): developed by the Stanford University with the aim of quantifying, mapping and evaluating the benefits of terrestrial, freshwater and marine systems. It can be applied to the local and the global scale; – SimulSoil: developed within the program Life+ 2013 founded by the European Union, allows to analyses value changes resulting from land use transformations by considering eight ESs;

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– SolVES (Social Values for Ecosystem Services): developed by the USGS association to quantify the perceived social values of ESs by considering the opinion of various stakeholder groups.

5 Main Findings and Conclusions This study has been developed to understand the existing relation between Landscape design, ESs and the Evaluation by investigating the literature review and evaluation tools. With respects to the existing and exhaustive literature [35, 36], this contribution is a first attempt to appreciate how ESs can support the design phase and how the evaluation has been conceived in this relationship. Recent analyses were focused on examining specific topics, e.g. the urban ecosystem services [36], or in comparing their classifications [35]. Within this context, the novelty is given by the decision of analyzing the interrelation of three different fields of research in order to understand how they could be combined to be a real support in the whole landscape design process. By summing up results obtained from the literature review and those coming from the investigation of existing evaluation tools, some conclusions can be drawn. Existing tools are able to provide answers on the quantification of ESs from both a bio-physical and an economic point of view; in addition, it is also possible to have feedbacks about the perception of users. Considering InVEST and SimulSoils their strengths are located in the possibility of evaluating ESs by considering two different dimensions (the environmental and the economic ones) and they both consider the relationships that are created among the provisions of different types of systems. On the contrary, they lack of assessing the opinion and the perception of stakeholders about hypothetical scenarios aimed at changing the land use or transforming the current condition of a place. SolVES tries to fill this gap, but its limit is placed in the assumption of classifying groups of stakeholders according to their attitudes and disregarding other aspects. In most of the contributions, ESs are useful to provide indications under a design perspective, but at the moment design scenarios are compared without any indications or guidelines for possible new projects and considering the replicability and scalability of the methodologies applied. Moreover, as already mentioned, the evaluation is used to support the design in order to answer to the demand of transparency and evidence. By critically reading the results obtained, it is possible to underline the lack and necessity of a tool of comparison and monitoring to address policies and projects. What has not been already achieved consists in the development of a methodology able to consider tangible and intangible dimensions able to evaluate the time factor and how ESs can evolve and modify their provision of benefits by moving from time 0. In fact, for each service it would be worth to draw a utility function in order to measure when benefits are maximized and when they start to decrease. The combination of these two factors would make it possible to better control and predict the results of urban change over time. The interdisciplinary and hybrid tool, modelled according to the above mentioned characteristics, could be therefore applied to different contexts, such as projects, calls for proposals, rules/service plan, contracts.

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Hybrid Evaluation Approaches for Cultural Landscape: The Case of “Riviera dei Gelsomini” Area in Italy Lucia Della Spina(&)

and Angela Viglianisi

Mediterranea University, Reggio Calabria, Italy [email protected]

Abstract. The study presents an integrated evaluation process for the identification of sustainable enhancement scenarios of the cultural landscape of a particularly significant area of the metropolitan city of Reggio Calabria, characterized by multiple material and immaterial values and resources. The combined application of various methods and techniques, allows to manage a decision-making process characterized by different variables and a high level of uncertainty, able to support the definition of shared and transparent choices and outline a transformation process and enhancement according to a bottom-up approach. The application of the methodology to the case study made it possible to take into account the tangible and intangible characteristics of the various multidimensional components of the cultural landscape, and the relative perception of the stakeholder, identifying specific priorities, selecting a system of located micro-actions, materials and intangible, attentive to the specifics of the context, capable of reflecting the evolutions of an interactive and dynamic dialogue between the community, local know-how and experts. Through the combination of complex assessment techniques and stakeholder engagement techniques, it is possible to build enhancement strategies and promote good governance processes, capable of enhancing local deliberative democracy by activating effective collaboration between promoters, operators and users. Keywords: Cultural landscape Criteria Decision Aid


Multi-stakeholder decision analysis
Multi-

1 Introduction The study presents an integrated evaluation process for the identification of sustainable enhancement scenarios of the Cultural Landscape (CL) (Rössler 2006; Taylor 2016) of a particularly rich territory of the metropolitan city of Reggio Calabria, characterized by multiple values and resources both material and immaterial. These territories, escaped modernization, present a rich and authentic patrimony, made up of architectures, traditions and unique landscapes for which it is possible to activate innovative economic processes, through a harmonious integration of social, economic and environmental factors (Mollica 1996; Opoku et al. 2015). The multi-methodological path tested in this study recognizes and interprets the study area as a multifunctional Cultural Landscape (Brandt et al. 2000; Rössler 2006; © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1369–1379, 2021. https://doi.org/10.1007/978-3-030-48279-4_128

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Della Spina et al. 2016; Della Spina 2017; 2018; 2019), for which a decision-making process - interdisciplinary and participatory - was outlined in order to promote understanding and the management of complex problems, for the identification of shared sustainable strategies (Saaty and De Paola 2017). In detail, the decision-making process is oriented to pre-order a development system that leverages: – the specificities of the individual municipalities, – on the complex of local natural and anthropic resources, – on sharing knowledge and values proper to local communities, in order to create a local development system based on the natural tourist vocation of these places (Knudsen et al. 2007; Mollica 1996; 1998) and stop the process of impoverishment and depopulation of the area.

Fig. 1. The landscape under study

In literature, the term “shared landscape” comes from the reflection that sees the Italian cultural landscape as a combination of tangible and intangible values (Rössler 2006; Taylor and Lennon 2012), a complex organism characterized by conflicting

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values and resources that can be read and interpreted on the basis of multiple and different points of view (Rosenhead and Mingers 2001; Della Spina 2017; 2018). This implies considering interests and preferences of Decision Makers and Stakeholder, existing resources and different forms of capital (human, social, economic, environmental, cultural, etc.), their links and their mutual relationships (CarlssonKanyama et al. 2007). In the application, the territory under study is a district of the Metropolitan City of Reggio Calabria, “Riviera dei Gelsomini”, also called “Locride”, is the territory with which the coastal area of the metropolitan area of Reggio Calabria is identified on the Ionic side. The study area (Fig. 1) is characterized by being an introverted, marginal, decentralized territory that with its 90 km of coastline extends to the slopes of the Aspromonte Park. It is a landscape conditioned by a slow and progressive depopulation and by a strong and progressive economic fragmentation which presents a beauty of places still intact, steeped in history, legend and traditions (Della Spina et al. 2016). In addition, many of the municipalities, especially those in the hinterland, have been identified as disadvantaged rural areas (Mollica 1997). The territory presents itself as a rich and complex system characterized by multiple resources, both tangible and intangible, expression of a multifunctional landscape characterized by some relevant cultural landscape services, in which the inputs for a process of sustainable economic development can be identified.

2 Methodology 2.1

Methodological Background

The methodological framework has been structured allowing the interaction between different selected techniques (Creswell and Plano Clark 2011; Myllyviita et al. 2014) in order to outline a dynamic, flexible and adaptive decision support system, attentive to the specificities of the context and oriented to the elaboration of intervention strategies based on knowledge expert and common knowledge, and on recognized and shared values. (Bánáthy 2000; Jackson 2003; Checkland and Poulter 2006; Ackoff 2010). The tested approach was conceived according to an incremental path in which, taking into account the characteristics of the territory and the relevant issues, the most appropriate analysis and evaluation techniques were selected, capable of supporting the needs of the process decision-making starting from the emerging characters (Della Spina 2017; 2019). The methodological path structured for the case study consists of three phases as described in Fig. 2.

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Fig. 2. The methodological framework

Phase 1 - Knowledge. It consists of participatory observation of the context related to the cultural landscape in question (Breiling 1995; Freeman et al. 2015) through the processing of both quantitative and qualitative data, useful for prefiguring a knowledge framework, interpreted through specific clusters of quantitative indicators on a statistical basis (such as statistical data, traditional cartographic analysis, current regulations, institutional database) (see Fig. 3) collected for the reference context (Alberti and Giusti 2012; Della Spina 2017, Nesticò and Maselli 2020).

Fig. 3. Examples of clusters of quantitative indicators for the study area

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At the same time, the processing of qualitative data was structured starting from a Stakeholder Analysis, which made it possible to identify a community map which allowed the identification of the different and most relevant stakeholder for the context in question (Eden 1988; Funtowicz et al. 2002; Dente 2014; Mendelow 1981). The map was drawn up considering the following categories: promoters-representatives of the municipalities; local action groups, Confindustria, Confcommercio, operators (associations, operators of cultural and economic activities: coldiretti, hoteliers, restaurateurs, etc.) and users (inhabitants, tourists, visitors, both real and potential). The analysis of points of view and perceptions was structured by submitting structured interviews to the sample of stakeholder (Checkland 1981). In addition, focus groups were organized for in-depth study for some topics of greater relevance. For users, an online questionnaire was developed to understand the perception they have of the PC, based on their experience (Della Spina 2017; 2019). Phase 2 - Scenarios Analysis. The qualitative and quantitative information collected during the knowledge phase was further decoded and interpreted. This made it possible to identify a series of criticalities and potentialities, the most significant and a first summary of the information, useful for understanding how the territory has changed over time (Della Spina 2017). Some of the most representative indicators have been selected, such as tourist offer, local economies and productions, environment and landscape, historic heritage offer, underutilized areas and society (population), etc, which have been elaborated and represented spatially (through GIS instrumentation), in order to develop a summary map capable of expressing the landscape complexity of the territory in which the municipalities have been classified, for the different clusters of indicators and according to the different levels density of the PC, on a scale: high, medium and low. The result of this processing has been translated into in information maps that it the spatial representation of the selected indicators (Fig. 4).

Fig. 4. Some examples of information maps on the study area

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The outputs obtained from the processing of qualitative and quantitative data made it possible to identify criticality and potentiality of the study area and a first summary of the information and issues deemed most significant by the stakeholders. The result of this elaboration is one map of perceived transformations, in which potential transformation actions have been identified, selected through a bottom-up approach of analysis and decoding of information coming from: structured interviews; focus group and questionnaires. A checklist of potential actions was therefore implemented, useful for triggering a strategy aimed at tourism development. The list of potential actions was then used as a development base to outline the components of possible alternative scenarios of enhancement and transformation perceived as significant by the stakeholder and to launch a shared economic development strategy for the territory subject to study. The final phase of interpretation of the results of the previous steps, finally allowed the development of three alternative scenarios of possible intervention, consisting of an integrated set of potential strategic actions for the territorial system of reference, capable of to promote an effectively integrated enhancement of the cultural landscape. The scenarios identify three visions of the future: – Modern and Cultural “Riviera dei Gelsomini” – Sustainable “Riviera dei Gelsomini” – Touristically renewed “Riviera dei Gelsomini”. Since these visions are very close in order of preferability and expressing complementary strategies between them, they have been united in a single vision: Sustainable, Modern, Cultural and Touristically renewed “Riviera dei Gelsomini”. Phase 3 - Evaluation of the scenarios, the alternative transformation strategies identified for the cultural landscape of the “Riviera dei Gelsomini” were evaluated by applying the EVAMIX method. It is a Multi-Criteria Decision Aid (MCDA) support method which, in addition to the possibility of considering data of different nature (quantitative and qualitative), offers the opportunity to assign different weights to the criteria identified, manage the conflict between objectives and deducting priorities among alternative options (Huang et al. 2011). The EVAMIX method (Voogd 1983) from a procedural point of view, allows you to build an evaluation matrix “m  n”, characterized by “m” criteria and “n” alternative options, where the components are both qualitative and quantitative, and the performance of each alternative with respect to a certain criterion is shown first by line (Appendix A). Subsequently, the “dominance scores” are calculated which reflect the degree to which one option dominates another. This introduces the priorities of the individual criteria with respect to the considerations that emerged from the in-depth interviews. Finally, “evaluation scores” are calculated for each alternative option: the preferable option will be characterized by the highest score. The EVAMIX method was applied using the Definite 2.0 software (van Herwijnen and Janssen 1988). For the purposes of the evaluation, the future vision envisaged, recognized as a sort of metaproject, was compared with the actual situation. Therefore, an evaluation matrix has been constructed which relates: general objectives; specific objectives; strategic

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actions; indicators; unit of measure; towards the indicator; state of affairs; vision of the future (metaproject). The general objectives were identified starting from the analysis of the knowledge framework, that is, from the critical issues and potential highlighted, taking into account the preferences expressed by the community, grouped by macrothemes: mobility, quality of life, tourism, local economies, environment and landscape, underutilized areas. For each of them, the specific objectives, the strategic actions and the related indicators necessary for identifying the impacts and comparing them with the current situation have been indicated. By applying the EVAMIX method, we have reached the conclusive result which shows the preferability of the future vision envisaged for the “Riviera dei Gelsomini” compared to the current state of affairs, highlighting the reasons that contribute to determining this preferability through the elaboration of an appropriate analysis of sensitivity, which also explains the robustness of the alternative (Fig. 5).

Fig. 5. The results of the evaluation with the EVAMIX method

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3 Conclusion The study explored the potential of an integrated approach (Freeman et al. 2015) aimed at developing enhancement strategies careful to the specificity of the multiple values and complex resources that characterize the cultural landscape (Rössler 2006; Taylor and Lennon 2012; Taylor 2016) of a territory in Southern Italy, characterized by conflicting values and resources. The fundamental characteristics that emerged from the analysis of the landscape system under consideration, for the pursuit of sustainable development are: a landscape heritage, characterized by high biodiversity and by numerous cultural assets not sufficiently valued and connected to the network; the fragility of the heterogeneous territorial system; hydrogeological risk; the abandonment of farmland, a fundamental component of the landscape system; the fragmentation of farmland; the heterogeneity of local activities and productions; the presence of mainly seasonal tourism. The application to the case study through the combination of different methods and techniques (Della Spina 2018; 2019), also coming from disciplinary areas not necessarily proper to the evaluation, allows to face a complex decision problem, characterized by multiple variables and a high level of uncertainty, in a process of incremental and cyclical evaluation, characterized by continuous feedback and constant interactions, useful for outlining a project for conscious and shared transformation and enhancement (Stirling 2006). A decision-making process so articulated requires an active collaboration between the different skills involved and the constant comparison with the territory and the relevant stakeholder, implying that the duration of the process depends on the times, difficulties and obstacles and dynamics that are confronted in real contexts. The structured multi-methodological evaluation approach constitutes an experiment that is part of a broader research path (Della Spina et al. 2016; Della Spina 2017; 2018; 2019), which makes use of the contribution and results of tested evaluation experiences. Also in other contexts, aimed at outlining decision-making processes oriented to the elaboration of shared design choices. In particular, the interaction between local knowledge and expert knowledge through a widespread participatory process, between different approaches and tools, has made it possible to formulate scenarios, strategies and actions with the involvement of the local community. This process has certainly contributed to the creation of a richer and more complex context of knowledge of the territory and to the construction of bottom-up transformation strategies (Concilio 2010), awareness of local resources, supported by a careful decision-making process, identification of values and understanding of needs (Liu 2011). Finally, the combined use of different methods and techniques allows to face a complex decision problem in multidimensional terms, characterized by multiple variables and a high level of uncertainty, in an incremental evaluation process, characterized by continuous feedback and constant interactions, useful for outlining a conscious and shared transformation and enhancement project, capable of evolving over time and adapting to possible changes. Author Contributions. The contribution is the result of the joint effort of the authors.

Appendix A. Evaluation Matrix

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Huang, I.B., Keisler, J., Linkov. I.: Multi-criteria decision analysis in environmental sciences: ten years of applications and trends. Sci. Total Environ. 409, 3578–3594 (2011) Jackson, M.: Systems Thinking: Creating Holisms for Managers. Wiley, Chichester (2003) Knudsen, D.C., Soper, A.K., Metro-Roland, M.: Commentary: gazing, performing and reading: a landscape approach to understanding meaning in tourism theory. Tourism Geograph. 9(3), 227–233 (2007) Liu, S., Sheppard, A., Kriticos, D., Cook, D.: Incorporating uncertainty and social values in managing invasive alien species: a deliberative multi-criteria evaluation approach. Biol. Invasions 13, 2323–2337 (2011) Mendelow, A.: Environmental scanning: the impact of stakeholder concept. In: Proceedings of the Second International Conference on Information Systems, Cambridge, Massachusetts, December 1981 Opoku, A., Ahmed, V., Cruickshank, H., Vakhitova, T.V.: Rethinking conservation: managing cultural heritage as an inhabited cultural landscape. Built Environ. Proj. Asset Manag. 5, 217– 228 (2015) Myllyviita, T., et al.: Mixing methods-assessment of potential benefits for natural resources planning. Scand. J. For. Res. 29(1), 20–29 (2014) Mollica, E.: Le Aree interne della Calabria: una strategia e un piano quadro per la valorizzazione delle loro risorse endogene. Rubbettino, Soveria Mannelli (1996) Mollica, E.: Le aree interne della Calabria. Rubettino Editore, Soveria Mannelli (1997) Mollica, E.: Le politiche strutturali dell’unione Europea per la promozione dello sviluppo locale. Laruffa Editore, Reggio Calabria (1998) Nesticò, A., Maselli, G., Sustainability indicators for the economic evaluation of tourism investments on islands. J. Cleaner Prod. 248, Article no. 119217 (2020). https://doi.org/10. 1016/j.jclepro.2019.119217 Rosenhead, J., Mingers, J. (eds.): Rational Analysis for a Problematic World Revisited: Problem Structuring Methods for Complexity, Uncertainty and Conflict, 2nd edn. Wiley, Chichester (2001) Rössler, M.: World heritage cultural landscapes: a UNESCO flagship programme 1992–2006. Landscape Res. 31(4), 333–353 (2006) Saaty, T.L., De Paola, P.: Rethinking design and urban planning for the cities of the future. Buildings 7(3), 76 (2017) Stirling, A.: Analysis, participation and power: justification and closure in participatory multicriteria analysis. Land Use Policy 23, 95–107 (2006) Taylor, K., Lennon, J.: Landscape and meaning: context for a global discourse on cultural landscape values. In: Managing Cultural Landscapes, pp. 39–62. Routledge (2012) Taylor, K.: The historic urban landscape paradigm and cities as cultural landscapes. Challenging orthodoxy in urban conservation. Landscape Res. 41(4), 471–480 (2016) Van Herwijnen, M., Janssen, R.: Definite. In: Locket, A.G., Islei, G. (eds.) Improving Decision Making in Organizations. Springer, Berlin (1988) Voogd, H.: Multicriteria Evaluation for Urban and Regional Planning. Pion, London (1983)

Analysis of the Effects of Climate Change on the Energy and Environmental Performance of a Building with and Without Onsite Generation from Renewable Energy Giovanni Tumminia1(&), Francesco Guarino2, Sonia Longo2, Davide Aloisio1, Salvatore Cellura3, Francesco Sergi1, Giovanni Brunaccini1, Vincenzo Antonucci1, and Marco Ferraro1 Institute for Advanced Energy Technologies “Nicola Giordano”, Italian National Research Council, Salita Santa Lucia Sopra Contesse, 5, 98126 Messina, Italy [email protected] Engineering Department, University of Palermo, Viale delle Scienze, Ed. 8, 90128 Palermo, Italy 3 Department of Energy, Politecnico di Torino, Corso Duca degli Abruzzi 24, 10129 Turin, Italy 1

2

Abstract. Climate Change is a priority, due to the large variety of implications and importance that it may cause in the next decades. In this context, the building sector is a significant contributor to greenhouse gas emissions. For this reason, buildings should be designed in such a way that they are responsible for fewer GHG emissions. In this context, the paper analyses the potential impact of climate change on the energy performances of buildings, with and without onsite generation from renewable energy, using a prototype building located in Messina (Italy) as case study. The analysis is based on Intergovernmental Panel on Climate Change RCP scenarios and the results confirm the already known overall increase in total energy consumption of a building due to climate change, with a relative decrease in heating demand and increase in cooling demand. The analysis highlights that an active building (including onsite renewable energy generation) responds better to climate change than a passive building in terms of Global Warming Potential. The use of local energy storage will greatly improve the flexibility of the building to load-match and at the same time it could reduce CO2eq emissions. Keywords: Climate change


Renewable energy systems
Energy storage

1 Introduction Global warming is already showing his effects on the global environment and economy [1]. At the building level, the increase in air temperature could result in an increase of the building energy use. This will have consequences on our current understanding of optimal building and systems design for all zones of the world [2–5]. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1380–1391, 2021. https://doi.org/10.1007/978-3-030-48279-4_129

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Previous studies already analyze the effect of a warmer climate on building energy performances [6–9]. In this context, this paper aims at contributing to the body of knowledge on the effects of global warming on the building energy performances by investigating these effects on an existing building. Moreover, the study aims at performing the design of the building energy systems (photovoltaic (PV) systems and electrical storage systems) considering at the same time the effects of climate change and Global Warming Potential (GWP).

2 Methods The paper investigates the impact of climate change for a specific future time frame (2035) on the energy performances of a case study located in Messina (Italy). A building model was developed in TRNSYS environment [10]. Building simulations are run for the current situation using weather data from the EnergyPlus database [11] and for the year 2035 using generated future weather data according to two emission scenario developed in last Intergovernmental Panel on Climate Change (IPCC) assessment report (RCP2.6 and RCP8.5) [1]. Subsequently, the study aims at investigating the effect of climate change on different design alternatives of the energy systems (PV systems and electrical energy storage systems) to be used in the case study. Finally, in order to find trade-offs between the opposing tendencies of building energy performances and the necessity to limit the embodied carbon within building energy systems, the design alternatives identified are investigated from an environmental point of view (in terms of GWP). 2.1

The Building Model

The case study is a modular prefabricated housing unit in Messina at the National Research Council of Italy (CNR ITAE “Nicola Giordano”) [12]. The building, oriented at 117° east from south, has an area of 45 m2 (volume and S/V ratio equal respectively to 135 m3 and 2.75 m−1). It has the main façade almost fully glazed (U value equal to 1.1 W/(m2 K)) and the back one reaches 65% of window to wall ratio. U value is equal to 0.3 W/(m2 K) for all opaque surfaces. The building performances were analyzed with a subhourly detail (1 min time step) in TRNSYS environment [10] by using the conduction transfer function method for the envelope and the heat balance method to analyze the thermal zones. The HVAC system used in the building model includes an air-to-water interface heat pump (heating nominal capacity = 8.2 kW, cooling nominal capacity = 7.1 kW), a fan coil and a dual set point thermostat, using 20 °C and 26 °C as heating and cooling set-points. The building occupancy use modeled is residential and it includes two occupants. Electrical loads are caused by the lighting system, the home appliances (e.g. vacuum cleaner, dishwasher, washing machine, TVs, PC, fridge) and the HVAC system.

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Future Weather Data

Future climate weather data are constructed using climate change predictions in compliance with the two emission scenario developed in last IPCC assessment report (RCP2.6 and RCP8.5). In detail, RCP2.6 is a scenario that aims to keep global warming below 2 °C above pre-industrial temperatures and to pursue efforts to limit this increase to 1.5 °C through a nearly full decarbonisation of the economy, while RCP8.5 is a business as usual scenario, with no policy changes to reduce emissions (three times today’s CO2 emissions by 2100) [13]. The morphing method [14] was used to generate future hourly weather files for the city of Messina for the year 2035. This method allow to modify a hourly weather data for the desired site on the basis of monthly forecasted factors and disturbances to climate. In detail, it is based on three operations, which can be described as: • shift (Eq. (1)); • linear stretch (Eq. (2)); • shift and stretch (Eq. (3)) x ¼ x0 þ Dxm

ð1Þ

x ¼ am
x 0

ð2Þ

x ¼ x0 þ Dxm þ am
ðx0  hx:0 iÞ

ð3Þ

where the subscripts “0” identify current weather variables, while the subscripts “m” identify monthly future whether data. In detail, x is a future hourly climate variable, x0 is the hourly value of the current climate variable, Dxm and am are the absolute variation and the percentage variation of said climate variable due to climate change for month m, respectively, and is the monthly mean of the variable x0. 2.3

Design Alternative

In order to explore the effect of climate change of the solution sets used in the current design (PV system) and plan different solutions (electrical energy storage systems (ESS)) for the future ones, three different design alternatives were investigated: • Design alternative 1: PV system = 5.76 kWp; • Design alternative 2: PV system = 3.84 kWp; • Design alternative 3: PV system = 5.76 kWp and EES = 20 kWh. These design alternatives were selected among the 2,520 system configurations analyzed in a previous work by the authors [15], in which a novel design methodology for NZEBs, combining load match and grid interaction indicators with an environmental impact indicator, was proposed. In particular, the design alternative 1 (PV nominal power equals to 5.76 kWp) has been chosen as it is the nominal power currently installed on the existing building and moreover it represents the maximum PV power that can be installed on the building roof, while the case PV = 3.84 kWp has been selected, because on an annual basis it is the one that ensures the generation-load

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energy balance (LG balance) closest to zero. Finally, the system configuration PV = 5.76 kWp and ESS = 20 kWh has been selected, because it is the system configuration that shows the highest probability that the building is acting autonomously of the grid, represented by the indicator PE=0 calculated using Eq. (4). Rs2 PE¼0 ¼

s1

dtjneðtÞj\0 ð4Þ

s1  s2

where ne(t) is energy exchange between the building and the electrical grid, t is the time, s1 and s2 are the start and the end of the evaluation period, respectively. 2.4

Environmental Analysis

In order to evaluate the environmental impacts of the investigated systems, the Global Warming Potential (GWP) is calculated, expressed as kg of CO2eq/year, using Eq. (5). The IPCC impact assessment method [16] is used to quantify the GWP indicator. GWP ¼ Eimport
IGrid þ EPV
IPV þ

n
CESS
IESS m

ð5Þ

Where: EImport = yearly energy imported from the electricity grid (kWhe/year); EPV = yearly energy produced by the PV system (kWhe/year); n = number of the installed electrical energy storage system replacement during the system useful life; m = system useful life (year); CESS = nominal capacity of the installed electrical energy storage system (kWh); IPV = specific impact due to the production of a kWh of electricity from the PV system, considering also the inverter, including all the system life cycle stages, from the production stage to the end-of-life stage, according to a cradle-to-grave approach (kg CO2eq/kWhe); IGrid = specific impact due to the import of a kWh from the grid (kg CO2eq/kWhe); IESS = specific impact due to the production of the electrical energy storage system, considering also the inverter, referred to 1 kWh of capacity (kg CO2eq/kWh). Table 1 shows the values of the specific impacts used to calculate the GWP. They are from the Ecoinvent database [17]. Li-ion batteries are considered to evaluate the specific impact due to the production of the electrical energy storage system. Since the energy produced on-site and fed into the power grid is beyond the system boundaries, the impact potentially avoided due to the surplus energy fed into the electricity grid is not take into account.

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Heading level Unit Value Reference IGrid kg CO2eq/kWhe 0.27 Own assumptions base on (Terna and Snam 2019) IGrid kg CO2eq/kWhe 0.43 Own assumptions base on (Terna and Snam 2019) IPV kg CO2eq/kWhe 0.07 [17] IESS kg CO2eq/kWhe 82.51 [17]

In order to evaluate the specific impact due to the energy import of a kWh from the grid, the impact of the Italian national energy consumption mix was created using the Ecoinvent database and the provisional energy forecast scenarios for Italy created by Terna, the operator of the Italian high voltage transmission network [18]. In detail, the future scenario assumes sustainable economic growth, which accomplishes the achievement of 2030 targets (provided for in the Clean energy for all Europeans Package [19]) and the long-term indications on decarbonization. Table 2 shows the data used for both the modeled energy consumption mix, current and future. In particular, the future scenario envisages a reduction in the use of non-renewable sources, i.e. gas and coal which show a reduction of 11.8% and 4.5%, respectively. Table 2. Energy consumption mix scenario [14]. Coal and other non-renewable sources Gas Solar Wind Hydroelectric Other renewables energy sources Import from other nation

Today 14.16% 42.47% 7.23% 5.42% 10.84% 8.43% 11.45%

2035 2.33% 37.90% 15.74% 10.79% 16.91% 6.71% 9.62%

3 Results Table 3 shows the monthly average values of the dry-bulb temperature and the global horizontal radiation for the current climate data and for the results of future climates in 2035 considering the two RCP scenarios. In particular, for Messina the results show an increase of the yearly average temperature of around 8.8% for the RCP2.6 scenario and an increase of about 10.9% for the RCP8.5 scenario. Considering the scenario RCP8.5, the months that have the greatest increase of dry bulb temperature are March and February, in particular in these months temperature is expected to increase by 15.2% and 14.9% in 2035, respectively. For the same scenario, the global horizontal radiation in 2035 compared to the current situation will increase by an average of 3.6%, with a maximum increase of 9.2% for the month of February.

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Table 3. Monthly average values of dry-bulb temperature and global horizontal radiation.

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Year

Dry-bulb temperature [°C] 2035 (Sc. 2035 (Sc. RCP2.6) RCP8.5) 12.44 13.54 13.61 12.00 13.72 13.78 13.20 14.86 15.21 15.32 17.02 17.32 19.76 21.24 21.98 23.20 25.07 25.88 26.63 28.67 29.14 27.44 29.28 29.86 24.32 26.08 26.53 20.98 22.70 23.02 17.12 18.81 19.05 13.83 15.28 15.57 18.90 20.56 20.96

Global horizontal radiation Today 2035 (Sc. RCP2.6) 193.79 196.00 270.91 291.46 364.14 390.35 377.26 385.00 444.77 458.63 450.23 458.74 500.83 514.60 477.12 489.23 380.61 389.42 308.39 326.63 209.18 208.48 179.17 193.51 362.79 375.00

[Wh/m2] 2035 (Sc. RCP8.5) 201.33 295.72 393.33 390.23 456.59 459.62 511.52 488.86 393.82 321.07 209.67 192.50 375.86

The annual electricity demand is about 5290 kWhe (Table 4), and it is for the most part due to appliances (68.4%). Limited impact on the consumptions is due to space heating and cooling (24.1%) and lighting (7.5%). The electric energy demand for cooling is around 19.3 kWhe/m2, much higher than the heating demand (about 9 kWhe/m2). Table 4. Building energy demand of the base case.

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Year

Building energy demand [kWh] 451.61 396.35 391.21 374.16 432.96 454.67 549.98 572.11 449.84 424.43 374.22 418.62 5290.16

Appliances [%] 68.0 70.0 78.5 79.4 70.9 65.4 55.9 53.7 66.1 72.4 79.4 73.4 68.4

Lights [%] 9.8 8.5 8.5 7.6 6.3 5.1 4.4 4.9 7.0 8.9 11.1 11.0 7.5

Heating [%] 22.2 21.5 8.5 2.0 6.2 0.5 0 0 0.6 12.1 8.4 15.6 7.7

Cooling [%] 0 0 4.5 10.9 16.6 29.0 39.7 41.4 26.3 6.6 1.0 0 16.4

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Figure 1 shows the yearly (a) and the monthly (b) building energy demand for the current situation and for the future forecast (2035) for the two RCP scenarios. In detail, on an annual basis, the future building energy demand shows an increase of about 4.6% considering the RCP2.6 scenario and of about 6.1% considering the RCP8.5 scenario. However, as shown in Fig. 1c, the results indicate an increase in the cooling energy requirement of the building amounting to 36.6% for the scenario RCP2.6 and to 45.4% for the scenario RCP8.5. July is the month in which the increase of cooling energy demand is highest, in particular, it increases by 64.3 kWh considering the scenario RCP2.6 and 78.1 kWh considering the scenario RCP8.5. On the other hand, the heating energy requirement (Fig. 1d) is expected to decrease by 18.6% (RCP2.6) and 18.2% (RCP8.5).

Fig. 1. Yearly building energy demand (a), monthly building energy demand (b), monthly cooling energy demand (c) and monthly heating energy demand (d) for the current climate and for the future scenarios.

Table 5 shows the design results for the base case and for the design alternatives considering the current situation and the future scenarios. In detail, considering the current situation, as depicted for the PE=0 index, for the base case the yearly probability that the

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building is acting autonomously of the grid is about 24%, on the other hand the PE=0 index show clearly how installing a sufficient PV (design alternative 2 with LG balance = +89.5 kWh), or higher (design alternative 1 with LG balance = +2779.3 kWh), to cover the yearly building consumptions should imply a stress on the power grid (PE=0 = 12%). Finally, adopting batteries at building scale to balance the mismatch between demand and on-site generation shows how the yearly probability that the building is acting autonomously is increased (PE=0 = 79%). The results for future scenarios show that the increase in the building energy demand (4.6% for the RCP2.6 scenario and 6.1% for the RCP8.5 scenario) is coupled by the increase in PV energy generation due to an increase in solar radiation. For example, considering the alternative design 1 (PV = 5.76 kWp) and the RCP 8.5 scenario, the yearly renewable energy generation shows an increase of about 3%. This aspect, also linked to the fact that the increase in consumption for cooling occurs in the hours of greatest production of the PV system, means that the interaction with the power grid, as showed by the PE=0 indicator, does not undergo significant changes in the near future.

Table 5. Design results for the base case and for the design alternatives considering the current situation and the future scenarios (RCP2.6 and RCP8.5). PV [kW] Today Base Case 0 Des. Alt. 1 5.76 Des. Alt. 2 3.84 Des. Alt. 3 5.76 2035 (Sc. RCP2.6) Base Case 0 Des. Alt. 1 5.76 Des. Alt. 2 3.84 Des. Alt. 3 5.76 2035 (Sc. RCP8.5) Base Case 0 Des. Alt. 1 5.76 Des. Alt. 2 3.84 Des. Alt. 3 5.76

ESS [kWh]

Energy demand [kWh]

PV gen. [kWh]

LG balance [kWh]

PE=0 [%]

0 0 0 20

5290.2 5290.2 5290.2 5290.2

0 8069.4 5379.6 8069.4

−5290.2 2779.3 89.5 2779.3

24% 12% 12% 79%

0 0 0 20

5532.5 5532.5 5532.5 5532.5

0 8307.5 5538.3 8307.5

−5532.5 2775.0 5.8 2775.0

23% 12% 12% 80%

0 0 0 20

5610.6 5610.6 5610.6 5610.6

0 8306.1 5537.4 8306.1

−5610.6 2695.5 −73.2 2695.5

23% 12% 12% 80%

Figure 2 shows the environmental impacts (in terms of Global Warming Potential) calculated for the base case and the design alternatives considering the current situation and future scenarios. In particular, Fig. 2a shows the GWP considering for the future scenarios to 2035 the same energy consumption mix of the current situation, while Fig. 2b shows the GWP considering for the future RCP scenarios a future energy consumption mix.

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In particular, considering that the Italian national mix is not achieving full decarbonization in the near future, as shown in Fig. 2a, for all the examined system configurations the environmental impacts will undergo an increase due to an increase in consumption and energy imported from the network. The only exception is design alternative 3 (PV = 5.76 kWp and ESS = 20 KWh). In particular, for this system configuration the impacts show a slight reduction in the environmental impacts in the future scenario (e.g. considering the RCP8.5 scenario a variation of −1.4% compared to the current situation). Design alternatives 1 and 2 show that the use of renewable energy produced on site allows to reduce the Global Warming Potential. However, oversizing the PV system (design alternative 1) does not show significant reduction compared to a smaller size PV system, only sufficient to cover the yearly building consumptions (design alternative 2). On the other hand, the electrical storage system allows a significant reduction of environmental impacts, for example, considering the current situation, the GWP show a reduction of about 58% in compared to the base case. As shown in Fig. 2b, if the energy production mix will undergo a significant decarbonisation in the near future, the coupling of a storage system to the PV system is still the best alternative to reduce GHG emissions during the operation of the system. In particular, design alternative 4 considering the future scenario RCP8.5 shows a reduction of GWP of about 59% compared to the base case in the current situation.

Fig. 2. GWP for the base case and for the design alternatives considering the current climate and the future scenarios.

Finally, in order to demonstrate that the proposed approach allows to assess a wide range of impact categories, Table 6 shows four different environmental impacts category (abiotic depletion potential (ADPe), ozone layer depletion potential (ODP), photochemical oxidation potential (POCP) and acidification potential (AP)) for the base case considering both the current energy production mix e the future improvement in the energy production mix.

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Table 6. Environmental impacts for the base case. Unit

Current energy production mix Today

2035 (Sc. RCP2.6) 4.26E−03 4.45E−03 3.08E−04 3.22E−04

ADPe kg Sbeq ODP kg CFC-11eq POCP kg C2H4eq 3.95E−01 4.13E−01 AP kg SO2eq 1.49E+01 1.56E+01

the energy

2035 (Sc. RCP8.5) 4.52E−03 3.27E−04

Future improvement in production mix Today 2035 (Sc. RCP2.6) 4.26E−03 2.23E−03 3.08E−04 2.62E−04

4.19E−01 1.58E+01

3.95E−01 2.22E−01 1.49E+01 9.30E+00

2.25E−01 9.43E+00

2035 (Sc. RCP8.5) 2.26E−03 2.66E−04

4 Discussions and Conclusions The transition towards a low-carbon energy system is quickly becoming an important target of scientific efforts and research. This will entail the profound transformation of all main sectors responsible for emissions – power generation, industry, transport, buildings and agriculture – through steeply reducing carbon intensity according to their technological and economic potential. The decarbonisation of the building sector plays a key role in achieving long-term temperature stabilization goals. While the technologies to reach a low-carbon building sector already exist, the potential impact of climate change to the building sector is so large that trying to identify future trends and potential roads towards decarbonisation are fundamental for a sustainable future. Moreover, climate change could only worsen current issues typical of high performance buildings such as overheating even in non-traditionally cooling dominated countries, coupled with a very large increase in power generation for cooling. In this context, designing energy-efficient buildings is an important step toward preventing more drastic warming. However, the results show that oversizing the PV system shows that the building self-sufficiency does not undergo significant improvements, moreover it could be not the best way to reduce carbon emissions of the building sector. On the other hand, introducing on-site energy storage (even if the paper investigated lithium ion batteries as electrical storage technology) will greatly improve the flexibility of the building to load-match, while reducing reliance on the grid in times of low generation. Moreover, the results show that storage system could reduce the CO2 emission even if the national energy production mix will not show any improvement.

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Energy and Environmental Assessment of Heritage Building Retrofit Marina Mistretta1(&) , Francesco Guarino2 and Maurizio Cellura2 1

,

Mediterranea University, 89124 Reggio Calabria, Italy [email protected] 2 University of Palermo, 90128 Palermo, Italy

Abstract. In the transition to a low-energy economy, the building stock renovation should address the reduction of the environmental impacts, by means of suitable energy retrofits oriented to meet current energy efficiency regulations, construction guidelines, and standards on comfort and operation. With regard to the historic segment of the building stock, suitable refurbishment policies are needed to avoid the loss of their heritage values, even if this is a complex issue requiring interdisciplinary approaches, dedicated diagnostic procedures, and specific tools. In this paper a suitable method for energy and environmental assessment specifically devoted to historical building retrofit, following a life-cycle approach, is proposed. The method allows to assess the energy saving for building operation arisen from the retrofit actions, the increase of the embodied energy and the environmental impacts within the building life-cycle, and to understand whether the achieved energy benefits could be supported in a lifecycle perspective or were overcome by the environmental burdens of the actions. This method could be used to support public policies that would encourage the preservation of cultural value buildings, allowing for the assessment of the most effective actions addressed to save energy and to minimize environmental impacts along the whole building life-cycle. Keywords: Buildings


Embodied energy
LCA

1 Introduction According to the International Energy Agency, the building sector accounts for 36% of final energy use and 39% of energy and process related carbon dioxide emissions in 2018, with an 11% of this total being caused by manufacturing of building materials or, in other words, being energy “embodied” in the building envelope and energy systems [1]. Furthermore, the environmental impacts of the building stock operation are also relevant, with particular regard to the energy consumption. Low quality construction characterized by thin envelopes in a country where cooling is particularly relevant, low efficiency heating, ventilation and air conditioning systems, limited structural properties prone to damage in case of earthquakes, are only some of the features that characterize a significant share of the building stock in Italy [2]. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1392–1401, 2021. https://doi.org/10.1007/978-3-030-48279-4_130

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Looking at the Sustainable Development Goals (SDG) [3], with regard to the building sector, a raise in the know-how of practitioners is expected as well as the creation of interaction between different professionals in different domains, in order to raise awareness on sustainable building design. Thus, to be aware of the following issues becomes of paramount importance: – A well designed sustainable building needs less energy than a conventional counterpart during its use and life cycle (SDG 7). – To develop innovation and to contribute to climate resilience (SDG 9). – Life Cycle Thinking inspires the actions of the network, under the principles of circular economy (SDG 12). – Sustainable buildings consume less energy and environmental resources and cause lower greenhouse gases emissions (SDG 13). In the transition to a low-carbon society, the building stock requalification, through rehabilitation of existing buildings, could aim towards a reduction of the environmental impacts, by means of energy retrofits oriented to meet current energy efficiency regulations, construction guidelines, and standards on comfort and operation [4]. Among existing buildings, the historic ones play a significant role, since there is a growing need to adapt them to comply with increasingly strict environmental and energy performance requirements. Such a need poses a conflict between the observation of the restoration and conservation principles and the legislation requirements on energy saving. However, the valorization and sustainable management of historic buildings is a topic relevant to the cultural identity and heritage of European cities [5]. A rational strategy to preserve them should consider both the energy and environmental perspectives while retrofitting, even if this is a complex issue requiring interdisciplinary approaches, dedicated diagnostic procedures, and specific tools [6]. The EN 16883:2017 standard [7] provides guidelines to improve the energy performance of historic buildings, while respecting their heritage significance, but it leaves a gap in how the energy performance evaluations in these types of buildings can be defined [8]. Within this context, this paper intends to contribute to the state of art, proposing a method for energy and environmental assessment specifically devoted to historical building retrofit, following a life-cycle approach. This method could be used to support public policies that would encourage the preservation of cultural value buildings.

2 The Role of the Life Cycle Approach to Assess the Energy and Environmental Performance of Historic Buildings: The LCA Methodology When combined with preservation policies for historical buildings, architectural rehabilitation retains and promotes an important social capital: the built heritage [9, 10].

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However, the inclusion of the built heritage preservation among sustainable practices and the development of public policies for such, should take into account environmental aspects as well. Due to the environmental loads arisen from both architectural conservation and retrofit activities, any retrofit or refurbishment is energy and environmentally suitable if the related impacts are lower than the energy and environmental impacts of its demolition and the construction of a new building [11, 12]. As consequence, an exhaustive assessment of the building impacts may not neglect energy consumption, exploitation of natural resources and pollutant emissions of its life-cycle [13]. The assessment of the whole building life-cycle is essential to evaluate the feasibility of rehabilitation, in terms of sustainability and eco-design of building rehabilitation [14]. In such a context, the Life Cycle Assessment (LCA) methodology represents a useful tool to evaluate resource exploitation and environmental releases related to the full life-cycle of buildings.

3 LCA for Historic Building Retrofit Any measures voted to reduce the operating energy demand measures could lead to an increase in embodied energy and environmental burdens of buildings, which is embedded in building materials, transportation and construction processes, and in the energy needed for demolition (disposal/recycling) [15]. Therefore, LCA is a useful methodology to carry out a reliable and complete building environmental impact assessment and to evaluate the embodied energy of the retrofit actions. The above considerations are valid also for historic buildings, for LCA allows to estimate the eco-profile of the retrofit actions and to assess the building energy consumption after the retrofit. Thus, a life cycle approach can support the selection of the best retrofit actions, which are voted to increase the energy efficiency of building. In the next sections, authors describe a methodology, which can be applied to assess the energy and environmental impacts of retrofit measures in historic buildings. This procedure is presented in compliance with the international standards of the ISO 14040 series [16]. 3.1

Goal Definition

When retrofit measures are planned to increase the energy efficiency and the operating energy consumption of a historic building, LCA methodology aims at carrying out the eco-profile of such measures [17]. In detail, it is addressed: – To assess the life-cycle energy and the environmental impacts arisen from the production, transportation and installation phases of the retrofit measures. – To quantify the net energy saving involved by the implementation of the designed retrofit measures, by means of proper monitoring activities and thermal simulation of the building. – On the basis of the energy operating consumption before retrofit, to evaluate whether the achieved post-retrofit benefits in terms of energy saving and could be confirmed from a life-cycle perspective or are overcome by the broader environmental impacts. To this aim, payback indices should be calculated.

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– To point out the changes in relative relevance of operating and embodied energy in the building lifecycle. 3.2

Functional Unit and System Boundaries

Since the LCA methodology follows a relative approach, it does not present potential energy and environmental impact results for the entire system under study. Rather it provides these results related to the output of production or use of the system under study. This output is defined as the Functional Unit (FU), and represents the performance unit of a product system, to which all collected data and results must be referred [16]. The definition of a functional unit must be compatible with the function of the examined system and can be considered as an index of the performance of the system itself, or of the service rendered to the user. With regard to the LCA of retrofit measures for historic building, since the function is of performance type, that is the reduction of energy consumption in the building operation, a suitable selection of FU is the measure itself. For instance, if thermal insulation of envelope is the retrofit goal, the environmental impact of the given insulating material can be referred to the mass of the material or to its surface, or even to the thermal performance of the material itself. Further, in case of the installation of alternative energy using systems and renewable energy technologies for heating, hot water and electricity generation, the nominal power or the energy production can be selected as FU. The system boundary definition is the identification of the process units or phases to be analysed within the product system. These choices depend on the goals of the analysis and on the constraints in terms of data and sources availability. In a LCA study of historic buildings retrofit, embodied energy and environmental impacts involved in the production step of the retrofit materials/components and energy systems must be assessed, including the resource supply, manufacturing processes, and transports. The contribution to the building eco-profile must be calculated referring to the manufacturing process of the material/components and plants involved in the retrofit scenarios. The end-of-life of the retrofit components must be assessed as contribution to the end-of-life of the renovated building, based on its lifespan. 3.3

Life Cycle Inventory (LCI) and Data Quality

The Life Cycle Inventory (LCI) analysis is performed to quantify the environmental significance of the inputs and outputs of the examined system, by means of mass and energy balances of the selected FU. According to the general framework provided by ISO 14040, in the LCI step, material and resource inputs and outputs in each unit process included in the system boundaries are calculated, including raw materials, energy and water resources, and environmental releases, referred to the selected FU. Input data can be: – primary data, which are collected by infield enquiry; – secondary data, which can be derived from international databases or literature studies.

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The parameters that characterize data quality are geographic, temporal and technological representativeness, completeness, consistency, reproducibility, and uncertainty level. Data quality affects the reliability and the robustness of the whole LCA study. Fuel consumption and air emissions in the transport steps are estimated, depending on the transport modes and the distance between manufacturing sites and installation site of the retrofit measures (material/components and energy plants). Outcomes are reported in the so-called Inventory Table, which contains the raw materials, energy and water, as input, and the air, water, and soil emissions, and wastes, as outputs, referred to the selected FU. 3.4

Life Cycle Impact Analysis (LCIA)

When the eco-profile of building retrofit actions is determined according to a life-cycle approach, the Life Cycle Impact Analysis (LCIA) is carried out in order to assess the energy and environmental impacts of such actions, by means of suitable and meaningful indicators. LCIA allows for identifying the contribution of each life cycle phase to the global impacts and the hotspots of impacts along the whole life-cycle. To this end, LCI results are classified and characterized in order to determine suitable indicators relating to the selected environmental impact categories. Table 1 shows the environmental impact indicators from the ILCD 2011 impact assessment method [18].

Table 1. Energy and environmental impact categories. Impact assessment category Nomenclature/Unit Climate change CC (kgCO2eq) Ozone depletion ODP (kgCFC−11eq) Human toxicity, cancer effects HT-ce (CTUh) Human toxicity, non-cancer effects HT-nce (CTUh) Particulate matter PM (kg PM2.5eq) Ionizing radiation HH IR-hh (kBqU235eq) Ionizing radiation E (interim) IR-E (CTUe) Photochemical ozone formation POFP (kgNMVOCeq) Acidification AP (molH+eq) Terrestrial eutrophication EUT (molNeq) Freshwater eutrophication EUF (kgPeq) Marine eutrophication EUM (kgNeq) Freshwater ecotoxicity EFw (CTUe) Land use LU (CTUe) Water resource depletion WRD (m3watereq) Mineral, fossil & renewable resource depletion ADP (kgSbeq) Global Energy Requirement GER (MJ)

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The set of the environmental indicators represents the ecoprofile of the selected actions and provides information about the significance of the related environmental impacts. The life-cycle primary energy consumption, expressed by Global Energy Requirement (GER), takes into account all the losses arisen from raw material extraction and resource supply, process, and delivery. Further, GER requires the assessment of the fossil fuels and electricity use, based on the different efficiencies in end uses (heating, hot water generation, lighting, etc.) [18]. In detail, GER can be calculated by means of a Life Cycle Energy Analysis (LCEA), taking into account the contribution to primary energy use of each stage of the life cycle of a building, when compared to the entire life cycle of the building. It encompasses all the steps related to the production of construction materials and energy systems production, also including the raw material extraction and resource supply and transport to the construction site, building erection and installation process, operation, maintenance/refurbishment and end-of-life. Thus, all the energy inputs required to produce the components, materials and services needed for the manufacturing process are calculated. In detail, it can be described by Eq. (1): Et ¼ EEi þ Eo þ EEr þ Eeol

ð1Þ

where: – Et represents the total primary energy consumed during the whole life cycle of a building [MJ]; – EEi represents the initial embodied energy, that is primary energy consumed during the building materials and equipment production step, the construction of the building and the all the associated transport step [MJ]; – Eo is the primary energy consumed during the building operation [MJ]; – EEr represents the recurring embodied energy, that is the primary energy related to the building maintenance/retrofit [MJ]; – Eeol represents the primary energy consumed for the building disassembly, waste management and related transport. The assessment of the above items is significant in the building energy balance and allows to identify the highest impacting phases and to highlight how a variation of energy consumption in a phase can affect the other ones. When the energy performances of a building increase by means of retrofit actions, environmental burdens changes and additional materials and components are applied, resulting in a higher embodied energy [19]. Thus, it is useful to assess the life-cycle environmental impacts and the embodied energy of the retrofit measures, and the post retrofit building energy consumption. In this case, proper design and material/ component selection of the retrofit actions are critical to minimize the related environmental impacts. Embodied Energy. The embodied energy of a building is the sum of the initial embodied energy EEi and the recurring one EEr, above defined.

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The initial embodied energy EEi is estimated as the energy content, valued as primary energy, of the building materials and components, and technical installations. All the steps from the raw material acquisition to manufacturing processes are included in EEi. Energy consumption, owing to the transportation from the manufacturing gate to the construction, and to the erection step is also included in EEi. Thus, the following equation can be used to assess EEi: EEi ¼

X j

mj Ej þ Ec

ð2Þ

where: – mj is the amount of the jth material or component [kg]; – Ej is the primary energy consumed for the production of 1 kg of the jth material or component [MJ/kg]; – Ec is the primary energy consumed during the building construction step [MJ]. The recurring embodied energy EEr represents the primary energy consumption related to the maintenance and/or refurbishment of some building components and technical installations. It is estimated as the sum of the embodied energy related to the replacing materials and components, and the primary energy directly consumed during the step. One or more replacement must be considered for all the building components with shorter lifespan. With regard to the replacements, any variation of performance for the new installations should be quantified, according to a dynamic approach that takes into account the innovation of technologies. Transports of the replacing materials and components from the factory gate to the building site are also included in the EEr. Said that, EEr can be estimated with the following equation: EEr ¼

X



 tb mE  1 þ EM j j j t m

ð3Þ

where: – mj is the amount of the jth material or component used in the retrofit [kg]; – Ej is the primary energy consumed for the production of 1 kg of the jth material or component used in the retrofit [MJ/kg]; – tb and tm represent the lifetime of the building and of the replacing material or component, respectively [years]. – EM is the primary energy consumed during the building maintenance/retrofit step [MJ]. Operating Energy. The operating energy is assessed as the primary energy consumed for end-uses, such as heating, cooling, domestic hot water (DHW), lighting and appliances in general, considering the whole building lifespan. Such consumption depends essentially on the thermal performances of the building envelope, the climate, the energy efficiency and the user behavior. Then, the assessment of the operating

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energy derives from the outcomes of proper energy monitoring activities. Suitable thermal simulations allow to quantify the energy flows and the thermal loads and to assess the energy performances of the building. Demolition Energy. The demolition energy includes all the processes that occur in the end-of-life of the building. It is estimated taking into account the steps of dismantling and disposal/recycling of the C&D waste, depending on the distance from the building to the site of disposal/recycling. All the energy consumption and environmental impacts due to transportation, demolition and eventual recycling operations must be calculated. The demolition energy must also include the end-of-life of the replaced components in the refurbishment phase. The saved energy arisen from the avoided use of virgin raw materials, owing to the material recycling, should be taken into account. The transportation of C&D wastes to recycling plants and/or disposal sites is also included in the demolition energy. 3.5

Energy and Environmental Benefits of the Retrofit Actions

In order to quantify the benefits of proper retrofit actions designed to improve the energy efficiency of historic buildings, life-cycle energy and environmental impacts induced by such actions must be compared with the related saved primary energy and the avoided environmental impacts. To this end, a dynamic simulation of the building is useful to determine the reduction of primary energy consumption during the operation step induced by retrofit interventions, with reference to both thermal and electrical uses. Based on the results of the LCA and the thermophysical simulation of the building, energy and environmental payback indices can allow you to estimate how long the primary energy consumption and the environmental impacts are “recovered” with the implementation of the retrofit actions. In order to get a deeper description of the energy performance of the retrofit actions and to compare different alternatives, the following payback indices should be added to the impact indicators, defined in Table 1: the Energy Payback Time, the Emission PaybackTime, and the Energy Return Ratio [17]. In detail, the Energy Payback Time (EP,T) of a building retrofit action is the time needed to save as much energy (assessed as primary) as that consumed during all the life cycle phases of each retrofit component/material/technology. EP;T ¼

GER : Es;y

ð4Þ

where GER is calculated with regard to the life cycle of the retrofit action (GJ), and Es, y is the yearly saving of primary energy due to the retrofit action(GJ/year). The Emission Payback Time (EmPT) is the time during which the avoided environmental impact by the application of the retrofit actions is equal to those released during the life-cycle phases of each component. With regard to the Climate Change impact the EmPT is defined as:

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EmPT;CC ¼

CC CCa;y

ð5Þ

where CC is calculated with regard to the life-cycle of each retrofit action (kgCO2−eq), and CCs,y is the CC avoided yearly after the retrofit (kgCO2−eq/year). It depends on Es,y and on the reference emission factor of the electricity mix and national gas-fired heating plants. The following Energy Return Ratio (ER) represents how many times energy saving exceeds global energy consumption: ER ¼

Es GER

ð6Þ

where ES is the total saving of primary energy during the lifespan of each retrofit action (GJ). The extent of the energy and achievable environmental benefits and the connected return times allow to evaluate the opportunity, both in terms of primary energy savings and avoided impacts, of the implementation of retrofit interventions on a historic building.

4 Conclusions When a historic building undergoes energy retrofit, the inclusion of the built heritage preservation among sustainable practices and the development of public policies for such, must take into account environmental aspects to assess. The assessment of the whole building life-cycle is essential to evaluate the feasibility of rehabilitation, in terms of sustainability and eco-design of building rehabilitation for the energy performance increase, to deal with global energy and environmental benefits related to the designed retrofit. Current European standard provides guidelines for sustainably improving the energy performance of historic buildings, without any consideration about life-cycle. In this paper, a life-cycle energy and environmental approach was presented to assess the eco-profile of retrofit actions for historic buildings. Such an approach allows to assess the energy saving for building operation arisen from the retrofit actions, the increase of the embodied energy and the environmental impacts within the building life-cycle, and to understand whether the achieved energy benefits could be supported in a life-cycle perspective or were overcome by the environmental burdens of the actions. This method could be used to support decision making for allowing for the assessment of the most effective actions addressed to save energy and to minimize environmental impacts along the whole building life-cycle.

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References 1. International Energy Agency: Global status report for buildings and construction, Paris (2019) 2. Guarino, F., Cellura, M., Longo, S., Gulotta, T., Mistretta, M., Tumminia, G., Ferraro, M., Antonucci, V.: Integration of building simulation and life cycle assessment: a TRNSYS application. Energy Procedia 101, 360–367 (2016) 3. Sustainable Development Solution Network: Sustainable development report, June 2019. www.github.com/sdsna/2019USCitiesIndex 4. Almås, A.-J., Lisø, K.R., Hygen, H.O., Øyen, C.F., Thue, J.V.: An approach to impact assessments of buildings in a changing climate. Build. Res. Inf. 39(3), 227–238 (2011) 5. Norrström, H.: Sustainable and balanced energy efficiency and preservation in our built heritage. Sustainability 5(6), 2623–2643 (2013) 6. Mazzola, E., Dalla Mora, T., Peron, F., Romagnoni, P.: An integrated energy and environmental audit process for historic buildings. Energies 12, 3940 (2019) 7. CEN: EN 16883 Conservation of cultural heritage - Guidelines for improving the energy performance of historic buildings (2017) 8. Galiano-Garrigós, A., González-Avilés, A., Rizo-Maestre, C., Andújar-Montoya, M.: Energy efficiency and economic viability as decision factors in the rehabilitation of historic buildings. Sustainability (Switzerland) 11(18), 1–27 (2019) 9. Berg, F., Fuglseth, M.: Life cycle assessment and historic buildings: energy-efficiency refurbishment versus new construction in Norway. J. Archit. Conserv. 24(2), 152–167 (2018) 10. Munarim, U., Ghisi, E.: Environmental feasibility of heritage buildings rehabilitation. Renew. Sustain. Energy Rev. 58, 235–249 (2016) 11. Baek, C., Park, S.: Policy measures to overcome barriers to energy renovation of existing buildings. Renew. Sustain. Energy Rev. 16, 3939–3947 (2012) 12. Power, A.: Does demolition or refurbishment of old and inefficient homes help to increase our environmental, social and economic viability? Energy Policy 36, 4487–4501 (2008) 13. Cellura, M., Guarino, F., Longo, S., Mistretta, M.: Modeling the energy and environmental life cycle of buildings: a co-simulation approach. Renew. Sustain. Energy Rev. 80, 733–742 (2017) 14. Torgal, F.P., Mistretta, M., Kaklauskas, A., Granqvist, C.G., Cabeza, L.F. (eds.): Nearly Zero Energy Building Refurbishment A Multidisciplinary Approach, pp. 1–658. Springer, London (2014) 15. Cellura, M., Guarino, F., Longo, S., Mistretta, M., Orioli, A.: The role of the building sector for reducing energy consumption and greenhouse gases: an Italian case study. Renew. Energy 60, 586–597 (2013) 16. ISO: ISO 14040 Environmental management—Life Cycle Assessment—Principles and Framework. International Organization for Standardization (2006) 17. Beccali, M., Cellura, M., Fontana, M., Longo, S., Mistretta, M.: Energy retrofit of a singlefamily house: life cycle net energy saving and environmental benefits. Renew. Sustain. Energy Rev. 27, 283–293 (2013) 18. Frischknecht, R., Jungbluth, N., Althaus, H.J., Bauer, C., Doka, G., Dones, R., Hischier, R., Hellweg, S. Humbert, S., Köllner, T., Loerincik, Y., Margni, M., Nemecek, T.: Implementation of life cycle impact assessment methods. Final Report Ecoinvent Swiss Centre for Life Cycle Inventories, Dübendorf, CH (2007) 19. Mistretta, M., Beccali, M., Cellura, M., Guarino, F., Longo, S.: Benefits of refurbishment. In: Pacheco, T.F., Mistretta, M., Kaklauskas, A., Granqvist, C., Cabeza, L. (eds.) Nearly Zero Energy Building Refurbishment: A Multidisciplinary Approach, pp. 99–117. Springer, London (2013)

Recent Trends in Sustainability Assessment of “Green Concrete” Patrizia Frontera1,2 , Angela Malara1(&) and Marina Mistretta3

,

1 Civil Engineering, Energy, Environmental and Materials Department, Mediterranea University of Reggio Calabria, 89134 Reggio Calabria, Italy [email protected] 2 Consorzio Interuniversitario per la Scienza e la Tecnologia dei Materiali—INSTM, 50121 Florence, Italy 3 Department of Heritage, Architecture, Urbanism (PAU), Mediterranea University of Reggio Calabria, 89124 Reggio Calabria, Italy

Abstract. In the last years, the use of wastes and/or recycled materials in the design of mix conglomerates lets to define the “green concrete”. It can be described as a composite material in which high levels of cement can be replaced by recyclable industrial and agricultural wastes. As a consequence, this mixed material is produced by reducing energy consumption, environmental impact and sustainable utilization of energy. In this view, literature shows that many recent studies focused on the investigation of the green concrete, highlighting the importance of developing environmental impact analyses able to confirm the sustainability of this material. Then, in order to evaluate the environmental performance, life cycle assessment, appears a key methodology. Therefore, the aim of this work is to analyze and review recent studies focusing on the quantification of the environmental impacts of “green concrete” in order to identify the critical aspects of the life cycle assessment analysis. Keywords: Green concrete


Life Cycle Assessment
Recycled materials

1 Introduction Concrete is the most common material employed in building industry used for housing and infrastructure. A key component of concrete is the cement; its processing requires a high level of energy consumption, and thus the chemical, mechanical and thermal processes involved in the cement production are large sources of carbon dioxide emission. To date the main strategy for reducing CO2 emissions consisted in blending Portland cement in a concrete mix with alternative materials, which can be by-product from other processes and/or wastes. In addition, aggregates and fillers of the concrete can be partially substituted by recycled materials. The use of wastes in the design of mix conglomerates defines the “green concrete” as a composite material produced by reducing energy consumption, environmental impact and sustainable utilization of © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1402–1412, 2021. https://doi.org/10.1007/978-3-030-48279-4_131

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energy [1]. Moreover, the use of waste materials as cement substitute and/or full replacement of natural materials, such as sand or aggregates, reduces the extra load in landfills for the disposal of waste materials. Therefore, there has been a flourishing of the experimental research focused on the possibility to use recycled materials in order to define the “green concrete”, potentially “green” just for the high levels of cement replacement and/or the use of recycled materials in the mix design. A tool to quantify the acclaimed environmental benefit is the Life Cycle Assessment (LCA) that can provide a quantification of the influence of the concrete over a broad range of environmental impact, unlike other indices quantifying only the avoided cement-related CO2 emissions [2, 3]. The purpose of this work is to review and analyze recent studies dealing with the quantification of the environmental impacts of “green concrete” and focused on the material, in order to identify the critical aspects, among the many possible options, when LCA is applied.

2 “Green Concrete” an Oxymoron or Potentiality? Green concrete was initially developed in Denmark in the year 1998 [3] and was produced as to lessen impacts on the environment. Ordinary concrete is a composite material constituted by cement, aggregate (coarse and sand), water and admixtures; in the case of reinforced concrete, the steel is a material component too. Therefore, the intrinsic formulation of concrete is not ecofriendly. In fact, each component requires “mandatory” large consumptions of natural resources (minerals, as clays and kaolin, for cement production; calcareous and silicic ores for aggregates; water) and large consumptions of energy (in the manufacturing step, mainly for cement and steel production; in the transportation step; for the construction and maintenance; at the end of life, for both demolition and recycling), (Fig. 1). To date, despite its polluting characteristics, it is unthinkable to replace concrete with other more sustainable materials, able to exhibit comparable mechanical resistance and durability. Moreover, the malleability of concrete gives the possibility to the “designer man” to exercise the function of “creator”, as the architect Pierluigi Nervi said: “The fact of being able to create cast stones, of any shape, superior to the natural ones since they are able to withstand tension, has something magical in it” [4]. At the same time, the rapid urbanization and economic development of growing countries (i.e.: Southeast Asia, sub-Saharan Africa) let to an increase of the demand for new buildings, infrastructures for sanitation, transport, then the focusing on building materials is a key plan for global energy saving [5]. It appears mandatory to make a “concrete” change of the ordinary concrete and, undoubtedly, the evolution of this material to a “green” concrete is an ambitious issue.

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In order to obtain a “green” or an “eco” concrete, two strategies can be essentially followed: – linked to the manufacturing phase: • Improvement of the efficiency of cement processes [6] • Use of renewable energy resources related to energy consumption [6] • New technologies included the CCS strategy [7] – linked to materials: • Replacement of cements [8] • Use of waste as aggregates [1, 9] • Development of new materials [10] The simultaneous adoption of these two strategies in the concrete industry can result in the potential reduction of environmental impacts.

Fig. 1. Scheme of the system boundaries for the LCA of concrete.

However, more than 50% of concrete emissions are linked to the cement process of production, specifically the raw clinker [11]. In the last years, researches have been concentrated upon the substitution of clinker with other materials, preferably byproducts of other processes. The reduction of the clinker content in the composition of

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cements, achievement set out by the 2018 Technology Roadmap (average global clinker ratio of 0.60 by 2050), will potentially allow to mitigate 0.2 gigatonnes of CO2 in 2050 [12]. This is an “old” idea since mixed cements, such as blast furnace cements or limestone cements, have been implemented from the middle of the last century. Instead, the novelty is the use of recyclable wastes, derived from industrial and agricultural wastes, also used to replace aggregates. Recyclable industrial and agricultural wastes, can be used in concrete production. Among these, fly ash (FA), rice husk ash (RHA), silica fume (SF), Sewage sludge ash (SSA) and other pozzolan ashes can be introduced as cement replacements, while recycled coarse aggregates is an alternative to the natural coarse aggregates [13, 14]. Ground granular blast-furnace slag (GGBFS), waste glass (WG), plastic (P), and several agricultural and aquacultural by-products are represented as both cement and/or aggregate substitutes too [13, 14]. A “green” alternative to the ordinary concrete is represented by geopolymers and alkali active concrete (AAC). These inorganic materials, rich in Al-Si compounds, are manufactured from materials derived from geological sources or from by-product materials like GGBS, Metakaolin (Mk), rice husk ash (RHA) and different kinds of fly ash. These Al-Si materials have to react with strong alkali solutions, such as Sodium hydroxide (NH), Potassium hydroxide (KH), Sodium silicate (NS) or Potassium silicate (KS) in oven-dry curing and steam curing at 60–90 °C [15]. Then, in order to evaluate the environmental performance of claimed “eco” or “green concrete”, LCA, appears a key methodology and a powerful tool for decision makers.

3 Life Cycle Assessment as Tool to Analyse the Environmental Impacts of “Green Concrete” 3.1

Life Cycle Assessment Framework

LCA has been used in the building industry since 1990 in order to assess the environmental performance of constructions [14, 16]. It is an analysis technique used to assess environmental impacts associated with all the stages of a product’s life, that is to say, from raw material extraction through materials processing, manufacture, distribution, use and end of life [17, 18]. According to ISO 14040 and 14044 standards, LCA is organized in four distinct phases [17, 18]: Phase 1: The first phase of an LCA is the definition of the goal and scope. In this step all general decisions for setting up the LCA system are made. Phase 2: In this step, inventory analysis gives an identification and quantification of energy, water and materials used and environmental releases. Environmental releases may be solid waste, air emissions and waste water discharges. Phase 3: The Life Cycle Impact Assessment (LCIA) identifies and evaluates the amount and significance of the potential environmental impacts arising from the LCI. Inputs and outputs are first assigned to impact categories and their potential impacts quantified according to characterization factors. The indicators resulted from all impact categories are detailed in this step; the importance of each impact category is assessed by normalization and eventually also by weighting.

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Phase 4: Interpretation of a life cycle involves critical review, determination of data sensitivity, and results presentation. The use of LCA analysis can help in the following: • the research of the most available life cycles, such as those characterized by the least negative impact on environment; • the definition of direction and priorities in strategic planning (product design or process change) in industries and public organizations; • the choice of indicators of environmental behaviour of organization, including measurement and assessing techniques, • the determination of marketing approaches regarding environmental declaration or eco-labelling. 3.2

Review of Recent LCA Analysis to Assess the Environmental Impacts of “Green Concrete”

The “life cycle” of a “green concrete” refers to the major activities throughout the product’s life, spanning from its manufacture, use and maintenance, to its final disposal, including the raw materials extraction required for the manufacturing process. The boundaries of the system (Fig. 1) can be defined by three approaches: – “cradle to gate” approach takes into account the environmental impacts promoted only by the manufacturing of concrete, from raw materials extraction to the final product, until the exit from factory. – “cradle to grave” approach includes, additionally, the exit of the concrete product from the gate of the factory, and the use, maintenance, repair and demolition phases. – “cradle to cradle” approach involves all phases mentioned above and the recycling and extensive reuse of wastes. In order to carry out the review of LCA analysis used in the “green concrete” manufacturing, the conglomerate can be classified in three categories following the criteria of the use of alternative materials (waste or recycled) instead of cement, aggregate or even the concrete itself. The literature review was performed using the international scientific database “Science Direct” that covers a considerable range of the most important journals in the field of environmental sustainability. The search was carried out in Science Direct using the word “LCA” and separated by the word “green or eco or sustainable concrete” (e.g. “green concrete” and “LCA”). The search was done in “all fields”, a search type available in the database used; successively, the research was refined by type of concrete. The studies considered are those published after 2017, in order to evaluate the more recent researches. Concerning to the first phase of LCA, the purpose of each researches examined are the increasing of sustainability in the concrete manufacturing. In order to carry out this evaluation, most of LCA studies consider a comparative analysis between “traditional” concrete and potentially “green” concrete. The most commonly boundary system is “cradle to gate”, that allows to assess the environmental profile of the potentially “green” concrete manufacturing. This approach

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Table 1. LCA studies on “green concrete”. Replacement of cement Waste or Goal and Scope LCA Recycled materials Sewage sludge ash Biomass fly ashes

Fly ashes Fly ashes and copper tailing Glass cullet waste Cathode Ray Tube (CRT) glass Coal mining waste Waste wood Waste fine glass Marble industry waste powder Bauxite residue (red mud)

Functional unit

System boundary

LCIA

Ref

Comparison with corresponding ordinary concrete Evaluation of alternative management of wastes Comparison between binders Comparison with control mix Comparison between binder Comparison with control mix

1 m3 of ready mixed of concrete

Cradle to gate

M

[19]

1 ton of cement with % of biomass ashes

Cradle to use

M

[20]

1 kg of binder

Cradle gate Cradle gate Cradle gate Cradle gate

to

M

[21]

to

M

[22]

to

M

[23]

to

M

[24]

Comparison OPC paste Comparison control mix Comparison control mix Comparison control mix

with

1 ton of product

to

M

[25]

with

to

M

[26]

with

1 kg of board production 1 m3 of product

to

M

[27]

with

1 m3 of product

to

M

[28]

Cradle to gate

M

[29]

Cradle to gate

M

[30]

Cradle to gate Cradle to grove

M

[31]

M

[32]

Functional unit

System boundary

LCIA *

Ref

1 m3 of concrete

Cradle to gate Cradle to gate

M

[33]

M

[34]

Comparison with control mix

Municipal glass cullet

Comparison with control mix

Marble powder

Comparison with control mix Comparison with alternative materials

Kenaf fiber GRFC

Replacement of aggregates Waste or Goal and Scope LCA Recycled materials Treated oil sand waste Recycled coarse from C&D waste concrete

Comparison with mix control Comparison with reference mix

1 m3 of concrete 1 ton of cement Mass of binder

1 m3 of volume per 28 days mechanical properties 1 m3 of 28 concrete day compressive strength 1 m3 of concrete Mass of wall panel 1 x 1 which involved a yield load 1 kN

1 m3 of concrete 30 MPa at 28 days of curing

Cradle gate Cradle gate Cradle gate Cradle gate

(continued)

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Replacement of aggregates Waste or Goal and Scope LCA Recycled materials Recycled coarse from C&D waste concrete Recycled concrete aggregates Recycled concrete aggregates EPS granulates Recycled PP fibers Tire waste aggregates Basalt fibers

Comparison with reference mix

Comparative analysis

Geopolymer concrete Alkaly Actived binary binder (AABB)

System boundary

1 m3 of concrete 40 MPa at 28 days of curing and average slump of 100 mm 1 kg of construction materials

Cradle to gate

LCIA *

Ref

[35]

Cradle to gate

M/E

[36]

Comparative analysis

1 m3 of concrete

Cradle to gate

M

[37]

Evaluation of environmental profile Comparison virgin and recycled fibers Comparison with reference mix Comparison with conventional steel

1 m3 of lightweight concrete 100 m3 of concrete footpath 1 m3 of concrete

Cradle to end of life Cradle to gate Cradle to gate Cradle to gate

M

[38]

M

[39]

M

[40]

M

[41]

Alternative materials Materials Goal and Scope LCA Alkaly Actived Concrete (AAC) Geopolymer concrete Geopolymer concrete

Functional unit

Reinforced concrete beam Functional unit

System boundary

LCIA

Ref

Comparison with OPC

1 m3 of concrete

Cradle to gate

M

[42]

Environmental profiles Comparison with reference cement concrete Environmental profiles Comparison with OPC

1 m3 of material

Cradle to gate Cradle to grove

M

[43]

M

[44]

Cradle to gate Cradle to gate

M

[45]

M

[15]

1 m3 of material

1 m3 of hollow blocks 1 m3 of concrete

* M: Midpoint approach, E: Endpoint approach

does not consider the phase of use of the material, excluding the concrete durability features. Although the durability is a very important performance of concrete, it is also excluded from the definition of the functional unit (Table 1). The obstacle to use a “cradle to grave” or a “cradle to cradle” approach is the lack of representative data related to the use and the end-of life phases. The database for life cycle inventory (LCI) applied in the construction industry, includes cement, aggregate,

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and water as examples for primary input materials, but do not include data about supplementary cementitious materials (such as glass powder) or waste recycled in concrete [46]. The functional unit most recurrently used is relative to the quantity produced, 1 m3 or ton. Only in few cases, it refers to a specific property of the concrete, such as the mechanical resistance after 28 days. However, for a complete LCA, a functional unit, that includes the concrete performance in both the fresh and hardened state [47], should be declared for a given concrete mix. The “midpoint” approach, also known as problem-oriented approach, is used only to quantify the environmental impact of “green concrete”. This is probably due to the approach of “midpoints” method that evaluates the impact in the early stage of the cause-effect chain to limit the uncertainties [48].

4 Conclusions In conclusion, the bibliographic analysis, carried out among the most recently published studies on the investigated topic, showed that many of the current researches have been addressed to the investigation of the “potentially” green concrete. It was pointed out the widespread use of LCA to evaluate the environmental performance of sustainable concrete, but, at the same time, it was highlighted also the importance of developing dedicated environmental impact analyses able to confirm the real sustainability of the declaimed eco-concrete.

References 1. Liew, K.M., Sojobi, A.O., Zhang, L.W.: Green concrete: prospects and challenges. Constr. Build. Mater. 156, 1063–1095 (2017) 2. Rodrigues Vieira, D., Calmon, J.L., Zanellato Coelho, F.: Life cycle assessment (LCA) applied to the manufacturing of common and ecological concrete: A review. Constr. Build. Mater. 124, 656–666 (2016) 3. Hafez, H., Kurda, R., Cheung, W.M., Nagaratnam, B.: A systematic review of the discrepancies in life cycle assessments of green concrete. Appl. Sci. 9, 4803 (2019) 4. Poretti, S., Iori, T., Nervi, P.: L’Ambasciata d’Italia a Brasilia, 9788837057466 (2007) 5. Tumminia, G., Guarino, F., Longo, S., Aloisio, D., Cellura, S., Sergi, F., Ferraro, M.: Grid interaction and environmental impact of a net zero energy building. Energy Convers. Manage. 203, 112228 (2020) 6. IMF Homepage. https://www.imf.org/external/datamapper 7. Valderrama, C., Granados, R., Cortina, J.L., Gasold, C.M., Guilleme, M., Josaf, A.: Implementation of best available techniques in cement manufacturing: a life-cycle assessment study. J. Cleaner Prod. 25, 60–67 (2012) 8. Galvez-Mantos, J.L., Schoenberger, H.: An analysis of the use of Life Cycle Assessment for waste co-inceneritation in cement kilns. Resour. Conserv. Recycl. 86, 118–131 (2014) 9. Coppola, L., Bellezze, T., Belli, A., Bignozzi, M.C., Bolzoni, F., et al.: Binders alternative to Portland cement and waste management for sustainable construction–Part 2. J. Appl. Biomater. Funct. Mater. 16(3), 86–202 (2018)

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10. Hung Mo, K., Johnson Alengaram, U., Zamin Jumaat, M., Yap, S.P., Cheng Lee, S.C.: Green concrete partially comprised of farming waste residues: a review. J. Cleaner Prod. 117, 122–138 (2016) 11. Naqi, A., Jang, J.G.: Recent progress in green cement technology utilizing low-carbon emission fuels and raw materials: a review. Sustainability 11, 537 (2019) 12. https://www.wbcsd.org/Sector-Projects/Cement-Sustainability-Initiative/Resources/ Technology-Roadmap-Low-Carbon-Transition-in-the-Cement-Industry 13. Al-Mansour, A., Chow, C.L., Feo, L., Penna, R., Lau, D.: Green concrete: by-products utilization and advanced approaches. Sustainability 11(19), 5145 (2019) 14. Van den Heede, P., De Belie, N.: Sustainability assessment of potentially ‘green’ concrete types using life cycle assessment. In: Sustainable and Nonconventional Construction Materials using Inorganic Bonded Fiber Composites. Woodhead Publishing. Elsevier Ltd (2017) 15. Bajpai, R., Choudhary, K., Srivastava, A., Sangwan, K.S., Singh, M.: Environmental impact assessment of fly ash and silica fume based geopolymer concrete. J. Cleaner Prod. 254, 120147 (2020) 16. Muralikrishna, I.V., Manickam, V.: Environmental Management Science and Engineering for Industry. Butterworth-Heinemann, Elsevier (2017) 17. ISO 14040: Environmental management – Life cycle assessment – Principles and framework, International Organisation for Standardisation (ISO), Geneve (2006) 18. ISO 14044: Environmental management – Life cycle assessment – Requirements and guidelines, International Organisation for Standardisation (ISO), Geneve (2006) 19. Nakic, D.: Environmental evaluation of concrete with sewage sludge ash based on LCA. Sustain. Prod. Consumption 16, 193–201 (2018) 20. Tosti, L., van Zomeren, A., Pels, J.R., Damgaard, A., Comans, R.N.J.: Life cycle assessment of the reuse of fly ash from biomass combustion as secondary cementitious material in cement products. J. Cleaner Prod. 245, 118937 (2020) 21. Hafez, H., Kurda, R., Cheung, W.M., Nagaratnam, B.: Comparative life cycle assessment between imported and recovered fly ash for blended cement concrete in the UK. J. Cleaner Prod. 244, 118722 (2019) 22. Dandautiya, R., Singh, A.P.: Utilization potential of fly ash and copper tailings in concrete as partial replacement of cement along with life cycle assessment. Waste Manage. 99, 90–101 (2019) 23. Hossain, M.U., Poon, C.S., Lo, I.M., Cheng, J.C.: Comparative LCA on using waste materials in the cement industry: a Hong Kong case study. Resour. Conserv. Recycl. 120, 199–208 (2017) 24. Hilton, B., Bawden, K., Winnebeck, K., Chandrasiri, C., Ariyachandra, E., Peethamparan, S.: The functional and environmental performance of mixed cathode ray tubes and recycled glass as partial replacement for cement in concrete. Resour. Conserv. Recycl. 151, 104451– 104459 (2019) 25. Arribas, I., Vegas, I., García, V., Vigil de la Villa, R., Martínez-Ramírez, S., Frías, M.: The deterioration and environmental impact of binary cements containing thermally activated coal mining waste due to calcium leaching. J. Cleaner Prod. 183, 887–897 (2018) 26. He, P., Hossain, M.U., Poon, C.S., Tsang, D.C.: Mechanical, durability and environmental aspects of magnesium oxychloride cement boards incorporating waste wood. J. Cleaner Prod. 207, 391–399 (2019) 27. Patel, D., Shrivastava, R., Tiwari, R.P., Yadav, R.K.: Properties of cement mortar in substitution with waste fine glass powder and environmental impact study. J. Build. Eng. 27, 100940–100950 (2020)

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28. Khodabakhshian, A., de Brito, J., Ghalehnovi, M., Shamsabadi, E.A.: Mechanical, environmental and economic performance of structural concrete containing silica fume and marble industry waste powder. Constr. Build. Mater. 169, 237–251 (2018) 29. Nikbin, I.M., Aliaghazadeh, M., Charkhtab, S.H., Fathollahpour, A.: Environmental impacts and mechanical properties of lightweight concrete containing bauxite residue (red mud). J. Cleaner Prod. 172, 2683–2694 (2017) 30. Tucker, E.L., Ferraro, C.C., Laux, S.J., Townsend, T.G.: Economic and life cycle assessment of recycling municipal glass as a pozzolan in portland cement concrete production. Resour. Conserv. Recycl. 129, 240–247 (2018) 31. Singh, M., Choudhary, K., Srivastava, A., Sangwan, K.S., Bhunia, D.: A study on environmental and economic impacts of using waste marble powder in concrete. J. Building Eng. 13, 87–95 (2017) 32. Zhou, C., Shi, S.Q., Chen, Z., Cai, L., Smith, L.: Comparative environmental life cycle assessment of fiber reinforced cement panel between kenaf and glass fibers. J. Cleaner Prod. 200, 196–204 (2018) 33. Kassem, M., Soliman, A., El Naggar, H.: Sustainable approach for recycling treated oil sand waste in concrete: engineering properties and potential applications. J. Cleaner Prod. 204, 50–59 (2018) 34. Pradhan, S., Tiwari, B.R., Kumar, S., Barai, S.V.: Comparative LCA of recycled and natural aggregate concrete using particle packing method and conventional method of design mix. J. Cleaner Prod. 228, 679–691 (2019) 35. Yazdanbakhsh, A., Lagouina, M.: The effect of geographic boundaries on the results of a regional life cycle assessment of using recycled aggregate in concrete. Resour. Conserv. Recycl. 143, 201–209 (2019) 36. Shan, X., Zhou, J., Chang, V.W.C., Yang, E.H.: Life cycle assessment of adoption of local recycled aggregates and green concrete in Singapore perspective. J. Cleaner Prod. 164, 918– 926 (2017) 37. Guo, Z., Tu, A., Chen, C., Lehman, D.E.: Mechanical properties, durability, and life-cycle assessment of concrete building blocks incorporating recycled concrete aggregates. J. Cleaner Prod. 199, 136–149 (2018) 38. Gomes, R., Silvestre, J.D., de Brito, J.: Environmental life cycle assessment of the manufacture of EPS granulates, lightweight concrete with EPS and high-density EPS boards. J. Building Eng. 28, 101031 (2020) 39. Tuladhar, R., Yin, S.: Sustainability of using recycled plastic fiber in concrete. In: Use of Recycled Plastics in Eco-efficient Concrete. Woodhead Publishing (2019) 40. Rashid, K., Yazdanbakhsh, Ul Rehman, M.A.: Sustainable selection of the concrete incorporating recycled tire aggregate to be used as medium to low strength material. J. Cleaner Prod. 224, 396–410 (2019) 41. Inman, M., Thorhallsson, E.R., Azrague, K.: A mechanical and environmental assessment and comparison of basalt fibre reinforced polymer (BFRP) rebar and steel rebar in concrete beams. Energy Procedia 111, 31–40 (2017) 42. Robayo-Salazar, R., Mejía-Arcila, J., de Gutiérrez, R.M., Martínez, E.: Life cycle assessment (LCA) of an alkali-activated binary concrete based on natural volcanic pozzolan: A comparative analysis to OPC concrete. Constr. Build. Mater. 176, 103–111 (2018) 43. Ricciotti, L., Occhicone, A., Petrillo, A., Ferone, C., Cioffi, R., Roviello, G.: Geopolymerbased hybrid foams: lightweight materials from a sustainable production process. J. Cleaner Prod. 250, 199588 (2019) 44. Salas, D.A., Ramirez, A.D., Ulloa, N., Baykara, H., Boero, A.J.: Life cycle assessment of geopolymer concrete. Constr. Build. Mater. 190, 170–177 (2018)

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Green Building Market Premium: Detection Through Spatial Analysis of Real Estate Values. A Case Study Pierfrancesco De Paola1(&), Vincenzo Del Giudice1, Domenico Enrico Massimo2, Francesco Paolo Del Giudice1, Mariangela Musolino2, and Alessandro Malerba2 Department of Industrial Engineering, University of Naples “Federico II”, Piazzale Vincenzo Tecchio 80, 80125 Naples, Italy {pierfrancesco.depaola,vincenzo.delgiudice}@unina.it, [email protected] 2 Department of Patrimony Architecture Urbanism, Mediterranea University of Reggio Calabria, Viale dell’Università 25, 89124 Reggio Calabria, Italy [email protected], [email protected], [email protected] 1

Abstract. In this paper a geoadditive model based on penalized spline functions has been applied in order to obtain a spatial distribution of real estate unitary values for a central area of the city of Reggio Calabria (Italy). This for the individuation of progressive real estate sub-samples characterized by a market premium for the presence of green buildings. Geoadditive models allow to predict, quantify and locate in real time where and how real estate values vary in urban context, with possibility to correlate these variations with any phenomenon or economic effect. The combined use of penalized splines with techniques of spatial statistics allows to obtain spatial maps with high reliability on which to base any decisions related to urban investments. Keywords: Green buildings analysis


Geoadditive models
Real estate market

1 Introduction Most of the buildings use energy inefficiently, generate large amounts of waste in their construction and operation, and emit large quantities of pollutants and greenhouse gases. In contrast to conventional buildings, Brown Buildings, Green Buildings seek to use land and energy efficiently, conserve water and other resources, improve indoor and outdoor air quality [1–13]. Nowadays, there is growing attention for policies oriented to Green Buildings practices, that besides mitigating energy consumption respecting the historical instance P. De Paola, V. Del Giudice, D. E. Massimo, F. P. Del Giudice, M. Musolino, A. Malerba— Contributed equally to the study. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1413–1422, 2021. https://doi.org/10.1007/978-3-030-48279-4_132

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of buildings, are also able to generate economic impacts in terms of increased market value of the properties [14–20]. In some studies of the international literature it can be observed there is empirical evidence of a diachronic “price differential” in a precise and limited period of time. There is an expectation that this theoretical “price differential” is affected by future changes and between buildings of the same type [10, 11]. Based on these assumptions, in this study a geoadditive model characterized by penalized spline functions has been implemented, in order to analyze the spatial distribution of real estate unitary market prices in the urban area central of Reggio Calabria (Italy). This for the individuation of progressive real estate sub-samples characterized by a market premium for the presence of green buildings. In particular, the paper is the continuation of a previous study of the authors [5], having regard to analyzing and further considering in the analysis the energy class of the buildings that form the reaal estate sample. Geoadditive models have many advantages, even in small local real estate markets, being able to analyze the variation of real estate values in an area of interest [21–25]. In cooperation with stochastic models [26–42], these models allow to predict, quantify and locate in real time where and how real estate values vary in urban context, with possibility to correlate these variations with any phenomenon or economic effect (for example, delimitation of micro-zones, modeling of locational variables, delimitation of areas with homogeneous values, etc.). The combined use of penalized splines with techniques of spatial statistics (Kriging) allows to obtain spatial maps with high reliability on which to base any decisions related to urban investments.

2 Model Specification Geoadditive models are composed by a semi-parametric additive component to express the relationship between model’s non-linear response and explanatory variables, and a component with linear mixed effects to expresses the spatial correlation of observed values [1]. In the case of two additive components, if ðsi ; ti ; yi Þ; 1  i  n, represent the measurements on two predictors s and t for the response variable y, the additive model is: yi ¼ b0 þ f ðsi Þ þ gðti Þ þ ei

ð1Þ

where f and g are unspecified smooth functions of s and t respectively. Therefore, if we define u+ to equal u for u > 0 and 0 otherwise, a penalized spline version of model (1) involves the following functional form [4, 5, 10]: yi ¼ b0 þ bs
si þ

Ks X k¼1

usk ðsi  jsk Þ þ þ bt
ti þ

Kt X

utk ðti  jtk Þ þ þ ei

ð2Þ

k¼1

In Eq. (2) there is the penalization of the knot coefficients usk and utk , where js1 ; . . .::; jsks and jt1 ; . . .::; jtkt are knots in the s and t directions respectively. The penalization of the usk and utk is equivalent to treating them as random effects in a mixed model [10].

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 T Setting b ¼ ðb0 ; bs ; bt ÞT , u ¼ us1 ; . . .::; usks ; ut1 ; . . .::; utkt , X ¼ ð1 si ti Þ with 1  i  n, Z ¼ ðZs =Zt Þ, with: Zs ¼

h

si  jsk

 i þ 1  i  n; 1  k  Ks

; Zt ¼

h

ti  jtk

 i þ 1  i  n; 1  k  Kt

ð3Þ

penalized least squares is equivalent to best linear unbiased prediction in the mixed model: 2 2     rs
I u u y ¼ Xb þ Zu þ e; E ¼ 0; cov ¼4 0 e e 0

0 r2x
I 0

3 0 0 5 r2e
I

ð4Þ

Model (4) is a variance components model since the covariance matrix of (uTeT)T is diagonal. The variance ratio r2e /r2s acts as a smoothing parameter in s direction. Penalized spline additive models are based on low rank smoothers, as defined by Hastie [2], considering that linear terms are easily incorporated into the model through the Xb component. At this point we can incorporate a geographical component by expressing kriging as a linear mixed model and merging it with an additive model such as model (4) to obtain a single mixed model (defined as geoadditive model). Universal kriging model for ðxi ; yi Þ, 1  i  n (yi are scalar and xi represent geographical location included in R2 domain) is [1]: yi ¼ b0 þ bT1 xi þ Sðxi Þ þ ei

ð5Þ

where S(x) is a stationary zero-mean stochastic process and ei are assumed to be independent zero-mean random variables with common variance r2e and distributed independently of S. Prediction at an arbitrary location x0 is done through the following expression: yðx0 Þ ¼ b0 þ bT1 x0 þ Sðx0 Þ Then for a know covariance structure of S the resulting equation is:  1   yðx0 Þ ¼ b0 þ bT1 x0 þ cT0 C þ r2e I y  b0  bT1 x where:     C ¼ cov Sðxi Þ; S xj 1  i;j  n cT0 ¼ ðcovfSðx0 Þ; Sðxi ÞgÞ1  i  n For the implementation of Eq. (6) we can use:

ð6Þ

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cov ¼ fsðxÞ; Sðx0 Þg ¼ Ch ðkx  x0 kÞ

ð7Þ pffiffiffiffiffiffiffiffiffiffiffi where kvk ¼ ðvT vÞ and Ch is a term of a Matérn covariance function. The complete formulation of Ch term corresponds to: Chðr Þ ¼ r2x ð1 þ jr j=qÞ expððr Þ=qÞ

ð8Þ

Equation (8) is the simplest member of the Matérn family and q term can to be choose with following rule to ensure scale invariance and numerical stability [1]: q ¼ max1  i;j  n kxi xj k

ð9Þ

For all aspects and matters above reported, a geoadditive model can be described, substantially, as a single linear mixed model as follow: yi ¼ b0 þ f ðsi Þ þ gðti Þ þ bT1
xi þ Sðxi Þ þ ei

ð10Þ

  It we put X ¼ 1 si ti xTi with 1  i  n and Z ¼ ðZs =Zt =Zx Þ, where Zs and Zt are defined by Eqs. (3) and Zx ¼ ZX1=2 with:   X ¼ 1 xTi 1  i  n "

!#

Z ¼ C0 kxi  jk k =q 1kK

"

1in !#

X ¼ C0 kjk  jk0 k =q 1  k;k 0  K

C0 ðrÞ ¼ ð1 þ jr jÞ expðjr jÞ The model has this representation: y ¼ Xb þ Zu þ e

ð11Þ

where: 2 2 rs I   u 6 u 0 E @ ut A ¼ 0; cov ¼6 4 0 e ~ u 0 0

s

1

0 r2t I 0 0

0 0 r2x I 0

3 0 0 7 7 0 5 r2e I

ð12Þ

Model (10) can be extended to incorporate linear covariates through the Xb term. The extension to more than two additive components is straightforward.

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3 Empirical Analysis In this section the results of theoretical model described in previous section are presented for a sample of real estate data. For a central neighborhoods of the city of Reggio Calabria (Italy), n. 211 sales of residential units located in a limited geographical area have been observed in a period of twenty years about. The residential units have the same building types and are included into a homogeneous urban area in terms of services and infrastructural qualification. For each property the real estate market price and the amounts of some real estate characteristics are known, as shown in Table 1. On the basis of real estate data, the following semi-parametric model has been implemented: UPRICE ¼ FLOOR þ MAIN þ DAT þ BATH þ ZONE þ ENERGY þ þ f ðDAT Þ þ f ðAGE Þ þ f ðXCOORD; YCOORDÞ Results and main indices of model verification are presented in tables and graphic that follow. The determination of knots for the spatial component and its geographical coordinates are identified by the space filling algorithm, implemented in default.knots.2D function library of R Software [23]. The model (13) was therefore estimated by the Re.M.L. method using the spm library of R software.

Table 1. Variable description Variable Real estate unitary price (UPRICE) Geographic coordinates (XCOORD,YCOORD) Property’s age (AGE) Sale date (DAT) Number of services (BATH) Positional Variable (ZONE)

Maintenance (MAIN)

Floor level (FLOOR) Energy efficiency class (ENERGY)

Description expressed in Euro/1000 expressed with longitude and latitude expressed retrospectively in no. of years expressed retrospectively in no. of years no. of services in residential unit expressed with a score scale (from 1 to 5, passing from more central areas to peripheral areas) expressed with a score scale (1 for bad conditions, 2 for mediocre conditions, 3 for good conditions, 4 for optimal maintenance state) no. of floor level of residential unit expressed with a score scale (1 for “A” or “B” energy efficiency class, 0 for “G” energy efficiency class)

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Fig. 1. Spatial distribution of real estate unitary prices, knots placement and location of housing units

The estimates of effects in the non-linear model have been significant by values of freedom degrees (df) and smoothing parameters (spar). The values of obtained predictions are consistent with observed data, also analysis of residuals has not shown any abnormality in its structure. In examined area the spatial distribution of real estate unitary prices clearly shows how the geographical component affect the prices of sampled properties (Table 2). The main result of the interpolation is a thematic map depicting the real estate unitary values in the urban context considered, in which blue and red colors represent unitary values, respectively, lowest and highest values (see Fig. 1).

Table 2. Statistical description of variables XCOORD Mean 15,649781 Std. Error 0,000714 Median 15,648945 Std. Dev. 0,010365 Kurtosis −0,125675 Asymmetry 0,533159 Range 0,045213 Min 15,633988 Max 15,679201 Confidence Interval (95,0%) 0,001407

YCOORD 38,101629 0,002703 38,091859 0,039262 0,237980 0,429996 0,172409 38,016041 38,188450 0,005328

FLOOR 3,50 0,10 3,00 1,38 −0,63 0,17 6,00 1,00 7,00 0,19

MAIN 3,18 0,06 3,00 0,90 −0,56 −0,71 3,00 1,00 4,00 0,12

DAT 8,53 0,40 9,00 5,80 −0,86 0,19 23,00 0,00 23,00 0,79 (continued)

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Table 2. (continued) AGE Mean 20,63 Std. Error 1,03 Median 16,00 Std. Dev. 14,89 Kurtosis −0,07 Asymmetry 0,83 Range 73,00 Min 0,00 Max 73,00 Confidence Interval (95,0%) 2,02

BATH 1,67 0,04 2,00 0,57 5,04 0,92 4,00 1,00 5,00 0,08

ZONE 4,66 0,06 5,00 0,81 1,01 −0,93 4,00 2,00 6,00 0,11

ENERGY 0,11 0,02 0,00 0,32 4,04 2,45 1,00 0,00 1,00 0,04

UPRICE 1,11 0,03 1,02 0,50 6,76 2,11 3,27 0,41 3,68 0,07

4 Concluding Remarks The geoadditive models are an effective vehicle for the analysis of spatial real estate data and other applications where geographic point data are accompanied by covariate measurements. In this paper a geoadditive model characterized by penalized spline functions has been implemented, in order to analyze the spatial distribution of real estate unitary market prices in the urban area central of Reggio Calabria (Italy). This for the individuation of progressive real estate sub-samples characterized by a market premium for the presence of green buildings. Firstly, the results obtained by the application of the proposed model suggest that geoadditive models can be successfully used for the prediction and spatial distribution of unitary real estate market values. Then, the research develops a first attempt, or case study, to interpret spatially the phenomenon of Green Building and Green Districts in unexplored cities Secondly, these results detected and graphically identified the real estate sub markets characterized by a green premium in the central area of Reggio Calabria. These indications can guide policies on green building practices, immediately identifying the areas affected by the economic impacts due to green buildings, in terms of increasing the market value of the properties. But the main results of the research lead to observe that the “fringe areas” of real estate values, or those areas in which the lowest values tend to invert towards the highest, coincide with the areas where the green buildings are located; furthermore, the “fringe areas” tend to expand over time due to a diachronic “price differential” for the city of Reggio Calabria, which is influenced by future changes and energy retrofit interventions on buildings (expectation of future benefits due to better quality of life, and transformation of neighborhoods in “sustainable districts”).

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References 1. Malerba, A., Massimo, D.E., Musolino, M., Nicoletti, F., De Paola, P.: Post carbon city: building valuation and energy performance simulation programs. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) ISHT 2018. SIST, vol. 101, pp. 513–521. Springer, Cham (2019) 2. Spampinato, G., Massimo, D.E., Musarella, C.M., De Paola, P., Malerba, A., Musolino, M.: Carbon sequestration by Cork Oak forests and raw material to built up post Carbon City. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) ISHT 2018. SIST, vol. 101, pp. 663–671. Springer, Cham (2019) 3. Del Giudice, V., Massimo, D.E., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Post Carbon City and real estate market: testing the dataset of Reggio Calabria market using spline smoothing semiparametric method. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) ISHT 2018. SIST, vol. 100, pp. 206–214. Springer, Cham (2019) 4. Massimo, D.E., Del Giudice, V., De Paola, P., Forte, F., Musolino, M., Malerba, A.: Geographically weighted regression for the post Carbon City and real estate market analysis: a case study. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) ISHT 2018. SIST, vol. 100, pp. 142–149. Springer, Cham (2019) 5. De Paola, P., Del Giudice, V., Massimo, D.E., Forte, F., Musolino, M., Malerba, A.: Isovalore maps for the spatial analysis of real estate market: a case study for a central urban area of Reggio Calabria, Italy. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) ISHT 2018. SIST, vol. 100, pp. 402–410. Springer, Cham (2019) 6. Massimo, D.E., Malerba, A., Musolino, M.: Green district to save the planet. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Series: Green Energy and Technology, pp. 255– 269. Springer, Heidelberg (2018) 7. Massimo, D.E., Malerba, A., Musolino, M.: Valuating historic centers to save the planet soil. In: Mondini, G., Fattinnanzi, E., Oppio, A., Bottero, M., Stanghellini, S. (eds.) Integrated Evaluation for the Management of Contemporary Cities. Series: Green Energy and Technology, pp. 297–311. Springer, Heidelberg (2018) 8. Musolino, M., Malerba, A., De Paola, P., Musarella, C.M.: Building Efficiency Adopting Ecological Materials and Bio Architecture Techniques, pp. 1–10. ArcHistoR (2019) 9. Massimo, D.E.: Green Building: Characteristics, energy implications and environmental impacts. Case study in Reggio Calabria, Italy. In: Green Building and Phase Change Materials: Characteristics, Energy Implications and Environmental Impacts. Nova Science Publishers, 01 January 2015, pp. 71–101 (2015). ISBN: 978-163482749-2; 978-1634827027 10. Massimo, D.E.: Valuation of urban sustainability and building energy efficiency: a case study. Int. J. Sustain. Dev. 12(2–4), 223–247 (2009). https://doi.org/10.1504/IJSD.2009. 032779 11. Massimo, D.E.: Emerging Issues in Real Estate Appraisal: Market Premium for Building Sustainability. Aestimum, pp. 653–673, August 2013. ISSN 1724-2118 12. Massimo, D.E., Musolino, M., Barbalace, A.: Stima degli effetti di localizzazioni universitarie sui prezzi immobiliari. In: Marone, E. (ed.) La valutazione degli investimenti pubblici per le politiche strutturali. Firenze University Press, Firenze (2011) 13. Massimo, D.E.: Stima del green premium per la sostenibilità architettonica mediante Market Comparison Approach. Valori e Valutazioni (2010). ISSN 2036-2404

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14. Morano, P., Tajani, F.: Estimative analysis of a segment of the bare ownership market of residential property. In: Murgante, B., Misra, S., Carlini, M., Torre, C.M., Nguyen, H.-Q., Taniar, D., Apduhan, B.O., Gervasi, O. (eds.) ICCSA 2013. LNCS, vol. 7974, pp. 433–443. Springer, Heidelberg (2013). https://doi.org/10.1007/978-3-642-39649-6_31 15. Morano, P., Locurcio, M., Tajani, F., Guarini, M.R.: Fuzzy logic and coherence control in multi-criteria evaluation of urban redevelopment projects. Int. J. Bus. Intell. Data Mining 10 (1), 73–93 (2015). ISSN: 1743-8187 16. Antoniucci, V., Marella, G.: Immigrants and the city: the relevance of immigration on housing price gradient. Buildings 7, 91 (2017) 17. Antoniucci, V., Marella, G.: Small town resilience: housing market crisis and urban density in Italy. Land Use Policy 59(31), 580–588 (2016) 18. Saaty, T.L., De Paola, P.: Rethinking design and urban planning for the cities of the future. Buildings 7, 76 (2017) 19. Del Giudice, V., Manganelli, B., De Paola, P.: Depreciation methods for firm’s assets. In: Gervasi, O., Murgante, B., Misra, S., Rocha, A.M.A.C., Torre, C., Taniar, D., Apduhan, B. O., Stankova, E., Wang, S. (eds.) ICCSA 2016. LNCS, vol. 9788, pp. 214–227. Springer, Cham (2016). https://doi.org/10.1007/978-3-319-42111-7_17 20. De Ruggiero, M., Forestiero, G., Manganelli, B., Salvo, F.: Buildings energy performance in a market comparison approach. Buildings 7, 16 (2017) 21. Kammann, E.E., Wand, M.P.: Geoadditive models. Appl. Stat. 52 (2003) 22. Hastie, T.J., Pseudosplines, J. Roy. Stat. Soc. Series B 58 (1996) 23. Wand, M.P., French, J.L., Ganguli, B., Kammann, E.E., Stuadenmayer, J., Zanobetti, A.: SemiPar 1.0 R package (2005). http://cran.r-project.org 24. Wand, M.P.: Smoothing and mixed models. Comput. Stat. 18(2), 223–249 (2003). https:// doi.org/10.1007/s001800300142 25. Ruppert, D., Wand, M.P., Carroll, R.J.: Semiparametris Regressions. Cambridge University Press, Cambridge (2003) 26. Del Giudice, V., De Paola, P.: Spatial analysis of residential real estate rental market. In: d’Amato, M., Kauko T. (eds.) Advances in Automated Valuation Modeling. Studies in System, Decision and Control, vol. 86, pp. 9455–9459. Springer (2017). https://doi.org/10. 1007/978-3-319-49746-4, ISSN: 2198-4182 27. Del Giudice, V., De Paola, P., Forte, F.: The appraisal of office towers in bilateral monopoly’s market: evidence from application of Newton’s physical laws to the Directional Centre of Naples. Int. J. Appl. Eng. Res. 11(18), 9455–9459 (2016). R.I.P 28. Del Giudice, V., Manganelli, B., De Paola, P.: Spline smoothing for estimating hedonic housing price models. In: Gervasi, O., Murgante, B., Misra, S., Gavrilova, M.L., Rocha, A. M.A.C., Torre, C., Taniar, D., Apduhan, B.O. (eds.) ICCSA 2015. LNCS, vol. 9157, pp. 210–219. Springer, Cham (2015). https://doi.org/10.1007/978-3-319-21470-2_15 29. Ciuna, M., Milazzo, L., Salvo, F.: A mass appraisal model based on market segment parameters. Buildings 7, 34 (2017) 30. Del Giudice, V., De Paola, P., Manganelli, B., Forte, F.: The monetary valuation of environmental externalities through the analysis of real estate prices. Sustainability MDPI 9 (2), 229 (2017) 31. Del Giudice, V., De Paola, P., Cantisani, G.B.: Rough set theory for real estate appraisals: an application to directional district of Naples. Buildings MDPI 7(1), 12 (2017) 32. Del Giudice, V., De Paola, P., Cantisani, G.B.: Valuation of real estate investments through Fuzzy Logic. Buildings MDPI 7(1), 26 (2017) 33. Del Giudice, V., De Paola, P., Forte, F.: Using genetic algorithms for real estate appraisal. Buildings MDPI 7(2), 31 (2017)

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Sustainable and Green Building Design: Shipping Container as Passivhaus Elisa Bongiorno1, Concetta Borgia2, Maurizio Detommaso1, and Francesco Nocera1(&) 1

Department of Civil Engineering and Architecture, University of Catania, Viale A. Doria 5, 95125 Catania, Italy [email protected] 2 Department of Heritage-Architecture-Urbanism, University of Reggio Calabria, Via dell’Università 25, 89124 Reggio Calabria, Italy

Abstract. The growth in global trade and freight distribution has led to an increased demand for new containers and has caused immense leftovers of shipping containers at ports due to the expensive repositioning cost. These abandoned containers have a strong environmental impact. However, this is an issue that can be overcome by re-using shipping containers as homebuilding. Therefore, this research investigates the energy performances of container houses applying well-established Passivhaus standard which at the same time providing low environmental impact and a high level for occupant comfort. Keywords: Shipping container


Passivhaus design
Green building design

1 First Section A container is a transport as well as a production unit that moves as an export, import or repositioning flow. Once a container has been unloaded, another need of transport must be found as moving an empty container is almost as costly as moving a full container [1]. Nevertheless, if it is loaded or not, a container consumes the same amount of space and therefore requires the same transport capacity. Shipping companies need containers to maintain their operations and level of service. An increasing number of containers are repositioned empty because cargo cannot be found for a stage of return. The outcome has been a growth in the repositioning costs as shippers attempt to manage the level of utilization of their containerized assets. The positioning of empty containers is thus one of the most complex problems concerning global freight distribution, an issue being underlined by the fact that about 2.5 million TEU of containers are being stored empty, waiting to be used. Empties thus account for about 10% of existing container assets and 20.5% of global port handling [2]. Although guidelines for structural safety using shipping containers for building application do not currently exists, some research results report investigation of shipping containers structural limitations thus aiding the development of container building construction and design requirements. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1423–1432, 2021. https://doi.org/10.1007/978-3-030-48279-4_133

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Sustainability of Container Home

Mass produced, modular, mobile, transportable, strong, stackable, light, cheap, easily available, too many adjectives for a single noun: the shipping container. The best word that exemplifies the meaning of the structure behind freight containers is “system”, of which the definition is an assemblage or combination of things or parts forming a complex or unitary whole. A container can be constructed of about 75% recycled materials by weight as reported by the study [3]. Re-using containers as a home may be sustainable and innovative because it is not a decomposing material to turn into compost in a landfill. Actually, the reusing of the steel shipping container requires a furnace for its melting with the resulting release of approximately 2 t of CO2 and 40 kg of other gaseous emissions [4]. In addition, the inventory of carbon and energy (ICE) reports that 1 t general steel (i.e. average of all steel) recycling requires 24.4 GJ of embodied energy [5]. Architects and builders already started to take advantage of reusing containers for home building. Indeed, several studies have been carried out to determine the aspects of container construction techniques [6, 7] and the effects of carbon footprint [8, 9]. However, there is a lack of studies and information on the energy performance of the shipping containers as home buildings. Consequently, to fill up the latter gaps, an energy investigation based on Passivhaus standard was carried out on a container living module, placed in three different Italian climate zone. Passivhaus design principles lead to a container requiring minimal energy input for space heating and cooling. Specifically, Passivhaus require less than 15 kWh/m2 a for heating or cooling and the heating or cooling peak load is limited to a maximum of 10 W/m2. In order for a building to be considered as a Passivhaus, its conventional primary energy use must not exceed 120 kWh/m2y [10]. Therefore, one of the aims of the research is to assess the compliance with Passivhaus Standard for the living module. Indeed, a Passivhaus Home design is based on the use of extremely little primary energy, leaving sufficient energy resources for all future generations without causing any environmental damage. In this way, the additional energy required for the construction (embodied energy) of the living module is rather insignificant compared with the energy saved later on.

2 Methodology The main purpose of this study is to present a novel design of a low energy housing module (PaLiMo “Passive Living Module”), realized with the re-using of a shipping container. Energy simulation software “Design Builder” was used to model PaLiMo in three different Mediterranean climate zone: Catania, Rome and Milan on the basis of their Heating Degree Days (HDD). Design Builder, which provides a graphical interface for the numerical code Energy Plus [11], was used to evaluate the energy needs and Primary Energy for space heating and cooling. The primary energy demand, thermal energy needs for heating and cooling of the housing module were calculated considering the internal temperature of set points of 20 °C in winter and 26 °C in summer respectively.

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A Life-cycle assessment technique, to assess environmental impacts associated with all the stages of a product’s life, was used to calculate the carbon footprint considering the GHG emissions caused by all the operational processes, transportation and activities for the materials used in the refurbishment. The carbon footprint was calculated with a tool called LCA- calculator in terms of the following five components: production of building materials, transport of building materials, construction and demolition of buildings, direct energy use of buildings, and waste disposal. The tool allows evaluating each phase chronologically from the extraction and processing of raw materials, to the manufacturing, packaging and marketing processes, to the use, re-use and maintenance of the product, and on to its eventual recycling or disposal as waste, building construction process, or a single building [12]. LCA calculator is based on Eco-invent database which builds on the method of life cycle assessment (LCA) as standardized by International Organization for Standardization International Organization for Standardization (ISO) 2006. The basic building blocks of the Ecoinvent database are LCI datasets, representing the individual unit processes of human activities and their exchanges with the environment. The embodied carbon in materials and material production processes was calculated according to ISO 14020 and ISO14040, as well as ISO 14025. The embodied CO2 includes energy consumption of building materials and products, the use of raw materials and greenhouse gases. In the calculations the greenhouse gases are transformed to CO2 equivalents by using IPCC’s characteristic factors, in which the corresponding factors for CH4 and N2O are 25 and 298, respectively.

3 Case Study The Passive Living Module design is based on container 20’ Box defined ‘module’, The idea of module design is focused mainly on comfort, energy efficiency, environmental sustainability and the low-cost. Consequently, the following factors were considered: 1) Functional: the starting point is based on practicality and the solidness. 2) Structural: the possibility of a connection between the modules is a basic and distinctive element. 3) Environmental: materials choices have been made considering not only the thermal comfort, health, safety, cost, and maintenance but also their potential contributions to reduce the impact on Climate Change. 4) Transportation: the structure of the module is thought to be transported by standard euro truck with semi-trailers and container trailers. In Fig. 1, is reported the geometric features of container 20’ Box

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Fig. 1. Geometric features of container 20’ Box.

The Passive Living Module [13] is designed on the Passive House standard because it needs very little energy for heating, ventilation and air-conditioning purposes in order to achieve indoor thermal comfort conditions and low heating and cooling energy requirement, compared with typical contemporary buildings. Specifically, PaLiMo is realized by connecting two modules with different use: a module hosts a living area (kitchen and living room) while the other hosts a sleeping area and a bathroom. In addition, a winter garden is realized between the two module containers. In Fig. 2, a 2D view of the plant and a 3D view of the housing module are shown.

Fig. 2. 2D view of the plant (on the left) and 3D view of PaLiMo (on the right).

The roof is realized with three construction parts: two sloping roofs and a flat roof. On the sloping roofs are installed photovoltaic panels and solar thermal panels. The flat roof is equipped with an extensive green roof. In particular, the inclined roofs are provided with a system which allows to modify its inclination according to the latitude of the place where the module is located. In this way it will be maximizes efficiency of renewable energy resource. The geometric features are reported in Table 1.

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Table 1. Geometric features of PaLiMo Geometric features Heated gross volume V 117.81 m3 Total opaque surface So 130.54 m2 Total glazing surface Sw 28.03 m2 Total external surface S 158.58 m2 Shape factor S/V 1.34 m−1 Glazing/Total external surface ratio So/Sw 0.17 – Net floor area Sn 38.82 m2

3.1

Components Features

The corrugated steel walls of the container are energetically enhanced with the addition of suitable insulation as illustrated in Fig. 3. The stratigraphy of the external wall of the module is reported in Table 2.

Fig. 3. Sections of construction elements.

Table 2. Example of stratigraphy and thermal properties of the external wall. Layers Corrugated steel sheet Expanded polyurethane Plasterboard sheet

s (m) 0.015 0.06 0.02

k (W/m2K) q (kg/m3) C (J/kgK) 50 450 7800 0.024 1450 30 0.21 840 900

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The Table 3 summarizes the thermal transmittance (U), thickness (s) and values of surface mass (SM) of each component of PaLiMo. A window glazing with two layers of glass and low-emissive coatings and argon gap was considered. The control of solar radiation is guaranteed thanks to the installation of aluminum sunshades, placed on the external walls of the containers.

Table 3. Opaque envelope and glazing surface features. Building components External wall Green roof (Flat roof) Sloped roof Ground floor Windows

3.2

s (m) 0.095 0.294 0.100 0.133 0.021

U (W/m2K) 0.493 0.464 0.505 0.473 1.70

SM (kg/m2) 137 384 153 226 –

Equipment and Systems

PaliMo is designed for residential use with an occupancy density of 0.188 people/m2. The lighting system is characterized by Led with a power density of 1.70 W/m2. The house is equipped with a HVAC system certificated by Passive House Institute. The system allows a ventilation with heat recovery unit and sanitary hot water production. The heat pump is able to produce hot water and contributes to heating the supply air. The heat pump is equipped with a reversible cooling circuit, so that in the summer it can cool the intake air while it also producing hot water. The remaining energy needs is supplied via other renewable energy sources, such as thermal and/or photovoltaic panels with battery storage systems in order to attain an energy independence. It was installed as heat pump the model NILAN A/S certified by PHI [14– 16], with a nominal power 6.00 kW (SCOP 5.11). The volume of hot water tank is 180 L. The mechanical ventilation system is guaranteed by the model ComfoAir ERV, with an efficiency of 88% heat recovery, certified by PHI [13]. The air exchange by the windows is 0.33 ac/h. As for the night ventilation, the exchange is 1.30 ac/h. For night ventilation, all windows were considered open to allow greater heat exchange, for the hottest period of the year. A thermal solar system with a gross area of 2.00 m2 provides the energy needs for domestic hot water (DHW) and a PV plant of 1.9 kWp which supplies 3,143.68 kWh in Catania

4 Analysis of the Results 4.1

Energy Needs

This section reports the results in terms of energy performance indexes for heating (EPH) and cooling (EPC) of the housing module in the three different Mediterranean climate zone (Catania, Rome and Milan).

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The highest thermal energy need for space heating is required in Milan (35.95 kWh/m2y), whereas the lowest value is showed (5.92 kWh/m2y) in Catania. Despite the module presents values of the cooling demand of the same order of magnitude for all localities, it has slightly higher values (16.48 kWh/m2y) in Catania. The threshold values of standards Passivhaus for heating and cooling are roughly satisfied both in Catania and Rome. On the contrary, the heating energy needs are significantly higher in the case of Milan. This drawback can be solved enhancing the HVAC system and the insulation of the envelope (Fig. 4).

Fig. 4. Energy performance indexes for heating (EPH), cooling (EPC).

4.2

Primary Energy Requirement

This section reports the results in terms of global energy performance indexes in the three different Mediterranean climate zone (Catania, Rome and Milan) (Fig. 5).

Fig. 5. Global energy performance indexes.

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Milan has the highest global energy performance index (72.8 kWh/m2y) whereas Catania has the lowest values (31.8 kWh/m2y). However, the primary energy need of PaLiMo is well below the Passivhaus standard limit value of 120 kWh/m2y. 4.3

LCA Results

All life cycle energy inputs were converted in primary energy using characterization factors of Cumulative Energy Demand (CED) method, expressed in Mega Joule (MJ) equivalent. The total carbon greenhouse gas emissions were evaluated in terms of Global Warming Potential (GWP), measured in kilograms (kg) of carbon dioxide (CO2) equivalent. Energy consumptions during the use phase were derived from simulations carried out with DesignBuilder.

Table 4. GWP results for container home with 60-year design period Impact Unit GJ GWP Ton CO2 % Kg/m2

eq

Construction 300.1 109.6 26.8 274.0

Operation 604.9 277.7 67.8 694.1

Maintenance Disposal Total 68.0 3.6 976.6 33.5 −11.6 409.2 8.2 −2.8 100.0 83.8 −28.9 1023.1

As shown in Table 4, the major impacts of GWP occurs in the construction (26.8%) and operation (67.8%) phases. The global warming potential (GWP) impact of the container house studied by Islam et al. [8] is about 852 kg CO2 eq./m2 with quite similarity for the construction and operation.

5 Structural Considerations The adjustment of shipping container to building applications mainly requires some consideration on foundations and connections [17]. A proper structural analysis by finite elements methods is needed. Due to out-plane flexibility the recourse of non linear approach is advised. Spread footings or mat foundations are the foundation types recommended for shipping container structures. In case of limited gravity loads, precast concrete blocks or masonry bricks potentially can be used for foundations. When the vertical loads increases concrete mats are encouraged. Connection methods include multiple options, either for attachment to the foundations or for connecting containers to other container [18] as for the solution proposed herein. The connection devices lock the containers together by attaching through the top or bottom openings on corner fittings. The connection devices can support lateral and gravity loads under normal shipping operations. Depending on the container structure’s application [19], further modification to the locking connections may need to be developed.

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The limited mass of the main component reduces seismic effect induced may earthquake. Nevertheless a thoughtful dynamic analysis is needed especially to assess the impact of window and door opening, realized by cutting roof or wall sections, and to design the perimetral strengthening. For moderate or high seismic region a stiffening achieved by braces (eventually realized by steel ropes) is foreseen or alternatively the recourse of low-cost isolation bearing could be conveniently considered.

6 Conclusions The PaLiMo is a design of innovative realized re-using shipping containers. Complying with Passive House standards. It is a passive housing module feasible not only for residential use but also as emergency low-emission housing module. The paper reports the outcomes of studies performed to evaluate the energy and environmental impact. The energy performance of the PaLiMo was evaluated by means of DesignBuilder. The results show that the best energy performance was obtained in Catania (31.8 kWh/m2y.) with GHG emission of 1023.1 kg/m2. In conclusion, PaLiMo turns out to be Passivhaus Building characterized by comfortable conditions and by interesting environmental performance. Moreover, it is worth noting that an advantage of this solution is that they can be moved easily wherever there is need.

References 1. Rodrigue, J.-P.: The repositioning of empty containers, p. 456. Routledge (2020) 2. UNCTAD Stats: United Nation Conference on trade and development. https://stats.unctad. org 3. Howard, B.C.: Shipping container homes. In: Popular Mechanics (2013) 4. Lawson, W.: Timber in Building Construction-Ecological Implications: Section-1, Project No: PN017b.96, Forest & Wood Products Research & Development Corporation, Melbourne (1996) 5. Hammond, G.P., Jones, C.I.: Inventory of Carbon & Energy. Version 1.6a, University of Bath, UK (2008) 6. Ismail, M., Al-Obaidi, K.M., Abdul Rahman, A.M., Ahmad, M.I.: Container architecture in the hot-humid tropics: potential and constraints. In: International Conference on Environmental Research and Technology, pp. 142–149 (2015) 7. Kotnik, J.: Container Architecture: This Book Contains 6441 Containers. Links International, Barcelona (2008) 8. Islam, H., Guomin, Z., Setunge, S., Bhuiyan, M.A.: Life cycle assessment of shipping container home: a sustainable construction. Energy Build. 128, 673–685 (2016) 9. Olivares, A.A.P.: A comparative life cycle analysis of container architecture for residential structures. A M. Arch Thesis submitted to the Victoria University of Wellington (2010) 10. Passive House Institute (PHI) (2015). http://passiv.de/en 11. Energy Plus: Engineering Reference. The reference to energy plus calculation, Green Roof Model (EcoRoof), University of Illinois and University of California, pp. 123–132 (2011)

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12. Upton, B., Miner, R., Spinney, M.: The greenhouse gas and energy impacts of using wood instead of alternatives in residential construction in the United States. Biomass Bioenerg. 32(1), 1–10 (2008) 13. Bongiorno, E.: La casa passiva e l’efficienza energetica degli edifici. MAP Modulo Abitativo Passivo, S.D.S. Architettura, Siracusa (2017) 14. PHI: Criteria for the Passive House, EnerPHit and PHI Low Energy Building Standard (2016) 15. Feist, W., Schnieders, J., Dorer, V., Haas, A.: Re-inventing air heating: convenient and comfortable within the frame of the passive house concept. Energy Build. 37, 1186–1203 (2005) 16. Tettey, U.Y.A., Dodoo, A., Gustavsson, L.: Design strategies and measures to minimise operation energy use for passive houses under different climate scenarios. Energy Effic. 12(1), 299–313 (2019) 17. Giriunas, K., Sezen, H., Dupaix, R.B.: Evaluation, modeling and analysis of shipping container building structures. Eng. Struct. 43, 48–57 (2012) 18. ISO/TC 104: ISO 3874:1994 series 1. Freight containers-handling and securing. Geneva (Switzerland): International Organization for Standardization (1997) 19. Costanzo, V., Evola, G., Marletta, L., Nocera, F.: The effectiveness of phase change materials in relation to summer thermal comfort in air-conditioned office buildings. Build. Simul. 11(6), 1145–1161 (2018)

Economical Comparison Among Technical Solutions for Thermal Energy Production in Buildings Based on Both Conventional and Solar RES Systems Concettina Marino1, Antonino Nucara1, Maria Francesca Panzera1, Antonio Piccolo2, and Matilde Pietrafesa1(&) 1

Department of Civil, Energetic, Environmental and Material Engineering, Mediterranea University of Reggio Calabria, Reggio Calabria, Italy [email protected] 2 Department of Engineering, University of Messina, Messina, Italy

Abstract. Greenhouse gas emission reduction and the control of excessive use of fossil fuels currently represent one of the main challenges of European energy policy and global Agreements, especially in order to limit dangerous climate changes. Particularly in EU such objectives are pursued through a wide range of regulation and incentive measures: strongly recommended are marked reductions in primary energy consumption and increase in the share of renewable energy. In developed countries a significant portion of primary energy is consumed in buildings: with reference to Italy, potential savings obtainable from the sector are about 40% of the national energy needs in end-use and 36% of GHG, that could be significantly reduced through sustainable design, energy efficiency increases and wider RES use. The study presents an energetic and economic comparison between the satisfaction of thermal consumption for heating, domestic hot water and washing water in household appliances in residential buildings, through technologies based on both conventional and renewable energy sources exploiting solar energy. Several configurations of both conventional thermal energy production systems (water heater, boiler) and thermal and electric renewable ones (solar collector, heat pump, photovoltaic system) have been considered, for which a comparison in terms of primary energy, avoided emissions and Net Present Cost has been made, estimating the respective convenience in their life span and identifying the cost optimal solution that guarantees user needs with lower investment and operating costs. Keywords: Solar collector


Photovoltaic
GHG emission reduction

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1433–1447, 2021. https://doi.org/10.1007/978-3-030-48279-4_134

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1 Introduction Nowadays, the energy demand rises at nearly 3% per year. This percentage is reflected in each field, with a strong consumption of resources and increasing emissions. Industrial processes, public and private transports, buildings, all require huge amount of energy, that can bring to irreversible consequences without a strong reverse in the energetic paradigm, presently based on fossil fuels originating dangerous greenhouse gases. Buildings and their construction sectors, in particular, are globally responsible of 36% of total final energy consumption, corresponding to nearly 40% of CO2 emissions [1]. This can be easily linked to the population growth and to the changes in the society, making people work more and spend more time indoors [2]. Many retrofit actions can be taken to reduce consumption: the Efficient World Scenario of IEA [3] underlines the strong energy saving potential referred to space and water heating, space cooling, use of electric appliances, etc. If space heating, on one hand, offers over 25% of potential saving, water heating efficiency, on the other, can also be improved by 43%. In Europe hundreds of policies and measures are active in this aim: the most famous is the Climate - Energy Directive [4] so called “20-20-20”, promoting the use of renewable sources, the reduction of energy consumption and the increase of energy efficiency. In Italy energy efficiency is the priority of the National Energy Strategy [5, 6], aimed at overcoming EU objectives to 2020, setting a final energy saving of 24%, to be achieved in the construction sector thanks to the adoption of increasingly challenging energy parameters and integration of renewable sources plants. Referring to energy saving the scientific research is conspicuous. It concerns surveys on new and existing European non-residential buildings adopting energy efficiency measures [7], glazed surface optimization in order to minimize energy consumption [8], solutions to reduce energy demand in health facilities [9], electrochromic windows impact on energy consumption [10, 11], a simplified tool based on a resistance-capacitance thermal model for the envelope thermal inertia [12], a prototype of a dual source heat pump with a geothermal closed loop [13]. Also concerning RES many authors have investigated: on the possibility to costeffectively employ 100% RES to produce electricity for city loads [14], on institutional barriers overcoming [15], on the difficulties in the technological change towards cleaner energy [16] or on the interaction between intermittent RES supply and energy demand [17]. Among renewable sources solar energy offers a significant opportunity to produce both electrical energy in photovoltaic systems or thermal one in solar collectors, this latter to be used for domestic hot water (DHW) production [18], heating purposes [19, 20] or to warm water in household appliances. On the matter [21] analyses solar systems life cycle analysis, [22] proposes a district cooling system powered by RES, [23] compares a photovoltaic/thermal (PV/T) plant with the most known technologies, [24] analyses shading effects by tilted strings or adjacent buildings on PV energy production or [25] discusses the need to reach a trade-off between the economic and the environmental impact of RES use in the residential sector.

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In this framework, aim of the study is to preliminarily approach a helpful system to support both technicians and decision-making processes concerning the best technologies to be used in buildings to produce hot water for both domestic and washing water in household appliances as a function of solar radiation areas, cost of raw material (gas or electric energy) and the national market. The progressive diffusion of renewable technologies is in fact requiring an evolution on the front of user awareness and consequent choices among renewable energy appliances in order to obtain the maximum exploitation of electrical and thermal energy. For the case under examination an energetic and economic comparison among the satisfaction of thermal consumption through several configurations of different technologies based on both conventional (both electric and gas boiler) and renewable sources (solar collector, heat pump, photovoltaic system) has been carried out. The comparison has been made in terms of Net Present Cost, estimating the respective convenience of the different configurations in their life span and identifying the cost optimal solution that guarantees user needs with lower investment and operating costs. The methodology in a next research will be extended to other types of thermal requirements such as the environment heating. The analysis has been referred to Italy, showing significant solar radiation together with a high cost of both methane and electric energy, analysing a residential user in the city of Reggio Calabria; diagrams or key directions might in the future be obtained from a suitably wide and differentiated range of data covering different climatic areas.

2 Methodology of Analysis Thermal consumption in buildings is mainly due to the environment heating, DHW production and water heating for household appliances. Referring to the last two aspects, aim of the study, hot water can be obtained using different technologies such as electric boiler, gas boiler or air-to-water (A2W) heat pump, eventually integrated with solar collectors, or by electric energy in washing machines. In this framework, main goal of the research is to characterize a useful system to support both decision-making operators and politicians (but also technicians and energy aware end-users could benefit from it) in selecting the best technologies and their combinations in buildings for thermal energy production. Particularly in the study an energetic and economic comparison among the satisfaction of thermal consumption through several configurations of different technologies based on both conventional and renewable sources has in this aim been carried out. The comparison has been made in terms of energy consumption and Net Present Cost, estimating the respective convenience in their life span and identifying the cost optimal solution that guarantees user needs with lower investment and operating costs. The analysis has been particularly devoted to hot water production (both domestic and washing water in household appliances) but the methodology can be extended to other types of thermal requirements such as the environment heating.

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It has been referred to a residential user in the city of Reggio Calabria, in Southern Italy, country with a significant irradiation, especially in the site chosen, together with high costs of both methane and electric energy. In order to obtain generalized results and key directions, the analysis should be effected for different geographical areas and building typologies. The collection of a suitably wide and differentiated range of analysis data, covering different European climatic areas, would subsequently allow the definition of diagrams or key directions for areas with different solar irradiation and energy cost. 2.1

Hot Water Requirements

Domestic Hot Water. Thermal energy required for DHW (QDWH) has been obtained through the following equation: QDHW ¼ qw cw

X

  Vw;i her;i  h0 ng

ð1Þ

i

where: • • • • • •

qw is water density (1000 kg/m3) cw is water specific heat (0,001162 kWh/kg K) Vw,i is the required daily volume of water (m3/day) her,i is the supply temperature (°C) h0 is the incoming water temperature (°C) ng is the number of days of the chosen period. The temperature of incoming water can be taken from the norms (UNI 10349 [26]).

Hot Water for Washing Machine and Dishwasher. For both machines the principle of functioning is usually based on the use of a resistance (generally generating a power of 1,2–1,5 kW) which warm up the water needed for the washing, absorbing a huge amount of electric energy. The longest part of the washing cycle is referred to water heating and is the most energy consuming: for this reason, aim of the research is to convert electrically powered devices using thermal supply. The amount of thermal energy Qw needed for the heating of water for the washing is given by the following equation: Qw ¼ mcw DT

ð2Þ

where: – m is the mass flow involved in the process (l or kg) – cw is water specific heat – DT is the difference between the required water temperature and the incoming one. Solar Panel Contribute: F-Chart Method. Solar panels can be used for several applications, in both commercial [27, 28] and residential environments [29], for

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environment heating [30] or just for hot water production. To determine the monthly satisfaction of the thermal load the F-chart method has been used [31]. Photovoltaic Systems Energy Production. Energy production from photovoltaic systems has been determined using equation: E ¼gSI

ð3Þ

where η is the panel efficiency, S the panels surface (m2) and I the solar irradiance on the panel (kWh/m2) for the considered site [32]. NPC Evaluations. In order to determine the pay-back time of the different investments and their convenience through the years, the Net Present Cost (NPC) has been used: ð4Þ where: • • • • •

Ci are the yearly functioning and maintenance costs Bi are the benefits deriving from the incentives in force r is the interest rate (presently 0,69%) I0 is the investment cost n is the number of years considered for the analysis (20).

The investment cost can be reduced enjoying different incentives: particularly some devices can enjoy the contribution of the income tax deduction, given in case of specific actions aimed at increasing energy efficiency or for the use of renewable energy sources, corresponding to 50% of the investment costs, equally spread in 10 yearly rates. An alternative, recent incentive in support of energy efficiency increase, with different timing, is the Thermal Account 2.0, regulated by GSE (Electricity Services Operator): through specific algorithms and a different procedure, it provides the maximum obtainable incentive (at most 40% or 65% of the total investment), that is paid in short times (maximum 90 days) with a bank transfer to the customer’s account. For the photovoltaic plants, moreover, the mechanism of On site exchange, normed by an Integrated Text issued by the Electricity and Gas Authority [33], remunerates the exceeding production sales providing an indirect monetary compensation between energy input and withdrawn from the grid.

3 Case Study 3.1

Characteristics of the Site

Italy has significant solar irradiation together with high costs of both methane and electric energy.

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Having a longitudinal extension, it is characterized by different weather and radiation conditions among the whole country: solar global horizontal radiation goes from approximately 900–1000 kWh/m2 year in the North of Italy to nearly 1800–2000 kWh/m2 year in the South. Reggio Calabria is a city in the South part of Italy, with a mean solar radiation equal to 1750 kWh/m2 year, which can be considered as an average value for the Mediterranean area. As concerns energy cost, Italy suffers the second highest cost in Europe as concerns gas [34] (approximately 0,9 €/Sm3), while electric energy cost (0,216 €/kWh) is close to the average European one (0,204 €/kWh) [35]: for both gas and electric energy prices in EU show marked differences and in both cases the Italian costs are major than 80% of the lowest ones. 3.2

Selected Devices

According to ISTAT (National Institute of Statistics) [36], approximately 80% Italian dwellings use gas powered systems to produce hot water (70% from the same device used for heating production, 30% from a separate one), 12% uses systems powered by electric energy, the remaining percentage adopts biomass or other technologies systems, within the which only 1,5% exploits solar energy for hot water purposes. In the study an electric boiler, a gas boiler and an A2W heat pump have been considered for the satisfaction of hot water load (Table 1). In the first three cases (1–3) the most frequently used devices have been considered for DHW production, while the use of electric energy has been chosen to satisfy washing and dishwasher requirements, both with an operating temperature of 60 °C and a volume of water per cycle respectively of 48,5 l and 9,5 l. The second three cases (4–6) have considered the same DHW devices but introducing the presence of two plain solar collectors to support only DHW production; washing and dishwasher are still powered by electric energy. The last three cases (7–9) consider the same conditions as cases (4–6) with the addition of a third solar panel for hot water production for household appliances; electric energy, from the grid or from the RES plant, will be used as a back-up in case solar energy production is scarce or not completely sufficient. A daily water consume of 50 l/person and a number of 4 people per family has been considered, together with a supply temperature of 50 °C. The temperature of incoming water has been taken from the norm UNI 10349 [26], being put equal to the monthly average temperature of external air in the city of Reggio Calabria.

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Table 1. Case study configurations. Case DHW device 1 2 3 4 5 6 7 8 9

Thermal panels Absent

Washing and dishwasher Powered by electric energy

Electric boiler Gas boiler A2W heat pump Electric boiler 2 collectors Powered by electric energy Gas boiler A2W heat pump Electric boiler 3 collectors Powered by thermal energy Gas boiler A2W heat pump

4 Results and Discussions 4.1

Thermal Energy Requirement Satisfaction

Thermal energy requirements obtained with the expressions (1)–(2) are reported in Table 2. Table 2. Thermal energy requirements. Hot water requirements DHW Washing Dishwasher

Thermal energy (kWh) 2.704 861,4 168,7

Using the F-chart method a yearly fraction of thermal load satisfaction has been determined. Considering two panels for just DHW production (cases 4–6) the results are reported in Fig. 1; Fig. 2 reports the monthly load and the corresponding fraction covered through solar energy.

Fig. 1. Solar fraction trend during the year

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From the Figures it is possible to appreciate the contribute of solar energy to load fulfilment: during the winter the satisfaction percentage is 40–50% while from April to September panels are able to fully satisfy the thermal load for DHW. This leads to a mean yearly percentage of 78% of load satisfaction, resulting in a significant reduction in the fuel or energy vector usually utilised to satisfy the load. As concerns the use of solar energy also as a support for hot water production for household appliances (cases 7–9), being thermal load higher (3.734 kWh) a further panel was considered to help the production, providing a yearly load satisfied fraction equal to 80%. The residual thermal energy, not provided by solar collectors, is reported in Table 3. In cases 1–3, without solar collectors, the total thermal energy is satisfied by electric one or gas; in cases 4–9 thermal energy not covered by collectors is 22 or 20%. Subsequently, in order to produce from RES energy not provided by solar collectors, a polycrystalline silicon PV plant (0,17 efficiency) has been adopted, providing in the form of electric energy the total/residual amount required to satisfy the respective thermal loads for the different cases. The PV plant has been dimensioned for all the analysed cases: Table 4 reports its powers and the corresponding energy to be provided. In the analysis only cases 1, 3, 4, 6, with a plant power  0.8 kW, have been considered, being electrical residual low in the other ones. The implemented version of the configurations is reported in Table 5.

Fig. 2. Monthly load satisfaction from solar energy. Table 3. Thermal energy not covered by solar collectors. Case Solar fraction (%) Thermal energy not covered by solar collectors (kWh) DHW Washing machine Dishwasher 1–3 – 2.704 0 0 4–6 78 593,7 0 0 7–9 80 533,2 169,9 33,3

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Table 4. Energy to be provided and photovoltaic power for the different cases. Case 1 2 3 4 5

Electric energy (kWh) 3.761 1.030 1.902 1.630 1.030

PV power (kWp) 2,5 0,7 1,2 1,1 0,7

Case 6 7 8 9

Electric energy (kWh) 1.222 742 203 375

PV power (kWp) 0,8 0,5 0,1 0,2

Table 5. Analysed configurations implemented with PV systems.

4.2

Case DHW device

Household Thermal appliances panels Electric boiler Powered by Absent A2W heat pump electric energy Electric boiler Powered by 2 collectors A2W heat pump electric energy

PV panels

1FV 3FV 4FV 6FV

10 panels 5 panels 5 panels 4 panels

Economic Considerations

In Table 6 the investment costs, together with the corresponding discounted prize, the functioning costs and the benefits of the different configurations are reported. As concerns the incentive on investment cost, the income tax deduction has been applied to the gas boiler and photovoltaic plants, whereas for A2W heat pump and solar collectors Thermal Account 2.0 has been chosen, due to its lower pay-back time. For heat pumps the incentive is fixed and equal to 700 € for storages major than 150 l, as in the present case, whereas for solar collectors a mathematical equation determines the maximum allowable incentive in dependence on the gross plant surface and the panel efficiency, resulted maximum 65% of the investment cost. The cost of the yearly thermal or electric energy consumption for the different cases is reported in Fig. 3, showing the cost of the different load rates (DHW, hot water for washing machine and dishwasher) except the ones with photovoltaic, for the which it is not possible to separate them. The maintenance cost has been assumed equal to 100 € for configurations 1–3, to 150 € for configurations 4–9, 1FV, 3FV, including only one RES system (either solar collector or photovoltaic), to 200 € for configurations 4FV, 6FV, including both solar collectors and photovoltaic.

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Device

Investment costs (€) Incentivised costs (€) Cost (€/year) Benefit (€/year) Electric boiler 300 € 300 € 827 – Gas boiler 550 € 27,5 €/year* 508 – A2W heat pump 1.700 € 1.000 € 418 – 2 collectors 2.500 € 880,2 € 359 – 3 collectors 3.700 € 1.270,3 € 288 – PV system (case 1) 4.900 € 245 €/year* 269 202 PV system (case 3) 2.500 € 125 €/year* 164 101 PV system (case 4) 2.150 € 108 €/year* 77 106 PV system (case 6) 1.600 € 80 €/year* 52 86 *for the first ten years

The benefits for energy sale can be applied only to photovoltaic production. The selling energy price to the Electricity Services Operator (GSE in Italy) is the market price for the plant site, in Reggio Calabria equal to 0.07 €/kWh.

Fig. 3. Functioning cost rates for the different cases.

NPCs of the different configurations are shown in Figs. 4 and 5. In Fig. 4 it can be observed that the combination which produces the highest energy consumption and NPC (13.479 €) is Case 1, in which all the devices are powered by electric energy conventionally produced. Using a gas boiler or a A2W heat pump (cases 2–3) significantly reduces NPC. The most convenient cases are 7-8-9, including 3 solar collectors, that, with investment costs lower than 5.000 €, show NPCs varying from 3.982 to 4.888 €, 47–65% less than the respective cases 1, 2 and 3.

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Fig. 4. NPC for cases from 1 to 9.

Among the cases with photovoltaic systems shown in Fig. 5 the strongest reduction with respect to the corresponding cases without PV is referred to case 1, in which more than 7.000 € are saved; in general, for all cases the decrease in NPCs goes from 45% to 60%. The lowest NPCs, 50–65% less than the respective cases without PV, are observed for cases 4 and 6, due to the presence of a thermal system together with a PV one: for such configurations the higher investment cost is markedly compensated by saved bills.

Fig. 5. NPC for cases endowed with a PV system.

5 Conclusions Aim of the study is to provide a helpful system to support both technicians and decision-making processes concerning the best technologies to use in buildings to produce hot water (domestic and washing water in household appliances) as a function of the solar radiation areas, the cost of raw material (gas or electric energy) and the

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national market. The methodology can also be extended to other types of thermal requirements such as the environment heating. The progressive diffusion of renewable technologies is in fact requiring an evolution on the front of user awareness and consequent choices among renewable energy appliances, also in the field of household ones, in order to obtain the maximum exploitation of both electrical and thermal energy. In this aim several configurations of both conventional thermal energy production systems (electric and gas boiler) and thermal and electric renewable ones (solar collector, heat pump, photovoltaic system) have been considered, with the aim of identifying the cost optimal solution that guarantees user needs with lowest investment and operating costs. For just DHW production two solar panels have been integrated to conventional systems; to satisfy both DHW production and water heating in household appliances (washing machine and dishwasher) three panels have been used. In addition, for the cases showing the highest electrical consumption, the presence of a PV system has been considered too, with the aim of satisfying only the electrical load not covered by solar thermal panels. The comparison has been made in terms of energy consumption and Net Present Cost, estimating the respective convenience in their life span and identifying the cost optimal solution that guarantees user needs with lower investment and operating costs In the paper the analysis has been referred to Italy, due to its significant solar radiation together with the high costs of both methane and electric energy, and addressed to a residential user in the city of Reggio Calabria; diagrams or key directions might be obtained in the future starting from a suitably wide and differentiated range of analysis data, covering different climatic areas. The results showed the significant contribute of solar energy for DHW production: especially during the warmer months there is no need of conventional devices, while in winter such devices integrate only in a limited part what solar energy is not able to produce, having anyway a pre-heated water in entrance to the system. Solar panels used as a support for hot water production in household appliances replace the use of the resistance and also guarantee a strong reduction of required electric energy, with important savings on the bills. From the results it can be observed that the combination which produces both the highest energy consumption and NPC (13.479 €) is Case 1, in which all the devices are powered by electric energy conventionally produced; the use of a gas boiler or a A2W heat pump significantly reduces NPC. The most convenient cases are 7-8-9, including 3 solar collectors, that, with investment costs lower than 5.000 €, show NPCs varying from 3.982 to 4.888 €, 47– 65% less than the respective cases 1, 2 and 3. Among the cases with photovoltaic systems the strongest reduction with respect to the corresponding cases without PV is referred to case 1, in which more than 7.000 € are saved; in general, for all cases the decrease in NPCs goes from 45% to 60%. The lowest NPCs, that result approximately 50–65% less than the respective cases without PV, are observed for cases 4 and 6, due to the presence of a thermal system together with a PV one: in these cases, in general the cheapest, the higher investment cost is markedly compensated by saved bills.

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Acknowledgment. This work was carried out within the research project n. 201594LT3F, “Research for SEAP: a platform for municipalities taking part in the Covenant of Mayors”, which is funded by the PRIN (Programmi di Ricerca Scientifica di Rilevante Interesse Nazionale) of the Italian Ministry of Education, University and Research. Nomenclature

QDWH qw cw Vw,i her,i h0 ng Qw Qd m DT X Y η S I NPC Ci Bi r I0 n

domestic hot water requirement water density water specific heat daily volume of water required supply temperature incoming water temperature number of days washing hot water requirement dishwasher hot water requirement mass involved in the process of washing difference between the required water temperature and the incoming one solar system losses solar system gains PV panel efficiency PV panels surface solar irradiance on the panel Net Present Cost yearly cost yearly benefit interest rate investment cost number of years

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Circular Processes and Life Cycle Design for Sustainable Buildings Monica Lavagna(&) , Anna Dalla Valle , Serena Giorgi Tecla Caroli , and Andrea Campioli

,

ABC Department, Politecnico di Milano, 20133 Milan, Italy [email protected]

Abstract. The paper presents some research paths that the authors have deepened with the aim of orienting the building sector towards sustainability. In particular, the need to apply a systemic vision emerges, going beyond the singleissue approach often adopted by the political framework too. A life cycle approach, that considers the whole life cycle phases, the different environmental indicators, and the various spheres of sustainability (environmental, economic and social), can support strategies and decisions to ensure long-term sustainability. Three courses of action are highlighted: the development of environmental life cycle tools, to support the decision-making during the design phase (but also of the following building process phases); the development of circular strategies, with reference to the changes needed along the entire supply chain (involving design, business models, resource management); the development of reversible technologies, to improve resource efficiency and circularity (e.g. through design for disassembly). Finally, some key issues are outlined for future developments. Keywords: Life cycle thinking


Circular economy
Design for disassembly

1 Challenges Towards Sustainable Buildings To meet the Sustainable Development Goals, construction sector is increasingly coming up to recognize the need to shift the shared mental model of buildings from products and technologies to purposeful systems- and life cycle-thinking [1, 2]. In particular, this maturity had a huge boost in most industrialized countries after the implementation of energy efficiency regulations, raising the issue of how the efforts to minimize operational emissions show a significant increase in the embodied emissions [3]. Although so far energy issue has played a central role, since buildings are increasingly designed with low energy consumption (or even zero energy consumption), now the attention is shifting towards materials. A sustainable building is a low energy building, but also a building made with renewable/bio-based materials or recycled/recyclable materials. These qualitative and single-issue approaches are peculiar to the voluntary context, where tools such as Green Building Rating Systems give a reward to individual actions and provide an overall sustainability score from the sum of actions, without verifying the cross-cutting issues and the final effectiveness. However, © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1448–1457, 2021. https://doi.org/10.1007/978-3-030-48279-4_135

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this happens also in policies, where each plan of action tends to focus only on one issue (climate, waste, water and so on) with little consideration of synergies or contrasts among each other. Low-carbon policies, Circular economy policies and Bio-economy policies promote for instance different environmental aspects, all important. Nevertheless, promoted individually they may be in competition (is it better to choose a bio-based material or a recycled material?), if not in conflict, losing sight of the final goal: the reduction of environmental impacts. For these reasons, the single-issue approach has been questioned in many Green Building Rating Systems, welcoming the transition to a life cycle approach. In fact, the maximization of each of these environmental criteria does not necessarily imply an environmental improvement, unlike what happens assuming a systemic vision of the materials choice into the whole life cycle [4]. For example, it is possible to choose a non-local material, which shows a reduced production environmental impact able to compensate for the greater transport impacts. To overcome this, it is necessary to move from a qualitative and single-issue approach to a quantitative and holistic approach (considering several environmental indicators and all life cycle phases), typical of Life Cycle Thinking [5]. The need for a vision extended to the entire life cycle and to multiple factors allows to avoid burden shifting between different life cycle phases (e.g. from use phase to production), between different impacts (e.g. from global warming to acidification) and between different sustainability spheres (e.g. from the environmental sphere to the social sphere). In this way, with the aim of reducing the environmental impacts of buildings, the holistic approach is stressed by many researchers at international level, as proved for instance by the integration in Levels – the common EU framework of core sustainability indicators for buildings – of Life Cycle Assessment (LCA) as well as Life Cycle Costing (LCC) methodologies [6]. A shift in approach is needed for facing with a systemic and integrated vision the architectural projects, the building processes (including the relationships between operators) and the choice of construction solutions. Up to now this change is allowed by three main courses of action: the development of environmental life cycle tools, to support the decision-making during design (but also of the following building process phases); the development of circular strategies, with reference to the changes needed along the entire supply chain (improvement in design, in business models, in resource management); the development of reversible technologies, to promote resource efficiency and circularity (e.g. through design for disassembly).

2 Environmental Life Cycle Tools for Buildings To support practitioners in the transition towards environmental sustainability, various building LCA tools were developed over time in order to enact environmental efficiency as further decision-making criteria, simplifying LCA methodology also to nonexperts [7]. Initially, this has been all about stand-alone software (e.g. Legep, Athena, OpenLCA), distinguished by a user-friendly interface at the expense of the transparency of the embedded information, often seen as black box. Subsequently, since these tools were often applied as post-design evaluation, not affecting design choices,

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different methods were developed to exploit the potential offered by Building Information Modelling (BIM) [8], as method currently used for designing and managing building processes. Key goal was to make LCA databases interoperable with BIM in order to promote the application of LCA studies from the outset [9], in some cases combined with the most varied design analyses [10] for pursuing a more systemic vision. To reduce duplication of efforts for the inventory, recognized as the most timeconsuming phase, further step concerned the progression of LCA software intended as BIM plug-in (e.g. Elodie, Tally) [11]. Scope was to integrate LCA methodology directly into BIM to automate throughout the process the input, calculation and updating of the inventory data, encouraging the establishment of LCA studies starting from the early design phases. However, to address the lack of data and information noticeable especially during the concept phase, the integrated LCA-BIM methods were further advanced in order to apply LCA studies from the beginning of the projects. In particular, the latter give guidance for preliminary choices by means of different probability distributions based on the so-called “functional database”, namely a collection of LCA information and data of all building assembly, layers and materials, taken as representative sample of the reference context [12]. Indeed, the aim is not only to assess the environmental impacts of the proposed buildings but to affect the decisionmaking process, moving up the LCA studies at the early phases, where crucial choices are made, and not at the end, where potential for changes, improvements and optimization are limited [13]. As a result, LCA is growing in strength for assessing the environmental performance of building in research but also in practice, even if most times still in form of post-assessment for sustainability certification purposes, because embedded in an increasing number of Green Building Rating Systems [14]. However, surveying design practice, it emerges that to date the design process, also of certified projects, takes into consideration very few life cycle information, thus narrowing the demanded whole life cycle approach [15]. The topics that more affect the decision-making are building materials and energy use, followed to a lesser extent by operational water and materials for maintenance and in turn by materials for replacement and repair operations. Less common are use emissions, construction waste and recycled materials. The fact is that the integration of the cited life cycle topics in the process is strictly related to buildings complexity and requirements, it is not constant along the process, usually involving only specific design phases, and it is not fully explored, focusing mainly on the principal technological elements. By now it is well-known that the assimilation of a life cycle approach in building sector is a challenging task, since it requires a switchover both in thinking and in process in a sector considered resistant to change. For this purpose, the exploitation of BIM capabilities is even more considered as strategical to assist LCA of buildings: by storing the data, performing quick quantity take-off, improving the information flows among the actors, encouraging the co-operations in the process [16]. Nevertheless, its application in practice calls for the support both from the technical and managerial points of view. To this end, some studies work on how to match in an effective way the proprieties of BIM model with the data needed to conduct LCA studies, structuring the BIM parameters responsible for the environmental impacts of buildings [17]. Some others move forwards, systematizing based on current practice the full set of

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environmental variables to be considered throughout the stages of buildings life cycle, but also the actors in charge according to their area of competence and the resulting information flow during the process [18]. Due to the complexity of buildings and connected process, both in terms of information and players, LCA of buildings appear as the most complex LCA application. In this way, to put in effect the environmental life cycle approach for buildings, there are various areas that require further development to be able to maximize LCA use in construction sector. For instance, it is crucial to implement life cycle thinking to all parties during the whole process, sharing roles and responsibilities and conceiving BIM as a project-based life cycle database, in order to create over time a valuable source of information for all the stakeholders involved in the building process [18]. Furthermore, added industrial collaboration needs to be strengthened not only to aid in developing better databases but also to help with the integration of LCA in buildings industry which is essential for environmentally conscious decision-making [19]. These issues turn out to be pivotal to gain long-term perspective, promote sustainable practice, encourage innovative strategies, lead decision-making and avoid shifting problem in line with the expected environmental life cycle approach.

3 Circular Strategies for Buildings The application of circular economy to buildings aims at achieving the closed loop system to preserve the natural resource and avoid the generation of waste. The concept of circular economy is based on theoretical issues, developed from the end of the Sixties by Environmental Economics, concerning the extensions of product life cycle through material exchange (reuse, recycling) and strategies planned from the beginning, with a particular focus on design. However, in literature and in practice circular economy is still narrowed to the end-of-life phase, where recycling appears as the main debated and applied strategy [20]. In order to apply the entire concept of circular economy to the building sector, it is necessary to adopt a holistic approach: an overall and multidisciplinary intervention able to acts across the whole building life cycle. Many competences and technologies are required, otherwise the risk is to change the current practices only apparently in a circular way, creating in reality unexpected impacts across other life cycle phase. For this reason, the development of environmental and economic life cycle assessments is fundamental in order to evaluate the effective sustainability of circular strategies. The application of circular economy at building level should be undertaken following the three fundamental strategies: • the monitoring and control of the materials flows, evaluating the impacts of resources managements in input and waste in output; • the decision-making during the design phase, taking into account all possible changes of building during its life cycle and assessing the possibility of transformation in relation to materials and technological solutions;

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• the business models and the relationships among the stakeholders of the building value chain, creating active, profitable and circular market in order to enable the extension of component and building life cycle. Consequently, it is important to modify the dynamics of design process, construction activities, maintenance operations, business models and resource flows management, in order to achieve sustainable practices within circular economy perspectives. However, by now the European policy actions aim at improving just the monitoring of materials flows, by means of a more controlled construction and demolition waste managements (see the “EU Construction and Demolition Waste Management Protocol” and the “Guidelines for the waste audit before demolition and renovation works of building”). Recycling practices are the strategies more supervised, while reuse and design practices to avoid waste are actually not promoted [20]. The risk is to encourage recycling without reducing waste production (accelerating therefore consumption cycles). To apply circular economy, many European Countries as well as United States and Japan have mainly chosen a “marked based” approach, promoted by environmental associations and non-governmental organizations, encouraging labelling systems and Green Public Procurement (GPP) [21]. In Italian GPP, Criteri Ambientali Minimi (CAMs) create a good framework of requirements, taking into accounts not only construction and demolition waste management, but also looking for disassembly and reuse. However, there are still few applications of CAM requirements and a lot of doubts among operators. In a market base approach, stakeholders play a crucial role, because due to their competitiveness and activities, many circular strategies can be applied in practice by changing business models and relationships between operators with a bottom-up approach. Many studies start to survey operators in order to understand in-depth the trigger under specific best practices [22]. Also in Italy, the same methodology was applied to understand the barriers and levers for circular economy in the building sector, disclosing the priority needs and requirements of stakeholders and operators [23]. Direct interviews were made to the main operators of the building value chain, including investors/owners, policy makers, banks, designers, manufacturers and suppliers, construction companies, demolition companies and waste facilities/treatment companies. The analysis shows that one of the main barriers towards circular economy is the difficulty to cooperate among the operators of building process. To achieve sustainable circular process, as well as policy improvements, the encouragement of strategic partnerships between operators and stakeholders of the building value chain is crucial. Building sector has to face the challenge of creating strong connections between operators (see Fig. 1), despite the intrinsic resistance of the field typically characterized by discontinuous and time variable relationships. In this context, digital support and informatics tools are fundamental to enable stakeholders interaction, such as the creation of platforms for the information and materials exchange and the use of BIM to share and store buildings information.

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Fig. 1. New relationships among operators (in orange) to encourage circularity strategies.

This framework opens up to new market opportunities, new business chances among operators and new roles [24]. In particular, it is necessary: to join the expertise of investors, designers, demolishers and waste managers, in order to become aware of the value of waste/materials, promote durability and a second life of products; to relate the competences of designers and manufacturers, in order to allow information sharing and develop easily removable and reusable elements; to identify and train professional actors suitable for mapping material flows; and to promote supply service chains, in order to recover materials and activate new business of reused and regenerated products.

4 Reversible Technologies for Buildings The evolution of construction systems offers a wide range of possibilities and technological improvements, simplifying and optimizing the building process. In this context, reversible technologies enhance the sustainability of buildings at environmental level [25], reducing the use of materials and energy and the production of construction waste. Reversible technologies can be classified in: hard technologies, i.e. the whole techniques (materials, components, connections) necessary for the creation of building systems [26]; and soft technologies, i.e. the set of theories, management models, processes and operators that permit to a constructive system to return to its original state [27]. These technological features ensure the application of circular economy strategies on disused components derived from the demolition or deconstruction activities of buildings and distinguished by a functional obsolescence. The “Layers of Change” scheme (see Fig. 2) realized by Steward Brand [28] explains the renewal times of building components. Six levels of technological-constructive components and their respective service lives are identified: site (setting geographic) eternal; structure (load-bearing elements) from 30 to 300 years; skin/shell (building envelope, facades) about 20 years; service (HVAC systems and moving parts, such as elevators) from 7 to 15 years; space plan (partitions) from 3 to 30 years; stuff (furniture, appliances, objects) from one day to one month.

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Fig. 2. Brand’s “Layers of Change”: six levels of components with their service life [28].

Even if the component is dry assembled, not always it is reversible. Sometimes the state of the component once disassembled does not allow to reuse or remanufacture it. Nowadays, most of building components are recycled at their end-of-life, even if this means to have more environmental and economic impacts [29] compared to reuse or remanufacturing. It is important to know how a product is designed to be disassembled to understand, during disassembly, how to recover it. For example, to remanufacture a product at the end of its useful life, reversible assembly is necessary. For partial maintenance and repair, building operations demand selective disassembly, to operate only with the involved elements. In general, non-destructive disassembly (or selective deconstruction) allows to reuse and remanufacture components, while destructive demolition leads to recycle due to the use of non-reversible technologies. Unlike the assembly activity, that occurs during or after the production phase, the disassembly activity takes place after the use phase and it is not often considered an added value for the good operation of components [30]. According to a life cycle approach, it is necessary that components are designed and built with technologies that guarantee not only their reversibility, but also a high durability and other specific performances (e.g. mechanical, thermal, safety) that reduce future resource consumption, waste generation and environmental impacts of buildings. Furthermore, the European Commission [31] states that the design phase, in which the choice of materials and technologies define the constructive solutions, is a crucial phase to reduce impacts (Life Cycle Design). In these terms, circular economy models consider as essential the Design for Disassembly (DfD) approach. Guy [32] developed a framework to implement the DfD and analyzed several cases of disassembled buildings, drawing up a list of opportunities and limits concerning the sustainability of buildings designed for disassembly. The opportunities refer to the problem of demolition and construction waste management, solved by the recovery of disassembled components. However, there are some limits that hinder the building deconstruction, such as worker safety and the time required for disassembly. Other barriers concern the way to evaluate the ability to disassembly components, such as the size or state of mechanical stress of the components, the cost of construction products or how they can be recovered. The starting point to balance the lack of data on disassembled components, such as material composition, assembly/disassembly methods, potential damages due to human activities, durability requirements and economic and technological requirements, is to

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follow the guidelines, described by Guy, to design and build towards disassembly and sustainable buildings: • reversibility of building components; • high level of durability of materials and components; • ease of disassembly of buildings or components, including the health and safety of operators and the control of induced damages from disassembly activities; • reduction of disassembly costs including the cost of tools and machines, equipment and operators; • reduction of deconstruction waste and control of contamination from toxic materials; • functional flexibility of the components, within structures; • easy portability and redesign (connection in the future) of the components. The possibility of changing the methods of designing, constructing, managing, disassembling the buildings is practicable. When the operators of building process will be aware of the advantages of these new scenarios also in terms of new business opportunities and new market developments, they will be able to overcome critical issues and provide answers. However, in this transition phase, it is pivotal to check the environmental, economic and social implications of these changes by the application of life cycle tools.

5 Highlights for Future Sustainable Buildings In recent times, the application of life cycle methodologies in construction sector has had significant developments. First of all, as tool for verifying the actions activated by environmental policies (decarbonization, energy efficiency, circular economy, etc.). Furthermore, as tool to support choices (during the design phase, during the selection of suppliers/procurement of materials, etc.). In fact, it is possible to highlight the gradual pervasiveness of life cycle approach throughout the supply chain and the progressive interest shown by the various actors of construction process (designers, builders, manufacturers, etc.). The verification of the effectiveness of the actions implemented towards sustainability is considered increasingly important by the major players. However, there are still some methodological aspects to be developed. As first, the quality of data and the transparency of what the data represent must be strengthened. Furthermore, it is not easy to define how to summarize the final results when indicators are several and their performance is not homogeneous. The issue of sustainability is complex, as proved by the outcome of environmental assessments, consisting of a series of environmental indicators in which a solution appears better in some indicators and worse in others. The need to apply normalization or weighing procedures can lead to manipulation of the results and loss of objectivity. To this end, the outlooks still opened are the definition of reference values and benchmarks [33, 34], normalization procedures with respect to national, continental and planetary boundaries [35], weighing procedures of the environmental, economic and social components in order to define a single indicator that also summarize the others (e.g. monetarization).

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In particular, the risk of this last process is that, for communication purposes, an assessment simplification is followed affecting the results. The complexity of the theme of sustainability calls for an ongoing attention, requiring constant checks on the tools adopted, steadily verifying if they are adequate to guide actions in a proper and effective way.

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18. Dalla Valle, A., Campioli, A., Lavagna, M.: Life cycle BIM-oriented data collection: a framework for supporting practitioners. In: Daniotti, B., Gianinetto, M., Della Torre, S. (eds.) Digital Transformation of the Design, Construction and Management Processes of the Built Environment, pp. 49–59. Springer, Swizerland (2020) 19. Anand, C.K., Amor, B.: Recent developments, future challenges and new research directions in LCA of buildings. Renew. Sustain. Energy Rev. 67, 408–416 (2017) 20. Giorgi, S., Lavagna, M., Campioli, A.: Guidelines for effective and sustainable recycling of construction and demolition waste. In: Benedetto, E., Gericke, K., Guiton, M. (eds.) Designing Sustainable Technologies, products and Policies – From Science to Innovation, pp. 211–221. Springer, Swizerland (2017) 21. Ghisellini, P., Cialani, C., Ulgiati, S.: A review on circular economy: the expected transition to a balanced interplay of environmental and economic systems. J. Cleaner Prod. 114, 11–32 (2016) 22. Høibye, L., Sand, H.: Circular Economy in the Nordic Construction Sector. Nordic Council of Minister, Denmark (2018) 23. Giorgi, S., Lavagna, M., Campioli, A.: Circular economy and regeneration of building stock in the Italian context: Policies, partnership and tools. SBE 2019 Brussels - BAMBCIRCPATH: buildings as material banks - a pathway for a circular future. IOP Conf. Ser. Earth Environ. Sci. 225, 012065 (2019) 24. Giorgi, S., Lavagna, M., Campioli, A.: Circular economy and regeneration of building stock: policy improvements, stakeholder networking and life cycle tools. In: Della Torre, S., Cattaneo, S., Lenzi, C., Zanelli, A. (eds.) Regeneration of the Built Environment from a Circular Economy Perspective, pp. 291–300. Springer, Swizerland (2020) 25. Sonego, M., Echeveste, M.E.S., Galvan Debarba, H.: The role of modularity in sustainable design: a systematic review. J. Cleaner Prod. 176, 196–209 (2018) 26. Nardi, G.: Tecnologie dell’architettura. Maggioli Editore, Milano (2008) 27. Gorgolewski, M.: Resource Salvation, The architecture of Reuse. Wiley Blackwell, Hoboken (2018) 28. Brand, S.: How Buildings Learn: What Happens After They’re Built. Penguin, USA (1994) 29. Singh, J., Ordonez, I.: Resource recovery from post-consumer waste: important lessons for the upcoming circular economy. J. Cleaner Prod. 134, 342–353 (2016) 30. Ilgin, M.A., Gupta, S.M., Nakashima, K.: Coping with disassembly yield uncertainty in remanufacturing using sensor embedded products. J. Remanufacturing 1(7), 1–14 (2011) 31. European Commission, EU: Construction and Demolition Waste Protocol, http://ec.europa. eu/DocsRoom/documents/20509/attachments/1/translations. Accessed 18 Feb 2019 32. Guy, B., Ciarimboli, N.: Design for Disassembly in the Built Environment: A Guide to Closed-Loop Design and Building. University Park, Pennsylvania (2007) 33. Lavagna, M., Baldassarri, C., Campioli, A., Giorgi, S., Dalla Valle, A., Castellani, V., Sala, S.: Benchmarks for environmental impact of housing in Europe: definition of archetypes and LCA of the residential building stock. Build. Environ. 145, 260–275 (2018) 34. Rasmussen, F.N., Ganassali, S., Zimmermann, R.K., Lavagna, M., Campioli, A., Birgisdóttir, H.: LCA benchmarks for residential buildings in Northern Italy and Denmark. Build. Res. Inform. 47(7), 833–849 (2019) 35. Ganassali, S., Lavagna, M., Campioli, A.: LCA and normalisation of environmental LCA based benchmarks for construction materials. In: Mondello, G., Mistretta, M., Salomone, R., Dominici Loprieno, A., Cortesi, S., Mancuso, E. (eds.) Proceedings 12th LCA Network Conference Life Cycle Thinking in decision-making for sustainability, pp. 358–366 (2018)

Eco-Innovative Scenarios for Smart Materials. The PVCupcycling Project – Circular Economy and Zero Waste Consuelo Nava(&)

and Domenico Lucanto

Mediterranea University, Via dell’Università 25, 89124 Reggio Calabria, Italy [email protected], [email protected]

Abstract. The need to consider domestic and industrial waste as innovative resources for new applications, which aim to reduce the impact on the environment and therefore society, is now an acquired fact that gives even-greater strength to the concept of circular economy. The PVCupcycling project changes the applied managerial philosophy within the production chain of the proposing company, thus initiating “the transition from linear management to a circular economy”. This project focuses primarily on PVC from electric cables which were previously destined for waste, and for this reason were strongly impacting the environment. However by implementing upcycling the project can create environmentally sustainable products using new production chains. A circular economy system will allow company to directly operate an effective recycling policy. Establishing a new “zero waste” impact scheme, in order to recover by-products from the production process, thus leading to an increased market price in comparison to their economic value, and by doing so with full respect of the blue and circular economy standards applied to the product. The project won the regional competition of Calabria (EU funds-POR Calabria 14–20 axis I-action 1.2.2) and has received European funding for the “Promotion of Research and Innovation” thanks to the proposal of the following team: R.ED.EL., a media manufacturing company, in collaboration with ENEA, an Italian energy specialist research organization, UNICAL, a chemistry specialist organisation based at the University of Calabria, PMopenlab, an innovative eco-design and additive manufacturing start-up. C. Nava is the technicalscientific team manager, a sustainability and design innovation research specialist, and the author of this article. Keywords: Upcycling


Smart manufacturing
Advanced design

1 Life Recycle Assessment and Smart Materials 1.1

The Smart Specialization Vs Ecoinnovation

The activities envisaged by this PVCupcycling project fully comply with the guidelines and recommendations indicated in the innovation areas and in the technological trajectories outlined in the S3 - Smart Specialization Strategy of the Calabria Region, © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1458–1467, 2021. https://doi.org/10.1007/978-3-030-48279-4_136

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approved with DGR n. 294/2016. In particular, the PVCupcycling project falls within the area of innovation called “Environment and Natural Risks” with Smart Manufacturing operations and intercepts the trajectory of ”new energy technologies and reuse of waste and waste to reduce environmental impact”. The project is positioned in a sector based primarily on new technologies and new waste management systems and for the recovery of civil and industrial waste in order to achieve a “sustainable management of the integrated waste cycle, with the application of innovation processes and product with a view to Circular Economy (Calabria Region tables pg. 12 doc S3/7 9–11 dec.2015/doc. S3 Reggio Calabria). A further intersection can be found with the trajectories indicated in the Intelligent Factory (Smart Manufacturing), “strategies, methods and tools for environmental sustainability; strategies and management for next-generation production systems; management of innovative, high efficiency, evolutionary and adaptive production systems (analysis report 12 areas S3_PON governance_InviTalia, 2016/doc.S3 Calabria Region). Having the PVCupcycling project as one of its objectives to create new innovative high composite performances (Fig. 1).

Fig. 1. Smart strategies environment and natural risks - Calabria Region with PVCupcycling (PMopenlab 2018; Lucanto 2019)

1.2

Environmental Accounting and Sustainable Management Process Model and Product Chain

It is therefore clear that the issue of environmental accounting, as an assessment for production processes and its waste, provides a double trajectory on which to work. The first concern is protecting and safeguarding the environment with reference to general

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waste disposal and specifically of scrap PVC cables, and the impact on the air-watersoil quality and energy production systems that manage the supply chain. The centralized logistics model and the commitment to move from a linear economy to a circular one naturally tries to move the impacting system towards a “zero waste” policy. The second trajectory concerns starting up a recycling chain which is capable of self-managing energy levels. The aim of such a chain is to reduce the production of CO2, for de-manufacturing and the “king’s activities” - manufacturing with the launch of new chains of other products (i.e. upcycling). Issues concerning double environmental accounting must be considered. Such as the particular boundary conditions that concern the plastics sector and specifically the PVC-compound coming from the disposed electric cables, which although represent the production of the primary product, the material form is most important. High-performance systems in plants and equipment with relevant technical capabilities, in the recycling phases has strong limitations due to its nature of “composite” material, the presence of PVC polymer, and the plasticizing part - sheath additives of WEEE (aluminum, copper) (Fig. 2).

Fig. 2. Recycle process in R.ED.EL. Laboratory (PMopenlab 2018)

Furthermore, in the case of R.ED.EL.’s production chains and recyclable PVC, it should be added that a further limit to the system is represented by the raw material from which the secondary recycled material must derive. It is extracted from cables that have a different manufacture because they refer to supplies of plants of different production in terms of quality, use and also “manufacturing date”. On the one hand the global service activity that the company operates allows for easy experimentation with supply chain triggering to which end-of-life technologies are applied with a centralized logistics system; cable waste deposit of a different nature and manufacturing, which is to be managed in the recycling chain thus activated and proposed with the PVCupcycling model and process.

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2 The PVC Impact and the PVCupcycling Balance 2.1

PVC Waste System

When holding the waste system to account it is necessary to consider the sheer quantity of PVC cables in production over the last 10 years and reference their employing sectors. PVC cables do, in fact, have a long existence and therefore their productivity rates must be considered as ‘long life’ materials, especially in their most frequent usage, which is in energy plants and equipment of varying sizes. The arrival of the fiber system has certainly accelerated some application sectors (e.g. telephony), but industrial and tertiary sectors have been the most strongly affected by the use of PVC cables, as well as energy infrastructures and derivation on the territories (Table 1). At the end of 1990’s 65% of cables were made from PVC in Europe. The consumption of PVC was then calculated to be approximately 770,000 tons in 2000, with the following breakdown of applications:

Table 1. PVC Cables (transl. by PVC Forum Italia, 2013) Application Type Energy Cables in B&C and E&E Systems Insulation LV Insulating Sheets LV Insulation MV Guaina MV Insulating Sheets HV Guaina HV Telecommunications Insulation insulating sheets Automotive Mine Varie

Tons 228,000 258,000 7,500 30,500 7,500 7,500 76,000 76,000 68,500 7,500 15,000

The innovative potential of the PVCupcycling project can be better understood if we refer to some data relating to the market for recycled and/or recyclable plastics, as follows: • globally 60% of plastic waste, which is equal to about 17 tons per day, about half of which is industrial, is not recycled today (source: Accenture, 2012); • from 2003 to 2013, the economic value of recycled plastic rose from around $170 to $550/ton (source: Green Alliance, 2014); • the market for recycled and recyclable plastics has become highly developed for products and raw materials that use polyethylene (high density or PEHD, and low density or PELD) and polypropylene (PP); • the consumption of plasticized PVC in recent years has gone from 285,000 tons to 400,000 tons that will be sent to landfills when not recycled.

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Overall, the production of recycled PVC can be estimated at around 70kton, 20% of which is post-consumer share. Recycled PVC is normally used in conjunction with virgin polymer, at varying percentages. Italian companies that currently treat, recover and recycle plastics have begun to operate in a very competitive European market. Even if they mostly operate in the production and resale of PVC granules, they are affecting a section of the entire economic circle (Table 2). In terms of interventions seeking to reduce greenhouse gas emissions, the Italian Go vernment has on one hand definitively approved the quota allocation plan for trading issues, and on the other hand its first formal orientation has been drawn up with regards to renewable energy development. The target for 2020 has not yet been established, but it is likely to be around an emissions target of about 430–440 Mt CO2 eq. Table 2. Scenario for 2020 – (informations: by Ambiente Italia) Recycle scenario 2020 Aluminum Steel Glass PE - PP PET PVC Mixed Plastic Cardboard Mixed Paper Wood Organic Recycling Treatment

2.2

Quantity (kt - migliaia t) 106 1,218 2,059 607 187 47 93 3,531 1,177 919 6,951 9,945

Energy balance (tep) −412,361 −345,077 −122,931 707,514 −174,420 −33,418 22,493 −1,189,808 −252,791 −3,124 −63,749 46,829

CO2eq balance (t CO2) −1,103,964 −1,528,160 −740,031 –692,233 −291,612 −71,121 69,486 −2,983,404 −1,251,605 −517,036 −128,716 94,479

Technical and Energy Scenario of PVCupcycling Processes

In the PVCupcycling experimentation, the manufacturing phase, which includes the supply chain and the services required for the logistical storage of cables, c/o R.ED.EL. company, is 90% covered in terms of energy consumption from the presence of PVC that has been installed in their industrial buildings. In this sense, for the integration of this energy production technology, the supply chain can be said to be more efficient and sustainable, even in the subsequent phases. But it is clear that the de-manufacturing and re-manufacturing phase must consciously absorb what is consumed in the middle phase and move towards the afore mentioned sectors by applying sustainability principles and eco-labeling certification models that guarantee the product is coming from the recycling chain. Other production manufacturing processes do not require such an impactful method thus allowing a secondary raw material, such as the PVC compound, to be recycled as a primary, or

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inert, component for other hybrid systems. This may then be reintroduced into new models of use. Throughout the re-manufacturing phase it is important that the circular economy model triggers processes for ‘industrial symbiosis’ in sectors that are preferably able to take charge of other phases of the sustainable production chain. These may include but are not subject to; sustainable construction, green products, recycled products, etc. In any case it is estimated that for every kg of recycled cable it is possible to obtain a 2 kg saving of CO2 which is not emitted into the atmosphere. (source VinylPlus). Referring, for example, to the first laboratory activities of pre-prototyping (demanufacturing and re-manufacturing) when experimenting with molding small-sized tiles with the PVC compound that comes from recycled electric cables. Thanks to this test it is possible to return an initial energy-environmental account of the PVCupcycling process, which takes into account the production chain, the consumption of equipment and the necessary processing hours. With reference to the first energy balance simulation of the supply chain and a pay back energy forecast for the share coming from the photovoltaic technology (availability of the plant in the company’s coverage), a first check was carried out on the specimens made in the laboratory (see report laboratory R.ED.EL.), on the subject of plant photovoltaic production, average consumption per sized production cycle, and machine consumption (Fig. 3).

Fig. 3. Machine shops recycle PVC and RAEE in R.ED.EL.

The process taken into consideration foresees the first processing by the pregrinding machine (TM - 4080-Stockermill), which has a processing consumption capacity of 35–40/KWh, at full speed when waste material is equal to 350 kg/h. To dispose of the quantity of secondary raw material (MPS) in the first phase five hours of work are required, performed by a granulator that can work at 70 kg/h per MPS, thus consuming 15 KWh. The processing cycle with the use of machines can process 350 kg of material using an energy consumption amount of 58 KWh. The 125 MW PV plant, when available in production, satisfies 90% of the company’s energy supply needs on an annual basis. If consumption is analyzed on a monthly basis, even in the most favorable irradiation months the percentage of coverage increases. On a

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production cycle of six hours, the estimated energy requirement on a monthly basis therefore settles on 1392 KW. Below is the environmental-energy impact on the cycle that refers to the production of tile specimens made in the pre-prototype phase. For 1 kg of recycled pvc cable the CO2 emissions of the double are reduced.

3 Eco-Design for a Zero Waste and Circular Economy in PVCupcycling 3.1

Circular Process Map

Eco-design is the second step of the PVCupcycling circular model, with the specific objective of directing the product’s life cycle towards a higher or lower performance pattern. The project will be carried out in accordance with the “Cradle to Cradle” ecodesign model, on two different levels (Fig. 4).

Fig. 4. From the linear management of PVC cable waste to the circular model of multiple PVCupcycling chains (Nava et al. 2019; Lucanto 2019)

The first to be defined addresses “capacity building” through a “dedicated design driven innovation” laboratory that is based on the creation of relational assets, which build and exchange capacity in four stages: I. strategies; II. development and renewal; III. analysis reports for research and acquisition developments, and methodology and equipment improvements, in a workshop system that develops product and prototype concepts; IV. the fixing of a design discours to increase the company’s reputation and attract new competitors and markets. The second level of ”smart manufacturing” in the identification phase of smart solutions, deals with the prototyping of products and components made for unconventional and high productivity technologies usage.

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In the first de-manufacturing phase the following technical characteristics are verified; the PVC that belongs to “electric cable” components, the possible hybridization with other products and/or waste while in use, the type of recovery adopted (separation, shredding, etc.) The final objectives of this phase are linked accordingly: – minimization of waste production to be sent for disposal (quantity and quality); – the reduction of material and energy flow required to dispose of waste; – the reduction of CO2 emissions, deriven from the activities necessary to dispose of post-plant maintenance waste (transport, processing, etc.): – the expansion of the company’s business; – the increase in the level of operational competitiveness; – the increase in R&D activities and relevant positioning in the authoritative markets. 3.2

Ecodesign and Re-Manufacturing Process

All the prototypes are made with scenarios in the R.ED.EL. and PMopenlab srls laboratory environment, and have in-situ applications and/or different alternatives, in order to test installation and in-use responses. In the subsequent “re-manufacturing” phase, the production chain is directed towards recovering the “value” of the selected materials that are to be recycled. These materials will be reused in the production of industrial eco-innovation products and/or components. For this purpose the building sector will take eco-compatible and multi-functional materials into consideration. To test the technical qualities and performance controls of the final products smartmanufacturing, -materials and -solutions will be implemented with a formula to verify the sustainability criteria. This activity refers to the following definition: – an eco-design based on a “Innovation Driven Design” process – tests to be performed on material and system component – hybridization capacity with other aggregating materials and system compatibility for stratified or mixed components – preparation of technical data sheets relating to the scenarios – the matrix on PVC waste value in various contexts – a feasibility study in additional states for the associated design, as well as those tested in the construction site-laboratory (Fig. 5).

Fig. 5. Area testing scenario 1/2/3 (PMopenlab 2018; Nava et al. 2019)

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4 Results: Three PVCUpcycling Scenarios Three scenarios have been enabled concerning the field of sustainable building, featuring the PVCupcycling experiments from the site’s workshop, the in-situ testing activities with R.ED.EL. and PMopenlab, and environmental tests on the by-products in ENEA and UNICAL laboratories. Scenario 1: Coating for outdoor flooring - type A: recycled PVC tiles on existing reinforced screed. Experimenting on the laboratory site involves setting up the scenario on an existing resistant screed that forms the base of the external steel staircase of the R.ED.EL. offices. A tile mat is constructed almost entirely of virgin WEEE PVC and has a surface area of 120  55 cm and dimensions 5  7  0.5 cm. Two-component polyurethane sealants are used for fastening at the base of the existing screed and adhesive-putty hybridized with PVC powder is used for filling joints between briquettes. COMPONENTS: Two-component polyurethane sealants, two-component epoxy adhesive putty, recycled PVC powder, pre-painting water-based primer+fast-drying water-based enamel. IMPACTS Kg of PVC per square meter of each scenario: 3.5 kg PVC Kg of CO2 saved per square meter of each scenario: 7 kg CO2 Hours of work necessary for installation: 6 h Scenario 2: Construction of a carriageable yard for small load handling means - using virgin PVC charge in powdered form hybridized in cement mortar. A pedestrian area is built in front of an entrance of the company’s building, with a resistant screed featuring an electro-welded mesh. Using a hybrid mixture of 75% recycled materials, with one part concrete, one part recycled PVC powder and one part wielding aggregates from the company’s decommissioned activities and recyclables. COMPONENTS: 25 kg concrete, 24 kg PVC powder, 50 kg aggregates (on a functional unit of 1 m2/18 cm of thickness), 10  10 welded mesh IMPACTS Kg of PVC per square meter of scenario put in place: 24 kg PVC Kg of CO2 saved per square meter of each scenario: 50 kg of CO2 Hours required for installation: 16 h for 5 m2 Scenario 3: Green Parking consists of a road section with draining asphalt and thick blocks made of recycled PVC - the system is hybridized with additive technologies - 3D printing of components and MPS PVC blocks. The experiment carries out what is foreseen in the project in terms of additive manufacturing and scenario realization for the hybrid components which come from eco-design processes. We seek to create a functioning, highly resilient green parking unit measuring 280  450 cm. This construction will be with an integrated water absorption system in order to create a permeable and semi-permeable plant and gravel surface, with the completion screed already tested (as in scenario 1) and with a printed and modular system for the disposal of rainwater, which acts as a channel and a joint. The loading surface is reinforced by an alveolar mesh in printed PLA, this houses the

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thick blocks of recycled PVC, and the permeable and semi-permeable filling, thus allowing the connection of the component-modules to the water disposal system. The latter, sized and built in the functional unit, responds in a short time to an overloaded capacity from rain washout (water bombs), with a system capacity of about 1.61 m3. The conveyed water can be recovered and reused to soak the same permeable surface, or for maintenance and waterproofing. Furthermore 3D printing can be used to form the component prototypes; a mold for production with other performing materials, and one that is in line with industrialized processes. The use of additive technologies has triggered a process of eco-design and engineering of the components which are described in this report’s annex in all its phases (WP5.2) COMPONENTS: 58 thick blocks in recycled PVC (16.30  17.31  5.00 cm); 58 lodgings for recycled PVC blocks (16.60  15.60  3.40 cm), 33 alveolar modules (18 for grass, 15 for gravel) of the size 16.60  15.50  5 cm; 4 structural joints in PLA printed in 3D, 52 elements for the channeling of water in PLA printed in 3D. IMPACTS Kg of PVC per square meter of scenario put in place: 24 kg PVC Kg of CO2 saved per square meter of each scenario: 50 kg of CO2 CREDITS - Team Work: R.ED.EL s.r.l., U. Barreca (Manager Aziendale e responsabile tecnico) - Prof.ssa Arch. C. Nava (Ricercatrice UniRC/Coordinatrice e responsabile scientifica)| Partners: ENEA, Ing. C. Sposato (Referente del progetto), Ing. P. De Fazio (Responsabile della sezione DTE-SAEN), Ing. A. Feo (Ricercatore), Per. Ind. M. B. Alba (Collaboratore tecnico), Ing. Arch. T. Cardinale (Assegnista di ricerca) - UNICAL-Dipartimento DIATIC, Prof. Ing. M. Migliori (Referente del progetto), Prof. G. Giordano (P.O. di Chimica Ambientale, Dott. A. Marino (Studente PhD SIACE Unical) Remanufacturing/Smart solutions - Dissemination and Branding: PMopenlab S.r.l.s, Arch. A. Procopio, Arch. G. Mangano, Arch. A. R. Palermiti, Arch. D. Emo (Soci), Arch. D. Lucanto, Arch. G. Arena, Arch. F. Autelitano (Collaboratori) – Patents: Ing.Pasquale Cuzzocrea

References Lucanto, D., Procopio, A.: Ecodesign e Manufacturing nei processi di valorizzazione del rifiuto per PVCupcycling, in Fava, F.: Green and Circular Economy: Ricerca, Innovazione e Nuove Opportunità, Maggioli ed., Rimini, pp. 107–113 (2019) Nava, C.: Ipersostenibilità e Tecnologie Abilitanti. Teoria, Metodo e Progetto, Aracne ed., Roma, pp. 334–422 (2019) Open platform project by PMopenlab srls. www.pvcupcycling.com

Infrastructures and Spatial Information Systems

Exploiting 3D Modelling and Life Cycle Assessment to Improve the Sustainability of Pavement Management Konstantinos Mantalovas, Gaetano Di Mino, Laura Inzerillo, and Ronald Roberts(&) University of Palermo, Viale delle Scienze ed. 8, 90128 Palermo, Italy [email protected]

Abstract. Today road agencies worldwide face difficult decisions for construction, maintenance and rehabilitation of their road infrastructure as they try to balance limited budgets. This is further complicated rising environmental concerns over equipment and techniques used for these practices. This has led agencies to consider alternative approaches for smarter and sustainable pavement asset management systems. This paper considers the use of a low-cost 3D image modelling distress identification and classification proposal for data acquisition and analysis. To establish its environmental friendliness, a case study in Palermo, Italy, is considered wherein a Life Cycle Assessment (LCA) exercise is done. A base case using current practices is considered and compared to the optimized system to define environmental impacts. The results show the proposed methods yield both environmental and economic benefits for road agencies providing crucial savings which can be allocated to other sections of road networks in need of maintenance. Keywords: Life cycle assessment
Pavement management system
Pavement distresses
3D modelling
Sustainability
Asphalt pavements

1 Background 1.1

The State of Road Maintenance Programs Worldwide

As a result of limited funding, road agencies worldwide are faced with difficult decisions to ensure that road networks are constructed, maintained and rehabilitated in an efficient and sustainable manner. To do this, many agencies rely on the use of a Pavement Management System (PMS), which aims at matching the funds with the most economical and valued pavement system and practice [1]. The PMS, however, relies on accurate input road condition data to make it successful, and the data acquisition can be costly [2]. Several attempts have been made to find new and smart methodologies for this, exploring several different types of methodologies and equipment for pavement distress identification and automation [3].

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1471–1480, 2021. https://doi.org/10.1007/978-3-030-48279-4_137

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The Use of Structure-from-Motion and 3D Modelling

One of the types of identification methods considered is the utilization of image-based modelling. The use of image-based modelling for distress collection is not new [4] but recent advances in software and algorithm development [5] have led researchers to consider the use of Structure-from-Motion (SfM) techniques to monitor, identify and classify pavement distresses [6, 7] with workflows being developed for the technique to be adopted by industry [8]. This approach involves the use of photogrammetric techniques which take measurements from overlapping 2D imagery to capture metric information about objects captured in the image [9]. Images are taken around the object so that there is an overlap of 70 to 80% between images. Algorithms for alignment and bundle adjustment are then used in a standard SfM pipeline which aligns the images and reconstructs positions of the object in space and thus generates a 3D model of it [10]. The points along the road that need to be analysed can be obtained using artificial intelligence based models that can pinpoint the hotspots needed to be critically examined with the 3D modelling [11]. Figure 1 exhibits a dataset captured over a distressed pavement and the resulting 3D model using a commercially based software, Agisoft PhotoScan. Within Fig. 1, the blue rectangles represent the camera positions during the survey, and it can be observed that the images were captured around the pavement section.

Fig. 1. Example of a dataset of a distressed pavement section captured for analysis

The use of this methodology for the purpose of pavement distress surveys provides some key advantages over other methods. By utilizing these methods in pavement surveys, this would provide engineers with 3D generated distress models, which can be studied to identify and classify the distress type and more importantly the distress severity. This can be done, as dimensions of the 3D model can easily be determined as demonstrated in Fig. 2 showing a rendered model of a pavement pothole. Within the generated 3D models, cross-sections at several different points can be made both horizontally and

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vertically along the model. By doing this an engineer can understand what is happening with the distress at any point along its form. Furthermore, the process allows the collection of additional information such as the volume of the depression formed and the crosssectional area of the distress. This additional information can help bolster the choice of therapy and rehabilitation strategies chosen for the pavement section.

Fig. 2. Example of a rendered 3D model of a pavement distress produced using workflow

These models can also be accurately created with imagery from smartphones [12] which in turn reduces the costs for the conditional surveys. Where monitoring or sectional analysis is required, drones can be used to capture the images over the section so as to update data within a PMS and trigger rehabilitation activities for that section. This, therefore, leads to a different approach when planning interventions and condition monitoring and this workflow is displayed in Fig. 3. This would provide agencies with more readily available monitoring data and allow them to thereby carry out maintenance quicker while not relying on generically based maintenance schedules. 1.3

The Sustainability of New Maintenance Approaches

Whilst the use of these techniques would reduce the costs associated with surveys and reduce maintenance costs long term, they will also necessitate additional maintenance interventions, but those of a lesser cost. This is as a result of additional pavement sections being monitored and maintained to keep the road in an acceptable condition throughout its life and reduce the life cycle costs [13]. This is as opposed to periodic preplanned rehabilitation practices as typically done by agencies with annually fixed but deficient budgets, which can, in fact, result in significant long-term rehabilitation costs [14]. However, these additional interventions, namely preventive and corrective maintenance and rehabilitation, can cause additional environmental impacts [15]. Therefore, this research was done to identify if changing the pipeline of maintenance activities in an urban scenario on secondary roads would cause unwanted changes in environmental impacts and thus not be environmentally sustainable. To do this, a Life Cycle Assessment case study of an urban road within the city of Palermo, Italy, was carried out and this is described in Sect. 2.

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Fig. 3. Workflow using SfM techniques to deliver data to PMS

2 Methodology 2.1

The Use of Life Cycle Assessment – Goal and Scope

Life Cycle Assessment (LCA) has been standardized according to ISO 14040, 14044 [16, 17] and can be used as a tool that provides an insight into the impacts imposed to the environment by a process, a product or even a service. In this study, the assessment was conducted on two different maintenance strategies of an urban road stretch over a period of 25 years. The end goal was to quantify and compare the environmental impacts of two different maintenance strategies over the same segment of the same urban road. The LCA conducted in this study is comparative and process-based. The impacts imposed to the environment during the maintenance of a specific road stretch, following a conventional maintenance strategy, over a 25-year period, are compared with the equivalent impacts originating from the maintenance strategy of the same road stretch and period, after utilizing a 3D imaging distress identification and analysis technique to optimize the maintenance strategy. The current approach was setup based on inputs from local experts and previous research, [18] whilst the optimized approach was setup utilizing literature based on optimizing the maintenance system with genetic algorithms and other LCA assessments [19, 20] along with workflows developed for the use of 3D modelling [8] within the road asset management system using the proposed workflow as the trigger for specific maintenance activities. The maintenance interventions were then defined in line with work done by Qiao et al. [21] describing routine, preventative and corrective actions and which are typical of work done by the

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city of Palermo for roadworks. The percentages indicate the level of the pavement area that was deemed necessary to be maintained. These scenarios are shown in Table 1.

Table 1. Maintenance interventions considered Year Typical current maintenance approach Optimized approach 0 0 0 1 0 1 [50%] 2 0 0 3 1 1 [25%] 4 0 0 5 0 1, 2 6 3 [50%] 0 7 0 0 8 0 3 9 0 0 10 1,2 0 11 0 1 [50%] 12 0 2 [50%] 13 0 1 [25%] 14 0 2 [50%] 15 1,3 1 [25%] 16 0 0 17 1 1,2 18 0 0 19 0 0 20 1, 2 2 21 0 0 22 0 1, 3 23 0 0 24 0 1 [50%] 25 4 0 *0 - Do nothing 1 - Cracks, rutting, potholes filling and sealing [Routine] 2 - Micro-surfacing – fog seal [Preventive] 3 - Thin Overlay and patching – 2 cm Hot Mix Asphalt [Preventive] 4 - Conventional structural mill and replace [Corrective]

2.2

The Use of Life Cycle Assessment – System Boundaries and Functional Unit

The only processes included in the system boundaries of the product system are the ones composing the total maintenance of the specific road segment over an analysis period of 25 years using a functional unit of the maintenance of 1 km of an urban single carriageway

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pavement over the same 25-year period [22–25]. The system boundaries can be seen in Fig. 4. As shown in Fig. 4, within the system boundaries under investigation, only the phases relevant to the maintenance of the road segment (B2, B3, and B4) are taken under consideration, since the case study has a comparative goal and both scenarios are addressing the environmental impacts of the same road segment.

Fig. 4. System boundaries of the product system of the two alternatives studied

However, it is worth mentioning that within the maintenance phase of the conducted LCA, the extraction of the raw materials, their transport to the mixing plant and the construction site, and the production of the products required for the successful maintenance of the road are included. For the LCA exercise to be carried out, Gabi ts, by Thinkstep, was utilized along with the Gabi Professional and database. There was no primary data collected for this study, but instead, reputable data sources and literature, reports, international standards, Product Category Rules (PCRs) and Environmental Product Declarations (EPDs) were used [22–31]; thus, no cut-offs were applied. In terms of impact assessment methodology, ReCiPe 2016, Hierarchist (H) [31] was utilized for both Mid and Endpoint indicators. The midpoint factors link to a wideranging set of impact category indicators (i.e. fossil resources), while factors at endpoint correspond to three narrowed and aggregated areas of protection namely damage to human health, ecosystems, and resource availability. When implemented in parallel, the approaches complement each other, and their combination provides a robust and informative result. Finally, as defined from ISO 14040 & 14044 the steps followed for the completion of the LCA study were: Definition of goal and scope of the study, Life Cycle Inventory (LCI) Analysis, Life Cycle Impact Assessment and Life Cycle Interpretation. 2.3

The Use of Life Cycle Assessment – Assumptions and Focus of Study

It is worth reiterating, that the focus of the study was on the maintenance pipeline of the same road segment in two scenarios over a 25-year period as the study has a comparative end goal. The road segment is the same in both cases; thus, the omission of the

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stages A1–A5, B1, B5–B7, C1–C4, and D [17], can be justified, as they are identical and do not influence the comparison. Moreover, for this study, the transport distance of raw materials to the mixing plant is assumed to be 10 km, with the only exception being the bitumen, which is transported from southern Sicily (Priolo) to Palermo (248 km). Finally, the distance from the mixing plant to the construction site is considered 35 km. These distances are based on actual local conditions.

3 Results and Discussions 3.1

Analysis of Midpoint Indicators

According to the Life Cycle Impact Assessment and Life Cycle Interpretation stages undertaken for the study, the midpoint indicators as described by ReCiPe 2016, [31] were obtained and are displayed in Fig. 5 below. We see that the indicators whose values are increasing are those relating to water usage, which is expected given the additional surface treatments of the optimized strategy. However, indicators relating to climate change and mineral and fossil resources were reduced among others. Therefore, it was important to determine the endpoint indicators to provide a more succinct look at the impacts and acquire a clearer picture of the environmental consequences. Climate change, default, excl biogenic carbon [kg CO2 eq.] Climate change, incl biogenic carbon [kg Terrestrial ecotoxicity [kg 1,4-DB eq.] 100% CO2 eq.] 80% Fine Particulate Matter Formation [kg PM2.5 Terrestrial Acidification [kg SO2 eq.] 60% eq.] 40% Stratospheric Ozone Depletion [kg CFC-11 20% Fossil depletion [kg oil eq.] eq.] 0% -20% -40% Photochemical Ozone Formation, Human Freshwater Consumption [m3] Health [kg NOx eq.] -60% -80% -100% Photochemical Ozone Formation, Freshwater ecotoxicity [kg 1,4 DB eq.] Ecosystems [kg NOx eq.]

Metal depletion [kg Cu eq.]

Freshwater Eutrophication [kg P eq.]

Marine Eutrophication [kg N eq.]

Human toxicity, cancer [kg 1,4-DB eq.]

Marine ecotoxicity [kg 1,4-DB eq.] Land use [Annual crop eq.·y]

3D Imaging-Scenario

Human toxicity, non-cancer [kg 1,4-DB eq.] Ionizing Radiation [Bq C-60 eq. to air]

Baseline-Scenario

Fig. 5. Relative percentage variation of the Midpoint indicators for the two analysed scenarios

3.2

Analysis of Endpoint Indicators

Utilizing the ReCiPe 2016, methodology [31] the endpoint indicators were conceived to gain a broader perspective on the overall and aggregated impacts of the optimized strategies. The results are displayed in Fig. 6. It was shown that for every aggregated endpoint indicator there is a noteworthy valued reduction in the effects which is clearly demonstrated in variations displayed in Fig. 5. The overall environmental performance

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appears superior. Hence, we can see the optimized maintenance procedures do not impose significant damages to human health and the ecosystem as compared with the currently followed strategies.

Fig. 6. Comparison of the EndPoint Impact category indicators values for the two investigated scenarios

4 Conclusions and Recommendations The results show that with the use of the proposed low-cost technologies and an optimized maintenance schedule, agencies and road users can receive both environmental and economic benefits providing much-needed savings. The analysis also shows that the critical element in utilizing the optimized strategies is avoiding preplanned extensive rehabilitation and instead relying on keeping the road condition in a good state throughout its service life. This is where the use of 3D modelling is significant as it allows for cheaper and more manageable data acquisition and therefore allows the optimized strategies to be employed and thus elongate the pavement’s life. For future work, a sensitivity analysis can be carried out considering altering transport distances and the considering maintenance strategies utilizing recycled materials as the city moves towards these implementations. Acknowledgements. The research presented in this paper was carried out as part of the SMARTI ETN project under the H2020‐MSCA‐ETN‐2016. This project has received funding from the European Union’s H2020 Programme for research, technological development and demonstration under grant agreement number 721493.

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References 1. Peterson, D.: Pavement Management Practices, no. 135. Transportation Research Board, Washington, DC (1987) 2. Loprencipe, G., Pantuso, A., Di Mascio, P.: Sustainable pavement management system in urban areas considering the vehicle operating costs. Sustainability 9(3) (2017). https://doi. org/10.3390/su9030453 3. Coenen, T.B.J., Golroo, A.: A review on automated pavement distress detection methods. Cogent Eng. 4(1), 1–23 (2017). https://doi.org/10.1080/23311916.2017.1374822 4. Wang, K.C.P.: Elements of automated survey of pavements and a 3D methodology. J. Mod. Transp. 19(1), 51–57 (2011). https://doi.org/10.1007/BF03325740 5. Remondino, F., Nocerino, E., Toschi, I., Menna, F.: A critical review of automated photogrammetric processing of large datasets. Int. Arch. Photogramm. Remote Sens. Spatial Inf. Sci. - ISPRS Archives 42(2W5), 591–599 (2017). https://doi.org/10.5194/isprs-archivesxlii-2-w5-591-2017 6. Ahmed, M., Haas, C.T., Haas, R.: Toward low-cost 3D automatic pavement distress surveying: the close-range photogrammetry approach. Can. J. Civil Eng. 38, 1301–1313 (2011). https://doi.org/10.1139/L11-088 7. Roberts, R., Inzerillo, L., Di Mino, G.: Exploiting low-cost 3D imagery for the purposes of detecting and analyzing pavement distresses. Infrastructures 5(6) (2020). https://doi.org/10. 3390/infrastructures5010006 8. Inzerillo, L., Di Mino, G., Roberts, R.: Image-based 3D reconstruction using traditional and UAV datasets for analysis of road pavement distress. Autom. Constr. 96, 457–469 (2018). https://doi.org/10.1016/j.autcon.2018.10.010 9. Westoby, M.J., Brasington, J., Glasser, N.F., Hambrey, M.J., Reynolds, J.M.: Structurefrom-motion’ photogrammetry: a low-cost, effective tool for geoscience applications. Geomorphology 15, 300–314 (2012). https://doi.org/10.1016/j.geomorph.2012.08.021 10. Verhoeven, G.: Taking computer vision aloft -archaeological three-dimensional reconstructions from aerial photographs with photoscan. Archaeol. Prospection 18(1), 67–73 (2011). https://doi.org/10.1002/arp.399 11. Roberts, R., Giancontieri, G., Inzerillo, L., Di Mino, G.: Towards low-cost pavement condition health monitoring and analysis using deep learning. Appl. Sci. 10(1), 319 (2020). https://doi.org/10.3390/app10010319 12. Poiesi, F., Locher, A., Chippendale, P., Nocerino, E., Remondino, F., Van Gool, L.: Cloudbased collaborative 3D reconstruction using smartphones. In: Proceedings of the 14th European Conference on Visual Media Production, pp. 1–9. Association for Computing Machinery, London (2017). https://doi.org/10.1145/3150165.3150166 13. Babashamsi, P., Md Yusoff, N.I., Ceylan, H., Md Nor, N.G., Salarzadeh Jenatabadi, H.: Evaluation of pavement life cycle cost analysis: review and analysis. Int. J. Pavement Res. Technol. 9(4), 241–254 (2016). https://doi.org/10.1016/j.ijprt.2016.08.004 14. Sarsam, S.I.: Pavement maintenance management system: a review. Trends Transp. Eng. Appl. 3(2) (2016). https://doi.org/10.3759/ttea.v3i2.2850 15. Mantalovas, K., Di Mino, G.: The sustainability of reclaimed asphalt as a resource for road pavement management through a circular economic model. Sustainability 11(8), 2234 (2019). https://doi.org/10.3390/su11082234 16. International Organization for Standardization: 14044 Environmental Management. Life Cycle Assessment. Requirements and Guidelines. Ntc-Iso 14044, 3(571) (2007) 17. International Organization for Standardization: Environmental management - Life Cycle Assessment - Principles and Framework. Iso, First Edit, no. 1, pp. 1–12 (1997)

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18. Di Mino, G., De Blasiis, M. R., Di Noto, F., Noto, S.: An advanced pavement management system based on a genetic algorithm for a motorway network. In: Proceedings of the Third International Conference on Soft Computing Technology in Civil, Structural and Environmental Engineering, pp. 1–17. Civil-Comp Press, Sardinia (2013). https://doi.org/10.4203/ ccp.103.26 19. Yang, C., Remenyte-Prescott, R., Andrews, J.D.: Pavement maintenance scheduling using genetic algorithms. Int. J. Perform. Eng. 11(2), 135–152 (2015) 20. Santos, J., Flintsch, G., Ferreira, A.: Environmental and economic assessment of pavement construction and management practices for enhancing pavement sustainability. Res. Conserv. Recycl. 116, 15–31 (2017). https://doi.org/10.1016/j.resconrec.2016.08.025 21. Qiao, Y., Dawson, A.R., Parry, T., Flintsch, G.W.: Evaluating the effects of climate change on road maintenance intervention strategies and life-cycle costs. Transp. Res. Part D Transp. Environ. 41, 492–503 (2015). https://doi.org/10.1016/j.trd.2015.09.019 22. EAPA: Guidance Document for preparing Product Category Rules (PCR) and Environmental Product Declarations (EPD) for Asphalt Mixtures. The European Asphalt Pavement Association (EAPA) Brussels, (2016) 23. The Norwegian EPD Foundation: Product-Category Rules (PCR) for preparing an Environmental Product Declaration (EPD) for Product Group Asphalt and crushed stone, pp. 1–22 (2009) 24. BRE: Product Category Rules for Type III environmental product declaration of construction products to EN 15804:2012. http://www.bre.co.uk/filelibrary/Materials/BRE_EN_15804_ PCR.PN514.pdf. Accessed 20 Feb 2020 25. ACCIONA infrastructure: Environmental Product Declaration - ‘N-340 road, Alicante (2013) 26. National Asphalt Pavement Association: Product Category Rules (PCR) for Asphalt Mixtures. National Asphalt Pavement Association, Lanham (2017) 27. EAPA: The Use of Warm Mix Asphalt. EAPA - Position paper, The European Asphalt Pavement Association (EAPA), Brussels (2014) 28. European Union Commission: COMMISSION RECOMMENDATION of 9 April 2013 on the use of common methods to measure and communicate the life cycle environmental performance. Off. J. Eur. Union, no. December 2010, 1–45 (2013) 29. Eurobitume: Life cycle inventory: Bitumen. European Bitumen Association, Brussels (2012) 30. International Organization for Standardization: Environmental management—Life cycle assessment—Requirements and guidelines. ISO 14044 2006(7), 652–668 (2006) 31. Huijbregts, M.A.J., Steinmann, Z.J.N., Elshout, P.M.F., Stam, G., Verones, F., Vieira, M., Zijp, M., Hollander, A., van Zelm, R.: ReCiPe2016: a harmonised life cycle impact assessment method at midpoint and endpoint level. Int. J. Life Cycle Assess. 22(2), 138–147 (2016). https://doi.org/10.1007/s11367-016-1246-y

Smart Road Infrastructures Through Vibro-Acoustic Signature Analyses Rosario Fedele(&) Department of Information Engineering, Infrastructures and Sustainable Energy (DIIES), University Mediterranea of Reggio Calabria, Via Graziella - Feo di Vito, snc, 89122 Reggio Calabria, Italy [email protected] Abstract. Smart cities need “intelligent” infrastructures designed or managed bearing in mind crucial characteristics, such as sustainability, efficiency, safety, and resiliency. Several solutions can be adopted, but the key factor for the success of the solution selected is its ability of improving the management process. The objective of the study described in this paper is to develop a solution that can be used to make smarter the road pavement monitoring and maintenance. In particular, a Non-Destructive Test (NDT)-based method is presented and applied aiming at extracting crucial information about the Structural Health Status (SHS) of the monitored road pavement. Results show that the method is able to recognize the presence and the growing of induced cracks using meaningful features extracted from the vibro-acoustic signatures (acoustic signals) of the road pavement loaded by a light vehicle. The abovementioned features can be used to build innovative P-F curves able to improve the road pavement management process. Keywords: Smart roads


Sustainability
Vibro-acoustic signature

1 Introduction Smart cities need infrastructures designed or managed bearing in mind crucial characteristics, such as sustainability, efficiency, safety, and resiliency. Based on this thinking, the concept of Intelligent Transportation System (ITS) emerged [1, 2]. In order to make the current transportation infrastructures “intelligent”, several ways can be taken. Importantly, the adopted solutions can succeed only if they are able to improve the efficiency and the sustainability of the management process. Actually, the main problems related to the road pavements, which should be solved by the future smart roads, refer to (i) the methods used for the Structural Health Monitoring (SHM) purposes, and (ii) the approaches that are used to manage the road infrastructures. Traffic is one of the main causes that lead to the worsening of the structural health condition of the flexible road pavements. In fact, the repeated loads of the vehicles affect the flexible (bituminous) layers of the pavement both externally (surface failures) and internally (hidden failures). Actually, both destructive test (DT)-based and Non-Destructive Test (NDT)-based methods are used to estimate road characteristics and performances [3, 4]. On one hand, despite the facts that the DT-based methods (e.g., coring) are well-known, widespread, © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1481–1490, 2021. https://doi.org/10.1007/978-3-030-48279-4_138

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and able to carry out a deep monitoring (hidden failure identification), this type of methods can be considered unsustainable, inefficient, and unsafe. On the other hand, although NDT-based methods are more sustainable of the DT ones, they are (a) still rarely used (because of the fact they are often based on expensive device and complex systems; see e.g., [5]), (b) often used for the estimation of the surface conditions/performance of the road pavements (e.g., based on image analysis [6]), (c) limited to the part of infrastructure where the measurements are carry out, and (d) time-consuming. Hence, innovative solutions should be more sustainable (e.g., using sensors [7–9]), able to carry out a “global” monitoring (detect both surface and hidden failures), and a “continuous” monitoring, i.e., from a temporal (during the whole road life-time) and spatial (along all the extension of the infrastructure). Usually, road infrastructures are managed acting on traffic [10], or using management tools such asthe Pavement Management Systems (PMSs), the Reliability, Availability, Maintainability e Safety (RAMS), the Life Cycle Costing (LCC) analyses, etc. [11, 12]. Often, maintenance and replacement are scheduled using a failure-based approach implemented by using PMSs [11]. This means that all the interventions are subsequent to the detection of Functional failures (e.g., a pothole; see point F in Fig. 1). As largely demonstrated by the theory that is behind the PMSs [11, 13], prompt interventions based on the effective conditions of road pavement (point P of the P-F curve; where P stands for Potential failure) allow both reducing the costs (about 4/5 of the cost for an intervention at the point F of the P-F curve) and extending the road lifetime consistently. Hence, possible innovations can be obtained: i) moving from a failure-based to a condition-based approach (e.g., using systems that are able to carry out the continuous monitoring), or prediction-based approach (i.e., predict the generation of surface failures from the detection of hidden failures; see Fig. 1); ii) implementing solutions that make the roads able to monitor their Structural Health Status (SHS), to detect the occurrence of hidden failures, and to share this meaningful information with the authorities (which can schedule or carry out simplest and cheapest maintenance interventions, or timely collect the resources for the replacement of the road pavement), and, especially in case of emergency, with the user of the infrastructure monitored by the implemented solution.

Fig. 1. Examples of P-F curve, which shows the points P (Potential failure), and F (Functional failure), and how is possible to extend the life time of a road pavement (curves L).

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The Innovative Proposed Approach

The innovative approach, used in the study presented in this paper, is based on previous studies carried out by the same author of this paper [14–18]. The proposed solution consists of a method (Fig. 2) that aims at monitoring the Structural Health Status (SHS) of the road pavements in an innovative and sustainable way. In particular, the innovation of the proposed method is related to the concept of vibro-acoustic signature, while the sustainability is obtained using a NDT-based method and can a specifically designed system (see Fig. 2). In more detail, in this study: 1) the proposed method considers road pavements as acoustic filters; 2) the vibro-acoustic signature of a road pavement is defined as the acoustic response of the pavement to the vibrations that are produced by the vehicles and that propagate into the road layers. In more detail, the acoustic response is the variation of the pressure of the air detected by a microphone, which is closed to the road surface (NDT-based method) and covered by means of a sound insulating coating (i.e., the air-borne sound propagation is considered as noise); 3) the method aims at deriving the structural conditions of the pavement (damaging of the acoustic filter) from its vibro-acoustic signature.

Fig. 2. Schematic representation of the proposed solution.

Based on the above, the main objectives of the study described in this paper are: 1) to demonstrate that the vibro-acoustic signatures of the road pavements loaded using a light vehicle (Car) can be used for the SHM of this type of pavement; 2) to demonstrate that meaningful features of the aforementioned signatures can be used to recognize the worsening of the road pavement SHS. Importantly, the method will be further developed to address the objectives of the ongoing LIFE18 ENV/IT/000201 LIFE E-VIA Project. In particular, the method will be used to: 1) study the Electric Vehicles (EVs)-Road pavements interaction through specific features; 2) Monitor traffic noise and pollutants (e.g., particulate matter) through additional sensors (e.g., microphone and gas sensor).

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2 Experimental Investigation The validation of the proposed method was carried out through two different experimental investigations. The difference between the two investigations refers to the mechanical source used to load the road pavement (i.e. to generate ground-borne sounds and vibrations that, after the propagation into the road pavement, arrive to the sensor unit). In particular, a Light Weight Deflectometer (LWD) and a light vehicle (Car) were used as mechanical sources (see Fig. 3).

Fig. 3. Schematic representation of experimental set up and gathered signals.

Importantly, this paper contains the results of the Car-related investigation, which were compared with those of the LWD-related tests that refers to a previous paper [15]. Both the experimental investigations were carried out as follows (see Fig. 3): 1) The receiver was attached on the road pavement using a proper amount of modelling clay. 2) The pavement was loaded using the source (i.e., the LWD, or the Car) and the vibroacoustic signature of the un-cracked road (i.e., the first Structural Health Status, herein called SHS0) was recorded using the receiver system (i.e., running a Matlab code). 3) The pavement was drilled (i.e., 43 holes arranged on three lines, see Fig. 4) and the related vibro-acoustic signatures were recorded. Note that: i) a first prototype of sensor unit was used in this study (i.e., the same of the above mentioned [15]), which consists of an air-borne isolated, broadband, and analogic microphone, an external soundcard, and a laptop (used as power supply and as signal recorder by mean of a proper Matlab code); ii) the vibro-acoustic signatures of the road under test are acoustic signals; iii) 2200 and 4000 signals were recorded during the LWD-related and the Car-related investigations, respectively; iv) a sampling frequency of 192 kHz was used to record the signals; v) the distance source-receiver was 200 cm; vi) the first line of holes was drilled in the middle of the distance source-receiver, while the second and the third lines of holes were drilled 5 cm forward and backward the first one; vii) the signals were processed after the experiments as described in Sect. 3.

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Fig. 4. Experimental investigations carried out using (a) the LWD and (b) the Car as mechanical source, on the road pavement with three lines of holes).

3 Signal Analysis The signals recorded during the experimental investigation described in the previous section, were analysed in three different domains of analysis, i.e. the time, the frequency, and the time-frequency domain. The analysis aimed at recognizing and extracting from the signals (time domain), the spectrum (frequency domain), and the scalogram (timefrequency domain) meaningful features, i.e. features that are able to recognize the variation of the SHS of the road pavement due to the presence of induced cracks (i.e., drilled holes). Figure 5 shows one of the signals in the time domain (Fig. 5a) and the related elaborations in the frequency (Fig. 5b), and the time-frequency domains (Fig. 5c).

Fig. 5. Example of one of the vibro-acoustic signature of the pavement after one passage of the car, in time (a), frequency (b), and time-frequency domains (c).

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The following features [15] were extracted from the vibro-acoustic signatures of the road pavement loaded with the car (see Fig. 5): 1) Difference between the absolute maximum P and the absolute minimum N of the signal amplitudes (arbitrary unit, a.u.); 2) Time Delay of N from P (milliseconds); 3) Standard deviation of the signals (a.u.); 4) Maximum of the PSD of the signals into the range 20–500 Hz (dBW/Hz); 5) Slope of the linear regression model of the PSD of the signal into the frequency range 20– 500 Hz (dBW); 6) Spectral centroid of the spectrum (PSD vs. frequency) in the frequency range 20–500 Hz (Hz); 7) Maximum Entropy of the CWCs (a.u.); 8) Pseudofrequency of the WR (scalogram, y-axis) (Hz); 9) Energy of the CWCs between 30 and 64 (i.e., red areas of the scalogram) (a.u.). Note that, 8 features over 9 are the same extracted in the previous work mentioned above [15], except for the fourth. In fact, the fourth feature was changed because of the fact that the Car-related spectrum did not show significant variation of the absolute minima in the range 50–150 Hz, but several peaks (maxima) have been noticed as shown in Fig. 5b. Finally, as in [15], an algorithm able to carry out the hierarchical clustering of both the vibro-acoustic signature, and the related features was used. The algorithm mentioned above allows classify the observations (i.e., samples of each signal or values of each features) based on the Euclidean distances between pairs of observations. In this case, each cluster represents a SHS of the road pavement, i.e. SHS0 that means uncracked road, and SHS1, SHS2, and SHS3 that stand for cracked with one, two, and three lines of holes drilled into the pavement, respectively.

4 Results and Discussions In this section are reported the results related with two experimental investigations (see Fig. 3, and Fig. 4) carried out using a car as source of sounds and vibrations, which are compared with previous results [15] obtained using the LWD as source. It is important to underline that, in another work [16], an analogous investigation was carried out on the same road pavement (both un-cracked and cracked) that was taken into account in the current study, and several Artificial Neural Network (ANNs) were used to recognize the SHS of the road from the signals. Despite the excellent results provided by the ANNs (the 99.1% of the signals was correctly associated to their cluster), the use of these “black-box” does not allow to identify one or more meaningful features that can be used to build innovative P-F curves (as required by the method; see Fig. 2). Hence, to identify at least one feature that are able to describe the variation of the vibroacoustic signature of a pavement under a load generated by the vehicular traffic, and understand if the same features extracted from the signals gathered using the LWD as source can be used in this case, the following results are reported, analysed and discussed. 4.1

Features Extracted and Hierarchical Clustering

The following figure (Fig. 6) shows the trends of the nine features (the 4000 values have been averaged obtaining a sequence of 400 values) extracted in the three domains of analysis from the signals recorded during the experimental investigation described in

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Sect. 3. In more detail, each graph in Fig. 6 shows in the y-axis the average value of the feature, and in the x-axis the sequence of the vibro-acoustic signature. As is possible to see from Fig. 6, when the SHS goes from the SHS0 (un-cracked road) to SHS3 (road cracked with 3 lines of holes), six features out nine have an overall decreasing trend, while three features out nine have an overall growing trend. By comparing the abovementioned overall trends with those eight of the previous work cited above [15] (i.e., excluding that of the forth feature) it is possible to state that 5 trends out 8 are confirmed, while the remaining ones are quite different. In particular, features #1, #3, #5, #6, and #9 have similar trends, while #2, #7, and #8 have opposite trends. This differences can be attributed to the type of signals generated by the two different sources used, i.e. an impulse in the case of LWD, and pseudo-random in the case of the Car.

Fig. 6. Trends of the features extracted from the Car-related signals in time (a, b, c), frequency (d, e, f), and time-frequency domains (g, h, i).

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As in [15], noteworthy is the behaviour of the Shannon’s Entropy of the CWCs (feature #7). Although in this case does not show a strong trend, it shows greater variability as the SHS worsened (from SHS0 to SHS3), and this result confirms the increasing of the chaos of the received signals (or loss of information of the original message [19]) due to the interaction of the generated signals with the drilled holes. Furthermore, this interaction led to a dissipation of energy that is clearly shown by the trend of both feature #1 (i.e., the difference between the absolute maximum P and the absolute minimum N of the signal amplitude) and #9 (i.e., the Energy of the CWCs), confirming the previous results [15]. The effects of worsening of the road’s SHS due to the presence of the induced cracks (drilled holes) can be read in terms of frequency analysing the behaviour of the feature #6 (i.e., the spectral centroid that can be seen as the “centre of mass or barycenter” of the spectrum [14]), and bearing in mind that the monitoring method consider the road pavement as a filter of acoustic filter (see Fig. 2, and Fig. 3). Feature #6 shows a growing trend confirming the previous results [15]. This important result shows that the holes make the road pavement as a low-pass filter, which impedes the transmission of the shorter wavelengths, allowing only the transmission of longer wavelengths. This result is further confirmed by the trend of feature #4 (i.e., the absolute PSD maxima in the range 20–500 Hz; see Fig. 6d). The second part of the analysis consisted in the application of the hierarchical clustering algorithm on both signals and features defined above. The results show that it was not possible to properly classify the signals. Despite this negative (but expected) result, the algorithm provided the encouraging results reported in Table 1. Table 1. Results of the hierarchical clustering algorithm used to classify the features extracted. #F

F

SHS Max SHS0 SHS1 SHS2 SHS3 OPCAV (%) 1–3 n.a. PC – – – – – Max OPC (%) – – – – 4 2+4+6+8 PC 4 1 2 3 50 Max OPC (%) 60 41 42 56 5 2+4+5+6+8 PC 4 1 2 3 50 2+3+4+6+8 Max OPC (%) 60 41 42 56 6 1+2+4+7+8+9 PC 3 2 1 4 61 Max OPC (%) 78 60 45 60 PC 3 2 1 4 61 7 1+2+4+5+7+8+9 1+2+3+4+7+8+9 Max OPC (%) 78 60 45 60 8 1 + 2 + 3 + 4 + 5 + 7 + 8 + 9 PC 3 2 1 4 61 Max OPC (%) 78 60 45 60 9 n.a. PC – – – – – Max OPC (%) – – – – Symbols. #F = number of features used as input during the clustering; F = combination of features that led to a correct classification; SHSi = i-th Structural Health Status of the road pavement under test, where i = 0, 1, 2, and 3, corresponding to 0, 15, 29, and 43 drilled holes; PC = Predicted cluster; Max OPC (%) = highest percentage of observations associated to PC; Max OPCAV (%) = average of the values Max OPC; n.a. = not available because of misclassification.

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Based on the results of the clustering (Table 1), it is possible to state that: 1) It is possible to correctly classify the 50% of the recorded signals using one combination of 4 features (i.e., 2 + 4 + 6 + 8), or two combinations of 5 features. 2) The best results can be obtained using one combination of 6 features that allows properly classifying the 61% of the signals. This percentage can be achieved using also two combinations of 7 features and one combinations of 8 features. 3) It is no possible to correctly classify the ARs using all the possible combinations of 2, 3, and 9 features. The result is the same using only one feature at time. Finally, the feature trends above can be used to define the boundary between different SHSs, or hopefully useful thresholds, such as between the “Risk-free zone” related to the absence of failures (see Fig. 7) and the “Warning zone” related to the occurrence of potential failures, or between the “Warning zone” and the “Alert zone” related to the presence of functional failures. Consequently, innovative P-F curves can be build using the most significant features presented above (see Fig. 1, and Fig. 2).

Fig. 7. Example of feature that can be used to create innovative P-F curves.

5 Conclusions Smart cities need “intelligent” infrastructures designed or managed bearing in mind crucial characteristics, such as sustainability, efficiency, safety, and resiliency. The objective of the study is to develop a Non-Destructive Test (NDT)-, and feature-based method that can be used to make smarter the road pavement management. Results show that, features extracted from the road pavement vibro-acoustic signatures (i.e., its acoustic response to a load produced by a light vehicle) can be used to recognize (61% of correct classification using a hierarchical clustering algorithm) the presence and the growing of induced cracks. Hence, meaningful features such as the spectral centroid, the Energy and the Entropy of the wavelet coefficients can be used to build innovative P-F curves able to improve the road pavement management process.

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References 1. Qureshi, K.N., Abdullah, A.H.: A survey on intelligent transportation systems Middle East. J. Sci. Res. 15, 629–642 (2013) 2. Chandra, Y.R.V.S., Shiva Harun, M., Reshma, T.: Intelligent transport system. Int. J. Civ. Eng. Technol. 8, 2230–2237 (2017) 3. Boscaino G., Pratico F.G.: A classification of surface texture indices of pavement surfaces. Bull. des Lab. des Ponts Chaussees (2001) 4. Pratic, F.G., Moro, A.: In-lab and on-site measurements of hot mix asphalt density: Convergence and divergence hypotheses. Constr. Build. Mater. 25, 1065–1071 (2011) 5. Commuri, S., Zaman, M., Beainy, F., Singh, D., Nazari, M., Imran, S., Barman, M.: REPORT NO. OT-CREOS11.1-14-F - Pavement evaluation using a portable lightweight deflectometer (2012). https://rosap.ntl.bts.gov/view/dot/27075/dot_27075_DS1.pdf 6. Kaur, E.H.: A review on crack detection and parameters estimation on road images Int. J. Res. Appl. Sci. Eng. Technol. 1–4 (2017) 7. Guerrero-Ibáñez, J., Zeadally, S., Contreras-Castillo, J.: Sensor technologies for intelligent transportation systems. Sensors 18(4), 1212 (2018) 8. Askari, H., Khajepour, A., Khamesee, M.B., Wang, Z.L.: Embedded self-powered sensing systems for smart vehicles and intelligent transportation. Nano Energy 66, 104103 (2019) 9. Hasni, H., Alavi, A.H., Chatti, K., Lajnef, N.: A self-powered surface sensing approach for detection of bottom-up cracking in asphalt concrete pavements: theoretical/numerical modeling. Constr. Build. Mater. 144, 728–746 (2017) 10. Praticò, F.G., Vaiana, R., Gallelli, V.: Transport and traffic management by micro simulation models: operational use and performance of roundabouts In: Brebbia, C.A., Longhurst, J.W. S. (eds.) WIT Transactions on the Built Environment, vol. 128, pp. 383–394 (2012) 11. Uddin, W.: Pavement Management Systems. McGraw Hill, New York (2005) 12. Praticò, F.G., Giunta, M.: Proposal of a key performance indicator for railway track based on LCC and RAMS analyses. J. Constr. Eng. Manage. 144, 04017140 (2018) 13. Fedele, R., Praticò, F.G., Carotenuto, R., Della Corte, F.G.: Energy savings in transportation: setting up an innovative SHM method math. Model. Eng. Probl. 5, 323–330 (2018) 14. Fedele, R., Pratico, F.G., Carotenuto, R., Giuseppe Della Corte, F.: Instrumented infrastructures for damage detection and management. In: 5th IEEE International Conference on Models and Technologies for Intelligent Transportation Systems, MT-ITS 2017 – Proceedings, pp. 526–531 (2017) 15. Fedele, R., Praticò, F.G.: Monitoring infrastructure asset through its acoustic signature INTER-NOISE 2019 MADRID. In: 48th International Congress and Exhibition on Noise Control Engineering, Madrid, Spain (2019) 16. Praticò, F.G., Fedele, R., Naumov, V., Sauer, T.: Detection and monitoring of bottom-up cracks in road pavement using a machine-learning approach. Algorithms 13(4), 81 (2020). ISSN 1999-4893 17. Fedele, R., Praticò, F.G., Carotenuto, R., Della Corte, F.G.: Comparing mother wavelet selection criteria for road pavements NDT monitoring Bituminous Mixtures and Pavements VII, pp. 618–623 (2019) 18. Fedele, R., Della Corte, F.G., Carotenuto, R., Praticò, F.G.: Sensing road pavement health status through acoustic signals analysis. In: PRIME 2017 - 13th Conference on PhD Research in Microelectronics and Electronics, Proceedings, pp. 165–168 (2017) 19. Chai, M., Zhang, Z., Duan, Q.: A new qualitative acoustic emission parameter based on Shannon’s entropy for damage monitoring. Mech. Syst. Signal Process. 100, 617–629 (2018)

Measuring the Sustainability of Transportation Infrastructures Through Comparative Life Cycle and Energy Assessment Filippo Giammaria Praticò1, Marinella Giunta2(&), Marina Mistretta3, and Teresa Maria Gulotta4 1

Department of Information, Infrastructure and Sustainable Energy (DIIES), University Mediterranea of Reggio Calabria, Via Graziella, Feo di Vito, 89214 Reggio Calabria, Italy [email protected] 2 Department of Department of Civil, Energy, Environmental and Material Engineering (DICEAM), University Mediterranea of Reggio Calabria, Via Graziella Feo di Vito, 89100 Reggio Calabria, Italy [email protected] 3 Department of Heritage, Architecture Urbanism (PAU), University Mediterranea of Reggio Calabria, Via dell’Università, 25, 89124 Reggio Calabria, Italy [email protected] 4 Department of Engineering, University of Palermo, Viale delle Scienze, 90128 Palermo, Italy [email protected]

Abstract. The 2030 Agenda for Sustainable Development was adopted at the United Nations Sustainable Development Summit on 25 September 2015. It addresses people, planet and prosperity needs and particularly focuses on transport systems that must be 1) Sustainable. 2) Quality and resilient. 3) Safe. 4) Affordable and accessible. The Research Project PRIN USR342 focuses on similar concepts and the expected outputs are 3 paving solutions (made with recycled materials and sustainable technologies), 4 sets of modules (software), and 2 platforms. In this view, the objective of this study is the identification of the best pavement technology in terms of energy and environmental performance. To this aim a LCA approach has been applied in a cradle-to-grave perspective, which includes materials production, construction, maintenance, and end of life. Results highlight the principal potential differences, in terms of environmental burdens, of the different pavement solutions and the step in life cycle most impacting. In particular results show that the use of warm mix asphalts coupled with the use of recycled asphalt pavement (RAP) results the best solution, because it implies the lowest energy consumption and environmental impact, further the production of mixtures is crucial, in terms of impacts produced in all the categories considered in LCA, with a contribution of 60–70% in the life cycle of the different materials. Based on the outcomes, LCA approach appears a methodology able to help decision makers in setting up strategies for the eco-design of road pavements. Keywords: Sustainability


Road infrastructures
Life cycle assessment

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1491–1499, 2021. https://doi.org/10.1007/978-3-030-48279-4_139

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1 Introduction The 2030 Agenda for Sustainable Development was adopted at the United Nations Sustainable Development Summit on 25 September 2015. It addresses people, planet and prosperity needs and particularly focuses on transport systems that are 1) Sustainable. 2) Quality and resilient. 3) Safe. 4) Affordable and accessible, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons. At the same time, the Research Project PRIN USR342 (see Fig. 1) focuses on similar concepts and the expected outputs are 3 paving solutions, 4 sets of modules (software), and 2 platforms. In more detail, Task 7 deals with LCA-based method and NDT SHM (Non-destructive testing aiming at structural health monitoring). In this task, a life cycle assessment (LCA) method is set up and applied to support pavement management systems in scheduling and decision making (best option). This task builds on data over time and their decay (in-lab mechanistic performance, environmental and functional related performance) and includes impacts on safety, resilience and sustainability of the three main proposed pavement technologies. Note that task 7, following the output of task 5, is entitled to characterise one out of the two main outputs of the project: three solutions (paving systems, P51–P53). Based on the above, the objective of the study presented in this paper is the identification of the best pavement technology in terms of energy and environmental performances, under given assumptions. The estimation of the share to the total impacts

3 paving solutions. 4 sets of PMS modules. 1 SHS platform. 1 info-based platform.

Solutions Data

Task 7: LCA

Project “USR342” Urban Social (People)

Safety

Sustainability Environmental (Planet)

Resilience Economic (Profits)

Impact categories below Note. USR342: Research project PRIN: PROGETTI DI RICERCA DI RILEVANTE INTERESSE NAZIONALE – Bando 2017 - Prot. 2017XYM8KC “Urban safety, sustainability, and resilience: 3 paving solutions, 4 sets of modules, 2 platforms.” - Acronym: USR342, funded by the Italian “Ministero dell’Istruzione, dell’Università e della Ricerca”

Fig. 1. 2030 Agenda, USR342 project, and study objectives

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of each examined life cycle step is carried out. A cradle-to-grave perspective and all the processes that include composite materials production, construction, maintenance, and end of life are considered, with the ultimate goal of highlighting the principal potential differences, in terms of environmental burdens, of the different pavement materials.

2 Materials and Methods In order to measure the sustainability of the alternative solutions for road pavements, the Life Cycle Assessment procedure is applied according to the international standards of series ISO 14040 [1, 2]. The stages adopted in this study include goal and scope definition, functional unit and system boundary, inventory analysis, impact assessment, and interpretation. The assessment of the energy and environmental impacts of different configurations of road pavement is performed. A two-lane, single carriageway road, 1 km long and 9.5 m wide is considered and four different types of bituminous mixtures, made with recycled materials and innovative sustainable technologies, are taken into account. According to the ILCD Midpoint 2011 method (International Life Cycle Data System, ILCD) [3], the impact categories selected are seventeen and specifically: • • • • • • • • • • • • • • • • •

Global Energy Requirement (GER); Climate change (CC); Ozone depletion (OD); Human toxicity – cancer effects (HTc); Human toxicity – non-cancer effects (HTnc); Particulate matter (PM); Ionizing radiation HH (IRhh); Ionizing radiation E (interim) (IRe); Photochemical ozone formation (POFP); Acidification (AP); Terrestrial eutrophication (EUT); Freshwater eutrophication (EFw); Marine eutrophication (ME); Freshwater ecotoxicity (Ftox); Land use (LU); Water resource depletion (WRD); Mineral, fossil and resource depletion (MFD).

As functional unit (FU) 1 m2 of road pavement is assumed [4]. The pavement has a thickness of 320 mm and is composed of friction course (FC) (bituminous layer, 50 mm), binder course (BC) (bituminous layer, 70 mm), and unbound base course (UBC) (granular layer, 200 mm). The subgrade is located below the base course. The pavement life cycle steps considered in the study are [5, 6]: • Material production: raw material and energy supply, and manufacturing phase. • Transportation of extracted raw materials to asphalt plants and transportation of the bituminous mixtures to the construction site.

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• Construction phase: laydown and compaction. • Maintenance: milling, transportation to landfills, and repaving of wearing courses. A lifetime of 20 yr is assumed and one milling and reconstruction of the wearing layer of the pavement every 10 yr is supposed, as required by Product Category Rules (PCR) [4]. • End-of-life, milling, transportation of discarded materials, and waste treatment. Life Cycle Inventory (LCI) is carried out to estimate the main input and output mass and energy flows of the entire life cycle of the asphalt pavement under analysis. Data from literature, from interviews with local experts involved in road works, and from standard data input sheets are used [7–19]. The analysis is developed in terms of comparison of pavements having the same thickness of layers but made with different materials, mixtures and technologies, as detailed in Table 1. Four scenarios are considered. The use of innovative and sustainable materials and technologies is compared with the traditional solutions represented in the Base Scenario and consisting of a wearing course (porous hot mix asphalt with air voids higher than 18%), a binder course (dense-graded mixture), and a base course (granular base). Scenario 1 is characterized by the use in the wearing course of neat bitumen added with waste plastics (WP), and crumb rubber (CR), from end-of-life tires with percentages of 10% each one. In Scenario 2, the friction course is similar to the Base scenario while the binder course is manufactured using the WMA technology. Scenario 3 includes WMA with the addition of 45% of RAP in friction (PWMA) and binder course (DWMA). Also the unbound base layer is mixed with RAP (45%).

Table 1. Pavement scenarios and materials. Course Wearing 50 mm

Binder 70 mm Unbounded base 200 mm

2.1

Scenarios Base Permeable hot mix asphalt Dense graded asphalt Mineral aggregate

1 (WP) Permeable hot mix asphalt waste plastic, crumb rubber Dense graded asphalt

2 (WMA) Permeable hot mix asphalt

3 (WMA+RAP) Permeable hot mix asphalt with 45% RAP

Warm mix asphalt

Mineral aggregate

Mineral aggregate

Warm Mix asphalt with 45% RAP Mineral aggregate 45% RAP

Results

The eco-profiles of the four analysed scenarios are shown in Fig. 2 in terms of percentage of variation with respect to the base scenario (y-axis). It is possible to note that the lowest burdens refer to Scenario 3.

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S2

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40% 20% 0% -20% -40% -60% -80% Fig. 2. Percentage of variations of the impacts in comparison with the Base Scenario

The highest reductions occur for HT-ce in Scenario 1 (72%). Other remarkable trends occur for other indicators, such as WRD (14% in Scenario 1, 17% in Scenario 2 and 17% in Scenario 3), PM (8% in Scenario 1, 11% in Scenario 2 and 13% in Scenario 3). With regard to CC, it varies from 81.8 kgCO2eq in Base Scenario to 75 kgCO2eq in Scenario 2 and 3, where there is a decrease of 8%. HT-nce, EFW, MFD exhibit an opposite tendency for Scenario 2. EFW increases significantly also in the scenario 1. Figure 3 refers to the contribution analysis of life-cycle environmental impacts. The four scenarios (BS, S1, S2, and S3), the impact categories selected above, and the different phases above (P, T, C, M, EoL) are analyzed. This analysis carried out aimed at identifying the life-cycle steps that involve the most significant shares of environmental impacts. In Fig. 3 it can be noted that asphalt production is the most impacting step, since it involves the highest contribution in all the examined impact categories. It accounts for more than 60% in the most part of the environmental indicators, with the exception of EFw, HT-ce, HT-nce, and ME. The variation trend is similar for all the scenarios. The negative values of HT-ce in Scenario 1 (addition of waste plastics in the bituminous mixture) are essentially due to the avoided impacts of virgin plastics. Regarding the GER, Fig. 4 shows the contribution of each life cycle step to GER for each scenario. It is possible to observe that the highest contribution is related to the asphalt production in all the assessed scenarios, which accounts for about 68% of the total GER. For construction, the highest contribution, which is about 7 MJ/m2, occurs in the scenario with RAP (Scenario 3), due to higher energy required for the milling process. The maintenance step accounts for about 20% of the total GER in all the scenarios, due to one replacement of the friction course in the pavement lifespan. Furthermore, transport involves a contribution of about 6% in all scenarios. The same share derives from end-of-life. Results show that in all the assessed scenarios about 98% of GER comes from non-renewable energy source consumption.

EUM (kgNeq) 0.0 4.0x10-2

WRD (m3 watereq) EUF (kgPeq) 0.00 1.20x100 0.00 1.40x10-3 AP (molH+eq) 0.0 4.0x10-1 IR-E (CTUe) 0.00 2.30x10-5

PM (kg PM2.5eq) 0.00 2.30x10-2

CC (kgCO2eq) HT-ce (CTUh) 0.00 2.30x10-6 0.0 3.0x101 6.0x101

T C M EoL

P T C M EoL

P T C M EoL

P T C M EoL

P T C M EoL

P

T

C

M

EoL

P

T

C

M

EoL

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0.0 7.0x10-61.4x10-5

ODP (kgCFC-11eq)

P

HT-nce (CTUh) 0.00 1.30x10-7

EoL

POFP (kgNMVOCeq) IR-hh (kBqU235eq) 0.00 1.30x10-1 0.0 3.0x100 6.0x100

M

LU (CTUe) EUT (molNeq) 0.0 4.0x101 8.0x101 0.00 3.50x10-1

C

ADP (kgSbeq) 5.0x10-5

T

0.0

P

EFw (CTUe)

BS

0.00 2.80x102

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P T C M EoL

P T C M EoL

P T C M EoL

P T C M EoL

P T C M EoL

P T C M EoL

P

T

C

M

EoL

P

T

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M

EoL

Fig. 3. Contribution analysis of life-cycle environmental impacts.

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Maintenance ConstrucƟon Transport ProducƟon 0

200

400

600

800

1000

1200

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GER [MJ] Fig. 4. Contribution of life cycle steps to GER for each assessed scenario (MJ/m2).

3 Conclusions In this study, different materials and technologies have been considered and their sustainability has been measured by means the Life Cycle Assessment approach. In particular, attention has been focused on recycled materials (reclaimed asphalt pavements, crumb rubber, and waste plastics) and eco-friendly technologies (warm mix asphalt). Different pavement configurations have been examined with the objective of detecting the optimal pavement solution from the energy and environment standpoints. A further analysis allowed identifying steps and processes responsible of the highest impacts. The pavement made by using WMAs (Scenario 2) involves lower energy consumption and environmental impacts with respect to traditional HMA pavements. If this technology is associated with the use of RAP (Scenario 3), thus reducing the consumption of virgin bitumen and aggregates, the benefits in terms of environmental impact and energy consumption increase appreciably. The results show that the production of mixtures for pavements is a crucial step in pavement lifespan. A critical component is the bitumen, which is a petroleum-based product. The use of WPs (as a substitute of polymers) and RAP (as a substitute of virgin aggregates and bitumen) are vital and strategic in the pursuit of the sustainability in road constructions. LCA methodology proves to be an effective tool to measure the sustainability and to provide useful information for improving the Eco profile of road pavements, limiting the energy consumption and enhancing the quality of the environment. The life-cycle approach permits addressing issues that refer to both energy and ecosystems. This allows identifying improved solutions taking into account the integration between environmentally friendly production systems and technological feasibility.

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Acknowledgements. The authors would like to thank all who sustained them with this research, especially the Italian “Ministero dell’Istruzione, dell’Università e della Ricerca” for its financial contribution to the project PRIN2017XYM8KC.

References 1. International Organization for Standardization: ISO 14040-Environmental management Life Cycle Assessment - Principles and Framework, Environmental management - Life Cycle Assessment - Principles and Framework. 2006. https://doi.org/10.1016/j.ecolind.2011. 01.007 2. International Organization for Standardization: ISO 14044:2006 Environmental management - Life cycle assessment - Requirements and guidelines. Environ. Manag. - Life cycle Assess. - Princ. Framew. 46 (2006). https://doi.org/10.1136/bmj.332.7550.1107 3. European Commission – Joint Research Centre – Institute for Environment and Sustainability International Reference Life Cycle Data System (ILCD): Handbook – General guide for Life Cycle Assessment – Detailed guidance, Constraints (2010). https://doi.org/10.2788/ 38479 4. The International EPD® System, Product Category Rules (PCR) of the Environmental Product Declaration (EPD): Highways, streets and roads (except elevated highways) (2013) 5. Praticò, F.G.: On the dependence of acoustic performance on pavement characteristics. Transp. Res. Part D Transp. Environ. 29, 79–87 (2014). https://doi.org/10.1016/j.trd.2014. 04.004 6. Praticò, F.G., Ammendola, R., Moro, A.: Factors affecting the environmental impact of pavement wear. Transp. Res. Part D Transp. Environ. 15(3), 127–133 (2010). https://doi.org/ 10.1016/j.trd.2009.12.002 7. Praticò, F.G., Giunta, M., Mistretta, M., Gullotta, M.T.: Energy and environmental life cycle assessment of sustainable pavement materials and technologies for urban roads. Sustainability 12, 704 (2020). https://doi.org/10.3390/su12020704 8. Praticò, F.G.; Vaiana, R.; Giunta, M.: Recycling pems back to innovative, silent, permeable road surfaces. In: Proceedings of 8th International Conference Environmental Engineering ICEE, pp. 1186–1192 (2011) 9. Praticò, F.G., Vaiana, R., Giunta, M.: Pavement sustainability: permeable wearing courses by recycling porous european mixes. J. Archit. Eng. 19, 186–192 (2013). https://doi.org/10. 1061/(ASCE)AE.1943-5568.0000127 10. Beccali, G., Cellura, M., Mistretta, M.: New exergy criterion in the “multi-criteria” context: a life cycle assessment of two plaster products. Energy Convers. Manage. 44, 2821–2838 (2003). https://doi.org/10.1016/S0196-8904(03)00043-8 11. Cellura, M., Guarino, F., Longo, S., Mistretta, M.: Modeling the energy and environmental life cycle of buildings: a co-simulation approach. Renew. Sustain. Energy Rev. 80, 733–742 (2017). https://doi.org/10.1016/j.rser.2017.05.273 12. Gulotta, T., Mistretta, M., Praticò, F.: Life cycle assessment of roads: Material and process related energy savings. Model. Meas. Control C 79, 146–153 (2018). https://doi.org/10. 18280/mmc_c.790313 13. Del Pizzo, A., Teti, L., Moro, A., Bianco, F., Fredianelli, L., Licitra, G.: Influence of texture on tyre road noise spectra in rubberized pavements. Appl. Acoustics 159, 107080 (2020). https://doi.org/10.1016/j.apacoust.2019.107080

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14. Bressi, S., Colinas-Armijo, N., Di Mino, G.: Analytical approach for the mix design optimisation of bituminous mixtures with crumb rubber. Mater. Struct. 51(1), 1–14 (2018). https://doi.org/10.1617/s11527-018-1152-9 15. Bressi, S., Santos, J., Giunta, M., Pistonesi, L., Lo Presti, D.: A comparative life-cycle assessment of asphalt mixtures for railway sub-ballast containing alternative materials. Resour. Conserv. Recycl. 137, 76–88 (2018). https://doi.org/10.1016/j.resconrec.2018.05. 028 16. Postorino, M.N., Praticò, F.G.: An application of the multi-criteria decision-making analysis to a regional multi-airport system. Res. Transp. Bus. Manage. 4, 44–52 (2012). https://doi. org/10.1016/j.rtbm.2012.06.015 17. Farina, A., Zanetti, M.C., Santagata, E., Blengini, G.A.: Life cycle assessment applied to bituminous mixtures containing recycled materials: Crumb rubber and reclaimed asphalt pavement. Resour. Conserv. Recycl. 117, 204–212 (2017). https://doi.org/10.1016/j. resconrec.2016.10.015 18. Tramontana, C., Calabrò, F., Cassalia, G., Rizzuto, M.C.: Economic sustainability in the management of archaeological sites: the case of Bova Marina (Reggio Calabria, Italy). In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) ISHT 2018. SIST, vol. 101, pp. 288–297. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-92102-0_31 19. Cassalia, G., Tramontana, C., Calabrò, F.: Evaluation approach to the integrated valorization of territorial resources: the case study of the Tyrrhenian Area of the metropolitan city of Reggio Calabria. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) ISHT 2018. SIST, vol. 101, pp. 3–12. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-92102-0_1

Environmental Impact of Maintenance Operations: The Comparison Between Traditional and Geogrid-Reinforced Roads Giovanni Leonardi(&)

, Rocco Palamara, and Federica Suraci

DICEAM, Mediterranea University of Reggio Calabria, Reggio Calabria, Italy {giovanni.leonardi,rocco.palamara, federica.suraci}@unirc.it

Abstract. In recent years, the need to increase pavement service life and to guarantee high performance and low environmental factors has allowed the development of different pavement reinforcements. In particular, geosynthetics represent one of the solutions in paved and unpaved roads. In this paper, the effectiveness of geogrids as reinforcement of a flexible pavement was analyzed. This study focused on the performance of a real road (a stretch of the A2-Mediterraneo highway exit linked to the Metropolitan Area of Reggio Calabria), investigating the environmental costs in terms of energy consumption [MJ], water consumption [kg] and carbon dioxide emissions [Mg] in case of the maintenance operations for a traditional pavement and an hypothetical reinforced one. In order to obtain the mentioned environmental output, PaLATE (Pavement Life-cycle Assessment Tool for Environmental and Economic Effects is a spreadsheet LCA and LCCA program designed by the Consortium on Green Design and Manufacturing from the University of California-Berkeley) was used. The results obtained by PaLATE sheets showed that the glass fiber grid could be used to improve the performance of flexible pavements and could reduce environmental impacts by 30% considering a life span equal to forty years. Keywords: Road pavement


Geosynthetics
LCA

1 Introduction The increasing patterns of vehicle traffic on paved roads took place in the last few decades. This reduces the pavement performance and increases the possibility of damage development, hence the first purpose of the pavement design (keeping the road safe and comfortable for users during the entire infrastructure life cycle) fails. Moreover, nowadays, the concept of sustainability has a great impact on roads construction and management. In order to reduce energy consumption and carbon footprint, materials and technologies aiming at improving the practices for construction and maintenance and at minimizing environmental burdens are required. Reducing the different types of distresses and, in general, the phenomenon of premature pavement failure is possible using different technologies, like the modified asphalt by polymer or rubber. Furthermore, some successful techniques consider the © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1500–1510, 2021. https://doi.org/10.1007/978-3-030-48279-4_140

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incorporation of geosynthetic products into the pavement structure to improve its performance. Geosynthetics are defined as man-made plastic planar products, shaped in many forms that are used with other materials in order to solve different civil engineering problems. In many cases, the use of a geosynthetic can significantly increase the safety factor, improve performance, and reduce costs in comparison with conventional design and construction alternates [1]. The technique of soil-improvement using geosynthetics is extensively used in the construction and maintenance of road pavements. Geosynthetics for base or subbase courses of unpaved or paved roads are used for separation, filtration, lateral drainage, and reinforcement purposes. The attraction of this application lies in the possibility to increase pavement service life and to reduce the layers thickness [2]. The Federal Highway Administration has identified the following benefits of using geosynthetics in roadways: reducing the intensity of stress on the subgrade and preventing the base aggregate from penetrating into the subgrade; preventing subgrade fines from pumping or otherwise migrating up into the base; reducing the depth of excavation required for the removal of unsuitable subgrade materials; reducing the thickness of aggregate required to stabilize the subgrade; reducing disturbance of the subgrade during construction; reducing maintenance and extending the life of the pavement; Another function is the reinforcement of asphalt concrete surface. A large type of deterioration factors affects the service life of roads and pavements including environmental factors, subgrade conditions and traffic loading. These factors contribute to an equally wide variety of pavement conditions and problems which must be addressed in the maintenance or rehabilitation of the pavements system. Furthermore, pavement maintenance treatments are often ineffective and short lived. Therefore, to obtain a long service life there are various performance safeguards. In this paper, the effectiveness of geogrids as reinforcement of a real flexible pavement was analyzed and the environmental costs were investigated in terms of energy consumption [MJ], water consumption [kg] and carbon dioxide emissions [Mg] in case of the maintenance operations for a traditional pavement and an hypothetical reinforced one.

2 Geosynthetic Reinforcement in Road Pavements A typical flexible pavement system includes four distinct layers: asphalt concrete, base course, subbase, and subgrade. The surface layer is typically asphalt concrete, which is a bituminous hot-mix aggregate obtained from distillation of crude petroleum. The increase in traffic and axial loads requires increasingly high-performance road surfaces, furthermore it’s generated horizontal stresses between layers that soon result in crack formation, and any local differential settlements also lead to cracking of the asphalt layer. Pavement surface deterioration is a process by which defects develop in the pavement under the combined effects of traffic loading and environmental conditions. Traffic loads result from the repetition of wheel loads, which can cause either structural or functional failure [3]. Environmental loads are induced by climatic conditions, such as variations in temperature or moisture in the subgrade, which can cause surface

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irregularities and structural distress. Anyway, deterioration of pavement greatly effects on serviceability, safety, and riding quality of the road. Asphalt reinforcement using geosynthetic has received considerable attention by road authorities by the unsatisfactory performance of traditional road materials exposed to dramatic increases and changes in traffic patterns, furthermore other as viable solutions to enhance flexible pavement performance result more expensive. Geosynthetic reinforcement is simply embedding oriented geosynthetic materials in the pavement structure [4]. In road flexible pavement geosynthetic materials are being used as reinforcement for preventing the occurrence of cracking and pothole in asphalt concrete pavements. Geosynthetics are the most cost-effective tools for safeguarding roads and pavements in these ways. Geosynthetics provide significant improvement in pavement construction and performance and are traditionally been used in three different pavement applications: mechanical subgrade stabilization, aggregate base reinforcement and asphalt concrete (AC) overlay reinforcement. The primary functions that geosynthetic materials may provide in pavement applications are separation, filtration and reinforcement. Three fundamental reinforcement mechanisms have been identified involving the use of geogrids to reinforce pavement materials: lateral restraint, improved bearing capacity, and tensioned membrane effect (see Fig. 1).

Fig. 1. The use of geogrid reinforcement providing lateral restraint within the asphalt leads to improve resistance to rutting

Lateral restraint refers to the confinement of the aggregate material during loading. The geogrid minimizes lateral movement of aggregate particles and increases the modulus of the base course, which leads to a wider vertical stress distribution and consequently to a reduction of vertical deformations [5]. The second mechanism, improved bearing capacity, is achieved by shifting the failure surface of the pavement system from the relatively weak subgrade to the relatively strong base course material. As the of permanent deformations increase the tension membrane mechanism develops. If the geosynthetic has a sufficiently high tensile modulus, tensile stresses will be mobilized in the reinforcement, and a vertical component of this tensile membrane resistance will help to support the applied wheel loads.

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There are many parameters that influence the reinforcement system in flexible pavement. They are: – the number of geosynthetics layers and selected location (on the top of subgrade, on the top of subbase, at the asphalt-base course interface, in asphalt layer); – the geosynthetics mechanical properties (tensile strength and stiffness, junction strength, etc.); – the geosynthetics hydraulic properties (permeability, pore size characteristics); – the durability (survivability, polymer type, chemical, physical and biological environment); – type of reinforcement mechanism that want to obtain; – the position of the reinforcement in the pavement structure. The position of the geogrid in the pavement structure is one of the most widely investigated subjects due to the important effects that it produces in terms of both the reduction in rutting and the reduction in cracking under repeated loading cycles. In particular, the positioning of the reinforcement at different depths in the road pavement provides different reinforcement mechanism, beneficial effects on performance. The geosynthetic can be place at the base, subgrade-base interface and asphalt layer.

3 Road Maintenance Management and LCA in Reinforced Flexible Pavements One of the most common technique used to rehabilitate severely cracked pavements consists in placing an asphalt concrete overlay on the existing pavement. Repairing a deteriorated road using a conventional overlay is rarely a permanent solution. When an overlay is placed over a crack, the crack grows up to the new surface. The causes of crack formation and enlargement in asphalt overlays are numerous but the mechanisms involved may be categorized as: traffic induced, thermally induced and surface initiated. The original cracks reflect in the new surface causing the “reflection cracking” phenomena. According to Lytton [6], the passing of a wheel load over a crack in the existing pavement causes three critical pulses, one maximum bending and two maximum shear stresses. In recent years, interlayer systems have received considerable attention as viable solutions to the problem of improving flexible pavement resistance to reflection cracking in asphalt overlays, as well as to extend the pavement’s fatigue life [7]. The geosynthetics used in flexible pavement are essentially fiber glass grids and geogrids incorporate into bituminous conglomerate layer or placed at the interface with the base layer. This technique of reinforced is particularly effective because increases the performances of road pavements: either by reducing permanent rut deformation for a given number of axle loads and a given layers thickness, or by increasing the road service life for a given allowable rut depth and a given layers thickness. Alternatively, for the same traffic and allowable rut depth, the use of geogrid reinforcement allows a reduction in the construction cost by decreasing the layers thickness in comparison with the thickness required when the pavement is unreinforced. Furthermore, in particular

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the use of reinforcement leads to a decrease of the time required for the construction road and for the periodic and extraordinary maintenance interventions [8]. In recent years, moreover, the management of maintenance interventions is associated with the analysis of the environmental pollution produced with them. This analysis can be carried out using a life cycle analyses. The life cycle assessment analyses the environmental impact from a system, taking into account ecological effects, effects on health and the consumption of resources. An LCA does not, however, take into account economic or social effects. Like other scientific models, an LCA contains simplifications of the real system, which is why an LCA cannot claim to contain an absolute and complete representation of each environmental interaction. The specific LCA methods for the assessment of the life cycle of a road pavement are of American origin, where the evolution of road construction design techniques and the study of transport systems are constantly evolving. In this study the LCA was applied by analyzing the maintenance interventions for a reinforced and non-reinforced road pavement using the PaLATE (Pavement Life-cycle Assessment Tool for Environmental and Economic Effects is a spreadsheet LCA and LCCA program designed by the Consortium on Green Design and Manufacturing from the University of CaliforniaBerkeley). In particular, the reduction of pollution was assessed which is obtained by minimizing maintenance interventions for a road pavement reinforced with geogrid.

4 Case Study 4.1

Traffic and Maintenance Operations Analysis

The analyzed road stretch is equal to 400 m and is one of the A2-Mediterraneo highway exit linked to the Metropolitan Area of Reggio Calabria (Italy) (shown in Fig. 2). A survey about the ADT (Average Daily Traffic) was carried out during May 2017 considering the rush-hour traffic, and the vehicles number was converted in ESALs (Equivalent Standard Axle Load) according to AASHTO Design Guide [9]. Specifically, after calculating the actual commercial number of vehicles nvca, namely the vehicles during one traffic year, the load equivalency factors (LEFs) or ESAL factors were found. This factor relates various axle load combinations to the standard 80 kN single axle load. It should be noted that ESALs as calculated by the ESAL equations are dependent upon the pavement type (flexible or rigid) and the pavement structure (structural number - SN - for flexible and slab depth for rigid). In the analyzed study, the road was a flexible pavement, hence the SN was considered and the LEF was
LEFSNi Pi ; Ti ; PSIf , namely the factors were function respectively of axle heavy, axle type and present serviceability index (PSI). The calculated LEFSNi for each different vehicle type were multiplied by different coefficients of the considered load spectra to obtain LEFSN ¼ 2:41. The initial ESAL was equal as:

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Fig. 2. Analyzed road stretch in the Metropolitan Area of Reggio Calabria (Italy).

ESALi ¼ nvca
LEFSN Hypothesizing an annual increase rate of traffic equal to 1.5% and forty years of road life span, the total cumulative ESALt for each year was calculated. The PSI was taken in account as parameter to fix the maintenance years. For a flexible pavement the PSI has a range equal to (0–5), and when the value is less than 2.5 the road serviceability is not guaranteed; for this reason, in this research, the minimum PSI considered value was 2.5. Hence, after the calculation of Wt (the maximum load that the pavement could sustain), five maintenance operations were estimated for the actual traditional pavement during the analyzed road life span. According to Perkins [10], an average value of TBR equal to 2.3 was chosen in order to obtain the Wg (that is the maximum load that the geogrid reinforced pavement could sustain) as: Wg ¼ TBR
Wt The same conditions mentioned above for the traffic analysis of the traditional road were provided for the reinforced pavement, and finally two maintenance operations were calculated during forty years of road life span. The comparison between the traditional and the reinforced roads in terms of PSI value is shown in Fig. 3.

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Fig. 3. PSI evolution during the road life span with the considered maintenance operations for the traditional (blue line) and reinforced (orange line) pavements.

4.2

LCA Through PaLATE

The PaLATE are divided into input and output sheets. As input design, construction materials and processes, maintenance materials and processes, and equipment must be defined. In this case study, just the maintenance operations were taken in account, hence the layers thickness (AC = 0.04 m; base = 0.1 m; sub-base = 0.25 m), materials, length (400 m) and width (9 m) of the road, and maintenance type were inserted into software. Considering the year 0 as the first maintenance, the environmental costs in terms of energy consumption [MJ], water consumption [kg] and carbon dioxide emissions [Mg] were calculated for the entire life span in case of the actual traditional road and the hypothetical reinforced pavement. In this latter, the first maintenance operation was considered as the total removal of AC layers and the geogrid application. In order to calculate the contribution of the geogrid, a new sheet was inserted into PaLATE with its main geometrical and environmental characteristics. In particular, the entire production process of the geogrid was considered to have more accurate results. In both cases, the fuel and the water consumption of the equipment was taken in account, and each step on PaLATE considered not only the simple operation in site, but also the materials production and transportation. In Fig. 4 and in Fig. 5 the results by PaLATE analysis are shown.

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a)

b)

c)

Fig. 4. a) Energy consumption [MJ]; b) water consumption [kg]; c) carbon dioxide emissions [Mg] for the maintenance operations of the traditional road.

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a)

b)

c)

Fig. 5. a) Energy consumption [MJ]; b) water consumption [kg]; c) carbon dioxide emissions [Mg] for the maintenance operations of the reinforced road.

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5 Conclusions Although the geogrid application during the first operation (year zero) would implicate an addition of carbon dioxide emissions, its mechanism of reinforcement would reduce the number of maintenance operations. As matter of fact, the calculated environmental impact of the reinforced road in terms of energy consumption [MJ], water consumption [kg] and carbon dioxide emissions [Mg] had a reduction around 30% as compared to the actual road as shown in Fig. 6.

a)

b)

c)

Fig. 6. Comparison of a) energy consumption [MJ]; b) water consumption [kg]; c) carbon dioxide emissions [Mg] for the maintenance operations of the traditional (blue) and reinforced (orange) pavements.

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References 1. Holtz, R.D.: Geosynthetics for soil reinforcement. In: 9th Spencer J. Buchanan Lecture (2001) 2. Calvarano, L.S, Leonardi, G., Palamara, R.: Finite element modelling of unpaved road reinforced with geosynthetics. In: Transportation Geotechnics and Geoecology, TGG 2017, Saint Petersburg, Russia (2017) 3. Leonardi, G., Palamara, R., Calvarano, L.S.: Numerical analysis of flexible pavement reinforced with geogrids. In: International Conference on Highway Pavements and Airfield Technology, Philadelphia, Pennsylvania (2017) 4. Mahrez, A., Karim, M.R., Katman, H.Y.: Prospect of using glass fiber reinforced bituminous mixes. J. East. Soc. Transp. Stud. 5, 1301–1308 (2003) 5. Abtahi, S., Sheikhzadeh, M., Hejazi, S.: Fiber-reinforced asphalt-concrete-a review. Construct. Building Mater. 24(6), 871–877 (2009) 6. Lytton, R.L.: Use of geotextiles for reinforcement and strain relief in asphalt concrete. Geotext. Geomembr. 8, 217–237 (1989) 7. Romeo, E., Montepara, A.: Characterization of reinforced asphalt pavement cracking behavior using flexural analysis. In: 5th International SIIV Congress - Sustainability of Road Infrastructures (2012) 8. AASHTO: American Association of State Highway and Transportation Guide for Design of Pavement Structures, Washington, D.C., USA (1993) 9. Perkins, S.: Mechanistic-empirical modeling and design model development of geosynthetic reinforced flexible pavements. Final Report, Montana Department of Transportation Research Section (2001)

A Proposed Model to the Flight Safety Michele Buonsanti(&) Mediterranean University, 89120 Reggio Calabria, Italy [email protected]

Abstract. Safety is understood today as a multi-sectorial discipline, which is based on the assessment of the risk associated with human activities in order to reduce it. In the aeronautical field, flight safety will therefore be discussed; a sector around which a study process aimed at implementing knowledge and awareness of risk continues to develop. The factor that has the greatest value in the genesis and development of an accident is the human one, as the other two factors are in any case influenced by human behavior, be it pilot, crew-member or Air Traffic Control personnel. In later, our target aim to investigate the human error research procedures in the aeronautical sector, using the fuzzy logic. The human factor relating to the case of US Airways flight 1549 which splash down in the Hudson River on 15 January 2009 after taking off from New York La Guardia airport at 15.24 LMT will therefore be analyzed and studied. The accident born in the Hudson River, for complete failures of both engines due to a bird strike during the ascent phase. Once the rescue phases have started, the emergency vehicles rescued all the occupants without anyone showing any injury of interest. In this paper, we implemented a numerical reactive analysis through fuzzy numerical methods to compare the investigation results performed from the NTSB. Keywords: Human factor


Flight accident
Fuzzy method

1 Introduction The exercise of the flight, both professional and private, has as its objective the carrying out of a mission, understood as a series of operations of planning and conduct of the air vehicle. The performance of each mission has profit as its purpose. The methods therefore adopted to the optimally manage flight safety are designed to allow the mission to be conducted with the aim of obtaining maximum performance with minimum risk and zero accident objective. We define the Flight Safety (FS) as a set of behavioral rules referring to the use of the machine and man, intended to obtain maximum flight performance with minimum risk. The FS needs a high technological quality referred to the machines and a deep knowledge of meteorology and logistic technique [1]. Despite this, the construction of a perfect airplane piloted by a perfect human being is impossible. Although prepared at the highest levels, man will always remain imperfect; for this reason, the continuous study and development of this discipline is of primary importance [2]. Flight Safety today is now a pure part of the flight science since it uses rules, methodology, and analytical tools either reactive or proactive analysis [3]. For this in our mind the idea about a new © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1511–1522, 2021. https://doi.org/10.1007/978-3-030-48279-4_141

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implementation of numerical methods over flight investigation open the doors to deep and precise analysis such that root cause of the accident can be more clear.

2 Operational Risk Management One of the most focused and powerful tools available to the pilot, for the prevention of accidents, is the Operational Risk Management (O.R.M.) [4]. First, we specify that, although to an extremely variable extent and not only in flight activity, the risk always exists. In all activities, and in particular in flight, certain risks can be eliminated, others accepted, others still tolerated only in part [5] and [6]. Therefore, where there is a threat, there will be a managerial activity, or a logical process that, after appropriate evaluations, allows discerning whether this risk can be accepted or refused. The concept of risk management is properly defined as: “Objective evaluation of the components of the flight mission (man, machine, and environment) to identify the risks present and, through a logical process, determine their acceptability or act to make them acceptable.”

Risk is defined as a product between two factors, i.e. the probability of an event occurring and the severity of the same event if it occurs: RISK ¼ PROBABILITY  GRAVITY From operational point of view, it has currently adopted the Risk Matrix as in the follow Table 1.

Table 1. Risk matrix example

The use of this table should be integrated into the planning of each flight to be undertaken, developing an ad hoc table for each phase of the flight should it be difficult.

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Risk Management requires a specific methodology, designed to evaluate and integrate various elements that come into play during flight activity [7]. It is based on five main pillars: – – – –

A. Hazards identification; B. Hazard assessment; C. Risk decision-making activities; D. Practical application of corrective measures;

By placing the hazards identified in the context of the mission, it is necessary to quantify the risks associated with them. The sum of all the assessments will give the total value of the risk on which to make our decisions. The evaluation can be made qualitatively (subjectively) and quantitatively (based on the numerical probability) [8]. In this risk assessment, all factors related to the mission must be identified. It is urgent to remember: – – – – – – – –

The complexity of the flight and the accuracy of the planning; The level of experience, training and qualifications by the crew-members; The weather; The psycho-physiological conditions of the staff; Technical aircraft conditions and availability of navigation aids. Parallel activities, capable of diverting attention from flight operations; Unscheduled activities (change of crew); Improvised activities (bets, acrobatics, breach of standard procedures, etc…).

3 Decision Making on O.R.M Once the dangers have been identified and the risks assessed, operational decisions will therefore have to be taken. This phase consists in selecting the parameters that lead to obtaining the best possible result, compatibly with the assigned mission, the available resources and Flight Safety, in conclusion obtaining the maximum return with the minimum risk [8]. Speaking of the Prevention program, the procedures available to the pilots are many and differently graded [9]: Engineering-Solution, Control Solution, Personnel Solution and Protective Equipment Solution. Depending on the purpose of the organization (mission), the available resources (technological, administrative, operational, time available, etc.), and the management must decide the most appropriate corrective actions to lead the level of risk to an acceptable value [10]. On the other hand, it will be necessary to establish who to send the decision to, according to the complexity, to be taken by the representative of the highest managerial degree as well as (pilot, instructor, ATC controller, technician, etc. [11] and [12]. Since the corrective actions have also been determined, aimed at eliminating and/or reducing the risks deriving from the identified dangers, it will be necessary to enter the Practical Application of Corrective Measures phase.

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Here we cite the following examples as the subject of frequent corrective applications: – – – – –

improved training; meticulous selection of staff; decrease in risk exposure time; the use of audible and/or luminous warnings if missing; improvement of motivation;

It must be considered that the corrective measures adopted do not always prove to be totally effective due to inadequate application of them by the staff, hence the need to undertake an appropriate control and supervision operation. Risk-Management requires the collaboration of the whole organization, but the one who will have to apply the corrective measures materially and evaluate their effectiveness in real time will be the front-live operator, i.e. the pilot.

4 Human Factor and Modelling H.F An important safety issue in the development of technology companies is the consideration of the human element as the source and contributor of accidents. The majority of catastrophes occurring nowadays are generated by the combination of many small events, system failures and human errors, which individually would be irrelevant, but which if combined in a particular time sequence of circumstances and actions, can lead to unrecoverable situations [13]. Focusing on the human contribution in accidental sequences [14] and [15] a wellknown theoretical framework distinguishes human errors committed at different levels of the organization. This approach postulates that the generation and evolution of an incident depends on the level of the organization in which errors are made: errors made at the highest level of the organization do not necessarily become immediately visible, but remain in a latent state [16]. They propagate and expand throughout the organization affecting a large number of subsequent decisions and therefore become evident at the level of operation and control of the active plant. Attention will be paid to the human-machine interaction at the level of operation and control of the system. Similarly, the environmental working conditions and the specific contexts, in which accidents are generated and evolve, will be taken into consideration [17]. A generally accepted definition of human error can refer to an action, or sequence of mental actions or activities, which fail to achieve the expected result. The result of a widespread use of automation and computers for process control is that the human operator has become a supervisor or administrator of those automatic control operations that are normally carried out by computerized systems [19]. Two types of methods are considered in the development of a framework for humanmachine interaction: – proactive methods, dedicated to the prevention, detection, protection, recovery and containment of events that combine in an accident. Proactive methods cover a wider

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spectrum of applications that include both safety assessment and design approaches; – reactive methods, through which lessons from experience and real accidents are learned and appropriate feedback mechanisms are developed. Reactive methods support incident investigation and root cause analysis [21]. Today numerous methodologies are recurrent in the reactive analysis namely, postaccident/incident so that the investigator can choose the most suitable for the specific case. In this framework we can to identify the: SHELL model, Reason Model, Funnel Model and HFCAS (Human Factor Classification Analysis System) this last designed by U.S. Navy for their aircraft [22] and [23]. All this allows carrying out conceptual or qualitative analyzes without being able to weigh the error. To up-grade the current methodologies recently has been developed some numerical method among which the FRAM Methods (Functional Resonance Analysis Methods) by Hollangel, excellent tool, exhaustive but not easy to it implementation [24]. For this reason, our idea to implement a new approach, based on fuzzy logic appears as a middle way between the conceptual tool and the numerical approach.

5 Fuzzy Logic The charm and operational interest of the fuzzy logic derive from the fact that it is able to encode the uncertainty of some data and some aspects of human reasoning. The result therefore consists in applying mathematics to imprecise, or rather “elastic” concepts, in order to make them also intelligible and manageable by computers. Fuzzy variables are not numerical, but linguistic, and take on values such as high, low, cold, hot. An attempt is made to define the degree of belonging, through the socalled membership function, which in Boolean logic can assume only two values, 0 or 1, while in fuzzy logic, it can assume continuous values between 0 and 1. It therefore follows that each element x can belong to different fuzzy sets, with a degree of belonging that is generally different for each of the sets under analysis (for example, it can belong, with different degrees, to both the “moderate” and the “high” set, to “boy” and “adult”, etc.). The degree of belonging is assessed subjectively (not casually) based on personal knowledge, experiences, laboratory and literature data available, theoretical knowledge of chemical-physical phenomena, etc. It therefore expresses a judgment, based on a complex of data, but it also explicitly expresses the degree of uncertainty and ambiguity that is attributed to belonging. There are different types of fuzzy numbers, according to the function that defines their degree of belonging. Therefore, we have triangular, trapezoidal fuzzy numbers: – –

a trapezoidal fuzzy number is represented by a quaternion (a1, a2, a3, a4); a triangular fuzzy number is a particular case in which it is a2  a3.

The width of the fuzzy number is called expectancy; it is measured from the center of the fuzzy number and constitutes a measure of the “elasticity” of the number.

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It may be convenient that the membership function consists of linear strokes as in the case of triangular and trapezoidal fuzzy numbers; in other situations, however, the numbers “z” or “s” are more effective in representing strongly nonlinear concepts (Fig. 1).

Fig. 1. Fuzzy functions typologies

There are numerous technological sectors where this logic is currently used and there are various applications in devices for daily use (household appliances, cars, photocopiers, cameras, etc.). The inclusion of an innovative control philosophy such as fuzzy logic in a sector as the aeronautical one, where often rather rigid analytical criteria coexist with empirical solutions due to the background of specialized personnel, can truly represent a management revolution in terms of costs, quality of performance and safety.

6 Case Study The case study considered here is that inherent to the US AIRWAYS FLIGHT 1549, AIRBUS A320-214, which suffered an almost total loss of thrust in both engines following the impact with a flock of birds and then be subsequently piloted until landing on the Hudson River about 13 km from LaGuardia Airport (LGA), New York City, New York.

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The case brought as an application of the fuzzy methodology concerns actions within the Crew Resource Management (CRM) carried out at times when the QRH procedures and the ECAM system enter warning or emergency mode. In anomalous situations such as those that occur when an ECAM system is not working, therefore where the instruments are unable to detect the problem or error, pilots must refer to the QRH, which contains emergency procedures for such events. During the incident, the pilots quickly and properly have concluded that the situation they were experiencing was an exception ECAM. The QRH was consulted and directed to the failure checklist for both engines. The checklist would have taken about 30 min to complete, so the captain-incommand’s decision to break the protocol contributed to the survival of all the crew in the accident. If the pilots had proceeded with the checklist as it is structured, there would have been a high probability of a catastrophic accident.

7 Fuzzy Implementation The fuzzy logic, applied using Matlab, [25] therefore allows calculating and analyzing an immense network of forecasts for a possible action/reaction by man (pilot and service crew). We proceed with the description of the simulation carried out by implementing the methodology within the Matlab system.

Fig. 2. Fuzzy graphics interface on matlab code

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From Fig. 2 we have: – – – – –

FIS editor: specify how many and which input/output variables; FIS editor: specify the logical, aggregation and defuzzification operators; MF editor: specify member states and functions for each variable; Rules and editor: specify the rules; Rules and surface editors: analyze the results;

The FIS editor window consists of 3 parts: the inputs (causes) have been inserted on the left and the output (effect) on the right while in the central part there is the actual model. The inputs that have been taken into consideration in the case study are: 1. routine: they take the place of manuals dictating wrong behavior; 2. environment: environmental condition in which you work (quiet, optimal and noisy); 3. fatigue: worsens a person’s ability to work efficiently (sleep, difficulty in work); 4. psychological pressure; 5. communication; 6. knowledge: common cause of evaluation errors; 7. distraction: physical and mental abandonment of work; 8. stress: potential stressful situations must be recognized; 9. training. The output is: 1. performance level of the pilot in command. About the membership, function editor, Lofti Zadeh (author method) states that fuzzy variables can be considered as linguistic variables whose values are not numbers but words or phrases expressed in natural or artificial language. The input and output variables are therefore linguistic variables that are divided into a set of terms that cover their entire universe of speech. For example, for routine phase we have the functions: rare, medium and thick. Here the fuzzy function will be utilized as triangular. The next step was to find out the connections between inputs and outputs using the rule editor. This was possible thanks to the interference rules of the fuzzy logic. Using the IF-THEN rules, we obtain a fuzzy inference system that realizes a mapping between input and output. A linguistic rule of the If-Then type is composed of an antecedent and a consequent: IF (antecedent) THEN (consequent). Where the antecedent is nothing more than a fuzzy proposition of the type (X is A) and the consequent (Y is B) where A & B are the primary terms with which the fuzzy sets and the related membership functions are associated, defined on the intervals of X and Y. Several propositions can be connected to each other through the connectives AND, OR, NOT. In the case study, we will have a possible result dictated by: IF (routine is often) OR (environment is quiet) OR (fatigue is little) OR (psychological pressures is zero) OR communication is excellent) OR (knowledge is very high) OR (distraction is none) OR (stress is low) OR (training is excellent) THAN (performance level is excellent).

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8 Surface Viewer The model was completed, therefore, by extrapolating the results: a first result is represented by three-dimensional surfaces that show the performance level trend as a function of two inputs (variables). Here follow some examples.

Fig. 3. Surface Viewer. (Left) Training vs Environment. (Right) Training vs work Pressure

Fig. 4. (Left) Training vs Stress. (Right) Environment vs Stress

In Fig. 3 left, it can be observed how LP (level of performance) varies as training changes. In this case, we pass from a sufficient LP with a low training (up to a value of about 4) to a good LP for training values greater than 4, that is training tending to excellent. This can also be seen from the surfaces in Fig. 3 Right. In Fig. 4 left it can be seen that up to a stress level of 5 (optimal level) the performance level (LP) remains high, exceeding this threshold lowers LP; in fact, from the comparison between stress and training, LP increases from low to low as stress increases. This aspect can also be seen from the surfaces in Fig. 4 right.

9 Rule Viewer A second result was obtained by combining the various input functions by evaluating the variability of the performance level (output). Rating from 1 to 10 (1 = bad, 5 on average, 10 excellent). In the case of US Airways flight 1549, various inputs relating to the human factor has been analyzed. Because of the investigations conducted on the pilot in command, it has been established: at high routine, on average low level of environment and fatigue, low psychological pressures, high communication, high knowledge, low distraction and stress, high training.

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All this ended with the result of an average level of optimal final performance. – – – – – – – – –

Routine: 8.31 Environment: 2.56 Fatigue: 2.31 Psychological pressures: 0.55 Communication: 8.81 Knowledge: 8.81 Distraction: 1.31 Stress: 0.67 Training: 9.19 Final performance level: 7.37

10 Conclusions The analyzes carried out represent a methodology and an analytical process that needs to have a validation and calibration with numerous data that derive either from real events, or deriving from statistical analyzes [26]. In comparison with the NTSB investigation it is possible to find a substantial similarity between the two conclusions which have been positive. In the fuzzy case, the optimally positive values can be equivalent with the verbal evaluations produced by the NTSB. Certainly, other methodologies could be implemented but substantially the realistic numerical support would have been lacking. For example and implementation by HFCAS method would it have allowed identification of any failures but also of the numerous correct actions but in any case, without having quantitative numerical results. Likewise, the same result qualitatively speaking is obtained by implementing the SHELL methodology that, in some respects would be less precise than the HFCAS method. Thanks to the fuzzy methodology, the primary objective of effectively analyzing the human factor intrinsic to each plane crash was achieved. In critical safety systems where human lives are uncertain, even when things work as they should, it is extremely difficult to plan for contingencies. The aviation industry is well known for its safety standards under the supervision of strict regulatory bodies, especially in terms of design and certification. Despite all efforts and considerations, failures and defects and accidents in the design and execution due to human or other errors will occur, with however tragic but fundamental results for us engineers, in order to learn and improve our methodologies and plans for a future that is not only better, but safer. It is very clear that, the precision of the fuzzy approach is directly linked to the type of form functions chosen [27]. Here simple linear triangular element has been chosen and so calculations, numerical evaluation of the causes or better the trend of the single function “causes” remains simplified since it is reproduced as linear [28]. Future developments and up-grades of the model must necessarily be based on nonlinear fuzzy functions, since this type of function allows them to perform a simulation of the trend of the various causes in a much more precise way and close to the manifest reality.

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References 1. Baldissera, A.: Difficult technology. For a sociological analysis of human-machine relationships and accidents in complex technological systems. Tirrenia Stampatori (1992). (in Italian) 2. Jensen, R.S.: Pilot Judgment and Crew Resource Management. Routledge, Taylor & Francis Group, London (2016) 3. Leveson, N.: A new accident model for engineering safer systems, Working paper series, ESD-WP-2003-01.19. M.I.T. (2002) 4. Wiggins, M., Hunter, D.R., O’Hara, D., Martinussen, M.: Characteristics of pilots who reported deliberate versus inadvertent visual flight into instrument meteorological conditions. Saf. Sci. 50, 472–477 (2012) 5. Rasmussen, J., Vincente, K.J.: Proactive Risk Management in a Dynamic Society. Swedish Rescue Service Agency, Karlstad (2000) 6. Endesley, M.R.: Situation awareness in aviation system. In: Garland, D.J., et al. (eds.) Handbook of Aviation Human Factors. Lawrence Erlbaum Associated, Mahwah (1999) 7. Endsley, M.R.: Toward a theory of situation awareness in dynamic system. Hum. Factors 37 (1), 32–64 (1995) 8. Cacciabue, P.C.: Applying Hum. Factors Methods. Springer, London (2004) 9. Guarascio, P.: Basic principles of security engineering, pre-print, University of Rome “La Sapienza”. (in Italian) 10. Kontogiannis, T., Malakis, M.: A systemic analysis of patterns of organizational breakdowns in accidents. Reliab. Eng. Syst. Saf. 99, 193–208 (2012) 11. Griffith, D., Mahadevan, S.: Inclusion of fatigue effects in human reliability analysis. Reliab. Eng. Syst. Saf. 96, 1437–1447 (2011) 12. Schutte, P.C., Trujillo, A.: Flight Crew Task Management in non - normal situations. Langley Research Center, National Aeronautics and Space Administration, Hampton (1996) 13. Madonna, M., Martella, G., Monica, L., Pichini, E., Tomassini, L.: The human factor in risk assessment: methodological comparison between the techniques for analyzing human reliability, Higher Institute for Prevention and Safety at Work (ISPESL), Department of Security Technologies, Rome (2010) 14. Cardani, C.: The analysis of human factors in aircraft maintenance. the root cause analysis method in the investigation of a real occurrence. Thesis, Polytechnic Milano (2007). (in Italian) 15. Pierini, D.: Flight Safety Notes, Center for Preventive Medicine and Sports, University of Turin (2005). (in Italian) 16. Shappell, S., Wiegmann, D.: A Human Factors Approach to Accident Analysis and Prevention. Ashgate Publishing, Burlington (2003) 17. Cacciabue, P.C.: Human error risk management for engineering systems: a methodology for design, safety assessment, accident investigation and training. Reliab. Eng. Syst. Saf. 83, 229–240 (2004) 18. National Transportation Safety Board: Loss of Thrust in Both Engines After Encountering a Flock of Birds and Subsequent Ditching on the Hudson River US Airways Flight 1549 Airbus A320‐214, N106US Weehawken, New Jersey, 15 January 2009 19. Sarter, B.N., Woods, D.D.: Pilot interaction with cockpit automation II: an experimental study of pilot’s model and awareness of the FMS. Int. J. Aviat. Psychol. 4(1), 1–28 (1994) 20. United States Nuclear Regulatory Commission, US Airways Flight 1549: Forced Landing on Hudson River. www.nrc.gov

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21. Liu, J., Gardi, A., Ramasamy, S., Lim, X.: Cognitive pilot-aircraft interface for single-pilot operations. Knowl. Based Syst. 112, 37–53 (2016) 22. Roth, E., Woods, D.D.: Human interaction with an intelligent machine. Int. J. Man Mach. Stud. 27, 479–525 (1970) 23. Sarter, B.N., Woods, D.D.: Pilot interaction with cockpit automation: operational experiences with the flight management system. Int. J. Aviat. Psychol. 2(4), 303–321 (1992) 24. Borghini, G., et al.: Industrial Neuroscience in Aviation, vol. 18. Springer Series on Biosystem and Biorobotics, Cham (2017) 25. Sandi: MATLAB Fuzzy Logic Toolbox 26. Grassi, A., et al.: A fuzzy multi-attribute model for risk evaluation in workplaces. Safe. Sci. 47, 707–716 (2009) 27. Pengcheng, L., Guohua, C., Licao, D., Li, Z.: A fuzzy Bayesan network approach to improve the quantification of organizational influences in HRA frameworks. Safe. Sci. 50, 1569– 1583 (2012) 28. do Nascimento, C.S., de Mesquita, R.N.: Human reliability analysis data obtainment through fuzzy logic in nuclear plants. Nucl. Eng. Des. 250, 671–677 (2012)

Operating and Integration of Services in Local Public Transport Francis Cirianni1, Giovanni Leonardi1(&), and Domenico Iannò2 1

University Mediterranea of Reggio Calabria, 89123 Reggio Calabria, Italy [email protected] 2 Azienda Trasporti Area Metropolitana, 89129 Reggio Calabria, Italy

Abstract. During these years and important change in management and transport approach has taken place, basically oriented to improve the level of service in all its aspects (quality, performance, sustainability), and to modernize the system. Like in many countries, Italian transport authorities are constantly looking for ways to improve the efficiency in transport services. Some important changes in the incentive system have been made during the last two decades, with increased attention towards achieving cost efficiency. The aim of this paper is to examine the changes induced in the Local Public Transport sector with the introduction of the new legislation following EU regulations. Keywords: Tendering


Legislation
Local public transport

1 Introduction Public transport is based on a relation between demand and supply, as all transport systems [1]. In the case of Public Transport, demand is influenced by many external factors, community mobility needs, social inclusion and collective transport demand patterns to name some, while supply, in an always more commercial orientated market, has to go by financial efficiency [2]. The process in the programming phase, the design of service levels and definition of service parameters, as planning bus routes, planning bus stops, setting frequency and time-tables is based largely on customer satisfaction, therefore the design of the service is demand-oriented. As a consequence, based on elementary economy rules, the service design has an effect on the cost of the service. Developing the desired service and respecting budget are the base conditions, and therefore it is not possible to fulfil passenger requirements without keeping in account the limits set by service production costs, that is designing the service independently from company efficiency, or effective-ness [3]. The reference context in which the analyzed companies operate; the main characteristics of the European context, the national context and the regional context. In this, it must be highlighted that a significant part of the service is subsided, and the appointment of such a subsidy is directly connected to the level of service offered. The need to evaluate the level of supplied services, the number of subsidies and the definition of services to be assured to the public, leads to a socio-economic evaluation of impacts, revenues, costs and performances, which has different perspectives from a point of view of local authorities and of economic operators. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1523–1531, 2021. https://doi.org/10.1007/978-3-030-48279-4_142

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To this, it must be added that analyzing data in the Italian Public Transport market, it can be seen that over 70% of the sustained costs are for personnel [4]. As a matter of fact, on the one hand, the chances for operators to effectually compete for the award of a set of services needs a careful evaluation of possible revenues (due both to contract and fares), having to hold strongly into account running costs. On the other, the evaluation of the number of subsidies that local authorities can allocate to transit companies finalized to the definition of those services which need to be effectively assured to the public, leads to the necessity to conduct a preliminary parametric financial analysis of supposed costs and revenues. To this it should be added that the best bus service design model should consider all inputs and constraints, therefore optimizing the service which contemporarily achieves the goals of customer satisfaction and minimization of operative costs [5]. The modality which comprises reliable results with computational accessibility is an approach by successive steps. Firstly, the service is designed with the layout of routes, bus stop locating, frequency and time table definition. Secondly, the service is designed by assigning vehicle to trips (vehicle scheduling), drivers to vehicles (crew scheduling), and to create work weeks for drivers (rostering). In the second step the characteristics of the operators’ company, as infrastructures (material and immaterial) and available means, organizational and managerial assets and the normative and institutional assets.

2 The Context of Public Transport Services The reform of local public transport in Europe has origin in the EEC directives 1191/69 and 1893/91. The contents of the directives 1191/69 and 1893/91, establish, on one side, the principle of the commercial autonomy of the companies and, on the other side, the principle according to which, in all the cases in which it is present the public interest, the so-called “service contracts” can be underwritten by the competent authorities and a transport company in order to guarantee the public service, in order to guarantee the transport services, keeping in account social and territorial factors. On a European scale, public transport services can assume the form of: – planned monopoly, – competition for the market, – competition in the market. Within this entrepreneurial classification we can find two different regulatory regimes according to the degree of competitive pressure imposed to the system: the deregulated regime (free competition) and the authorization (or licensing) regime (which is a form of limited competition). The former provides a good example of the main disadvantage of market initiative systems, which is the reduced, or sometimes non-existing, network integration and co-ordination with the consequent lack of quality of the transport system. Whenever the initiative of creation of services lies freely and exclusively with the operator, this is done according to its own commercial and economic interest giving priority to cost efficiency objectives. In limited competition systems the authority can mitigate this drawback by subjecting the granting of the

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license, or authorization, to the compliance with specific requirements regarding system integration (e.g. physical, logical and tariff integration) and aiming to achieve this way a balance between efficiency in consumption, i.e. allocation of resources in accordance with the customer needs and preferences, and efficiency in production, i.e. for each efficient allocation in consumption, find the minimum cost of producing it [6]. Where the creation of the services is left to the authorities, the compliance with requirements established in accordance with the strategic goals can be, at least theoretically, more easily achieved, and enforcement should be possible at a lower cost function than in other regimes. The main advantage of these systems is that they give structural priority to integration and stability of supply, while seeking cost efficiency through other instruments. It is interesting to make a comparison between several European countries relative to the economic-managerial performances in terms of revenues/costs, as also on the staff-productivity and the costs for bus-km. Some market systems, as the British one (with the exception of Greater London), appear strongly advanced (85% of the costs covered from the revenues) compared to the limited competition systems (47%) – that is with contractual approach of the competition for the market - and to the planned systems (47%) – that is of systems managed from public companies as it is for the most part in Italy. The results are inverted completely but in terms of effectiveness of the service; in fact, when the loads are considered, the planned systems have a ratio km/vehicle-km that it is much higher than the other two systems: in the market systems, as an example, there has been a qualitative decrease of the service in terms of greater congestion of traffic caused by the overlapping of the companies, from the lack of coordination between operating services, from the aging of the vehicles and from the fare increase, factors that have led to a drastic reduction of the transported passengers. 2.1

The National Context

The introduction in Italy of bids for the market in the recent legislation has brought on an elasticity in supply unknown previously to the public transport system, a system which in Italy still relies strongly on subsides. All these evaluations must face reality, in the form of quality and the level of offered services. In the paper the use of traditional indicators, derived from assignment procedures (i.e. travel and waiting times, transfers, etc.), combined with the analysis of operating costs (drivers, fuel, etc.), are proposed to evaluate the performances offered by alternative configurations of a transit system operating in an urban area by using an efficiency approach. In particular, parameters of adopted operating cost functions have been calibrated from the analysis of real data and an example of performance evaluation is proposed for a real test site. A comparison between the application of the proposed procedure to a publicly owned company, and a private operator, highlights the stress points when different managing approaches are led to operate side by side. The field of local transport in Italy has been for years characterized by a deep crisis due mainly to a financial loss and the crisis of public transport demand. In the course of the 70’s and 80’s, the field has seen costs grow much more than revenues, which, in many cases is caused because of the loss of customers in favour of private means of transport [7]. In order to heal the situation, it has been made massive use of public

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funds. In absence of appropriate local mechanisms of boosting of efficiency and a sufficient credibility of the budget assessment, regional agencies have seen the deficits of the companies grow, and subsequently “an extraordinary” participation of the State has been called in to bail out the public companies. From this situation of serious financial crisis, accompanied by a progressive decrease of the market shares of the public transit, the Italian legislative reform started with the Laws 549/95, 59/97, 422/97 and 400/99. The Italian laws have reaffirmed the principle of the separation of the programming functions and regulation (of the public administrations) from those of management of the services, attributed to companies. The reform stimulates competitive mechanisms for the management of the road and rail services, with the objective to increase the efficiency of management and therefore at the same time to reduce the operating costs, raising the quality of the services. The local public transport companies have undergone a process of social transformation in order to manage the services in a separated way. Many companies in the country have been reorganized in economic and in financial terms. Therefore, alliances have been created or consolidated between public and private companies. From a financial point of view, the main critical factors can be reassumed as: – the constant billeting of destined resources to the field; – a tariff system not adapted to the effective production costs of the services, – a constant increase in costs of the production factors (i.e. fuel, workforce). The model adopted in Italy corresponds to Competition for the market. 2.2

Planning

The reform introduces the legislative and organizational decentralization of local public transport from central state to Regional administrations (introducing Local Agencies). In the reform roles are attributed to the different subjects: – the central Government, on the base of the directives of the European Community, sets the indications for the transport planning of the; – the Programming Agency (Region or Local Agency), on the base of the available resource’s designs, through specific analyses, the requirements of mobility of the territories in the to transport basin of competence and programs the services; in particular the tasks of the agency are: • to write the Regional Law on Local Public transport; • to define the indications for the planning of the local transports; • to define the Regional Transport Plan and Minimum Services; • to approve the Triennial Program of Services (PTS); • to guarantee mobility in the zones with weak demand; • to create the conditions for the start of the bidding procedures for the assignment of services. The Public agencies are adopting very slowly the programming instruments, due mainly to the lack of specific professional expertise inside the public Administrations.

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Management

The market of local transport is subdivided between urban and extra-urban; within the market various modalities of transport exist: bus companies, tram companies, metropolitan and rail companies. Between these the bus companies represent the predominant set, in terms of transported travellers, with approximately 78% of the travellers, against 12% of the metropolitans, 7% of tramlines and 3% of Railroads.

3 Regulation In local transport, the different contract forms differ on the nature of the contractor’s risk, which can be classified as industrial risk, which depends on the operative costs and management of the entrepreneurial activities, and the commercial risk [8], which depends on the activity of travel fare issued, therefore the revenue level obtained. The following families of contracts are possible: – Management Contract: both risks are on the conceding agency; – Gross Cost Contract: the industrial risk is on the operator while the commercial risk is on the conceding agency; – Net Cost Contract: both risks are on the operator. Between these typologies, they are the possible intermediate forms of contract with risks partially on one or the other part. With the service contract, another factor particularly important is the criteria of distribution of the subsidies to stimulate the company to a greater rationalization of costs. The reform fixes a superior limit to the transfers (in connection with the local costs), which the regional agencies can dispose to local municipalities, and introduces a mechanism of adaptation of such transfers much similar, in logic, to the price cap and that, for analogy, we could define subsidy CAP. An ulterior element of innovation introduced from the Italian law is the introduction of the bids for the services, on rail or road [9]. Aim of the introduction of the competition principle is to reduce the costs and to improve the quality of the service. The first experiences of assignation of the service by bid in Italy have shown the difficulties in passing to a regimen of competition. It is possible to define three various kinds of bids for the assignment of services: – bids for single lines, often used for the assignment of extra-urban services; the adoption of this kind of bid demands an effective coordination of transport services on behalf of the regulator; – bids for the entire traffic basin assigned to a single operator who organizes the service on the base of indications given from the agency through the service contract; this kind of bid is complex and articulated in the bidding phase, as it presents a variety of necessary parameters for the assessment and the selection of the offered proposals; – Bids for traffic sub-basins in which the entire bas is subdivided in homogenous areas.

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A common problem to all the contests is the problem of the property of infrastructures. Many Italian regions have not started the assignments through bid and some areas of the country are particularly behind on schedule. The application of the reform, for what the competition regimen is concerned, can be reassumed as follows: 1. the bids have been carried out mostly in the single jurisdictional borders of the provinces or the cities; there is a lack of studies on the existence or less on scale economies deriving from the aggregation of confining basins; 2. the chosen contracts are mostly of the net cost type; 3. in the greater part of the cases the winners turn out to be the same which operated the service before the bid; 4. the great Italian cities have put to bid only a part of the services offered. 3.1

Programming Asset

The functions and the competences of the Region of the Provinces and the City councils are specified in the law 23/99, which introduce the Local Public Transport Program, which addresses the services supplied from the Regional Transport Plan in order to guarantee an effective use of the financial resources distributed and an efficient organization of the relative services. The Local Public Transport Program of the TPL is designed to: • eliminate eventual superimpositions, parallelisms and competition in the service between the carriers; • define the weak demand areas, adapting the supply of transport services; • fix the modalities of determination of fares; • adopt the modalities for the monitoring of services; • Define the minimum services. In the regional law 23/99 Basin Plans are defined as the instrument of local public transport planning within the basins designed in the Regional Transport Plan, as in the same law the ratio between service revenues and operative costs [10] is fixed equal to the national standard of 35%. The assignment of LPT services is regulated by service contracts between the Province and the company, which wins the bid, considering the homogeneity of the tariff levels within the regional territory, the amount, the quality and the safety of the service and the priorities between lines. 3.2

Management Asset

One of the specific aims of the reform at regional scale, was of optimizing the management of transport companies so as to o create favourable conditions for the access to the open market. Furthermore, the contribution structure has been conceived in such way to supply a higher contribution to the companies that have a greater number of bus * Kilometre, discouraging small companies as family run businesses. Following the introduction of this law, companies were obliged to:

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– to transform the social form into PL companies. – Reorganize in productive and economic-financial terms adopting strategies of managerial and organizational kind with the aim of using in optimal way the financial, human and material resources available. Definition of Indicators – Cost indicators A general formulation for an operating cost function can be expressed in function of vectors of attributes depending on the produced service [11]. The methodology can be summarized in the following phases: a) identification of the activities done for the production of the service; b) definition of the kind of resources used for the development of the single activities; c) definition of the acquisition cost of these resources; d) definition of the quantity of resources used by the line; e) prevision of the operating costs of line for activity; The criterion generally used for the quantification and the evaluation of the resources is that of associating, to each one of the selected cost items [12], a function having as dependent variable a proxy of the amount of service produced. The parameter chosen as indicator of the amount of produced service is the amount of vehicle-kilometre [VKM]. The indicators, which most commonly will be used, are: Traction cost, here referred to the unit cost [UTC] and the supplied service, in terms of veh-km, produced in the entire year; Maintenance Costs. The maintenance of the vehicles is represented by a cost assumed variable under the hypothesis that maintenance cycles are operated every a fixed mileage interval. Vehicle Costs. Referring to the costs dependent on the use of the vehicles [PVCV]. Personnel Costs. For the prevision of the personnel cost, two kind of employee qualification have been considered: on board and administrative. – Level of service indicators Level of service indicators used to compare different alternatives have been obtained by means of an assignment procedure.

4 Conclusions At a national and European level, reform in the field of local and public transport is being applied. The reform involves different subjects with distinguished roles: national government, regional and local agencies, transport Companies.

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The Companies, in order to adapt to the normative dispositions, are being restructured. A process of aggregation between the companies that operate in the regional territory has been concluded achieving efficiency in the system. Because of this aggregation, the companies have adopted organizational and managerial strategies in order to optimize the use of the available resources, in order to start the bidding procedures, which have shown a slow start also at national level. Our results indicate that, although subsidies have increased somewhat, there have been significant improvements in the quality of services such as increased capacity, new buses, increased frequencies and extended opening hours on those lines where competitive tendering has been introduced. A rough estimate of the additional production costs associated with these improvements indicates that the competitive tendering process has produced significant cost savings. In addition, such improvements add benefits to the users, albeit not being estimated in this paper. However, it has been a game with ‘winners curse’ tendencies, because some of the services have run into deficiency.

References 1. Cascetta, E.: Transportation System Engineering: Theory and Methods. Kluwer Academic Publishers (2001) 2. Ceder, A., Wilson, N.H.M.: Bus network design. Transp. Res. 20, 331–344 (1986) 3. Cirianni, F., Iannò, D.: Good practices in public transport planning: competing modal choices and enforced transport policies. In: Proceedings of European Transportation Conference 2004, Strasbourg, FR. (2004) 4. Cirianni, F., Iannò, D, Leonardi, G.: Model definition and optimization of unit cost functions in service integration of bus services. In: Proceedings of Networks for Mobility, 6th International Symposium, Fovus, Stuttgart (2012) 5. Cirianni, F., Di Gangi, M.: A methodology for operating cost and revenue evaluation in transit systems: application to an Italian extra-urban area. In: Proceedings of the European Transport Annual Meeting: Applied Transport Methods, PTRC, London (2002) 6. Comi, A., Nuzzolo, A.: Individual utility-based path suggestions in transit trip planners. IET Intell. Transp. Syst. 10(4), 219–226 (2016) 7. Buonsanti, M., Cirianni, F., Leonardi, G., Scopelliti, F.: Impact dynamics on granular plate. In: Proceedings of the 8th International Conference on Structural Dynamics, EURODYN 2011 (2011) 8. Calabrò, F., Campolo, D., Cassalia, G.: A cultural route on the trail of greek monasticism in Calabria. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives, ISHT 2018. Smart Innovation, Systems Technologies. Springer, Cham (2019) 9. Cirianni, F., Leonardi, G., Scopelliti, F.: A methodology for assessing the seismic vulnerability of highway systems. In: AIP Conference Proceedings, vol. 1020, no. PART 1, pp. 864–871 (2008) 10. Charnes, A., Cooper, W.W., Rhodes, E.: Measuring the efficiency of decision-making units. Eur. J. Oper. Res. 2, 429–444 (1978)

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11. Obeng, K.: The economics of bus transit operation. Logistic Transp. Rev. 20(1), 45–65 (1984) 12. Calabrò, F., Tramontana, C., Cassalia, G., Rizzuto, M.C.: Economic sustainability in the management of archaeological sites: the case of Bova Marina (Reggio Cal, Italy). In: New Metropolitan Perspectives, ISHT 2018. Smart Innovation, Systems and Technologies – SIST, vol. 101. Springer, Cham (2019)

Applying 3D and Photogrammetric Scanning Systems to the Case of Cultural Heritage Antonino Fotia1(&) and Raffaele Pucinotti2 1

DICEAM, Mediterranea University of Reggio Calabria, Località Feo Di Vito, Reggio Calabria, Italy [email protected] 2 PAU, Mediterranea University of Reggio Calabria, Località Feo Di Vito, Reggio Calabria, Italy

Abstract. In the context of the preservation of cultural heritage, the new technologies available to operators in the sector, allow the use of increasingly efficient non-invasive diagnostic techniques, aimed mainly to identify the processes of degradation, to be understood as loss of performance or initial properties produced over the years, due to natural or artificial causes. Today, the available techniques allow the generation of 3D models from images made with common digital cameras that, through the use of dedicated software, based on “Structure from Motion” (SfM) algorithms and DEM (Digital Elevation models Model) of high quality, allow the high-resolution reconstruction of the object in order to acquire elements useful to the interpretation of the deterioration in progress, without damaging the state of the work investigated. The above techniques can be used to determine external morphology, to search for defects of homogeneity and to survey lesions. There is no doubt that careful visual analysis is the basis for a proper assessment of the condition of the work under investigation. However, only the visual examination is not sufficient to provide the information necessary to make a correct diagnosis, therefore, the application of the above techniques, allows to thoroughly investigate the phenomena of failure, also going back to their causes. In this work, SfMs and DEMs are applied in the field of cultural heritage and the results are compared with those obtained from laser scanning acquisitions in order to acquire all the necessary information for subsequent evaluations and comparisons. Keywords: SFM “Structure from Motion”
Bundle adjustment
Dense Image Matching
Laser Scanner

1 Introduction As has happened in other areas, technology has strongly influenced and transformed relevant techniques in the field of Geomatics. The advent of GPS and Robotic Total Stations has greatly elevated and simplified the work of the topographer, ensuring better quality in the researched results associated with a simplicity of prominence. Subsequently, the introduction of the Laser Scanner was an extraordinarily versatile solution for capturing large amounts of data with significantly reduced survey times, © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1532–1540, 2021. https://doi.org/10.1007/978-3-030-48279-4_143

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always ensuring very high accuracy. This technology has been joined by special remote sensing techniques, Unmanned Aerial Vehicle (UAV) systems equipped with both Laser Scanner and digital cameras.

2 Photogrammetric Survey The object reconstruction, in shape and size, starting from two photographic images taken from two different points, is called photogrammetry. If the object of the shooting is the terrain, through photogrammetry it is possible to obtain a 3D model and then pass, through the orthogonal projection to the map representation of the ground. Photogrammetry, then, turns out to be a powerful tool widely used for topographic three-dimensional modeling. If the modeling achieved through photogrammetry is characterized by high accuracy, a limit of such a system is the high cost of its execution. Cameras used in such operations and all the procedures connected to them are highly expensive. These must ensure very high quality targets that produce limited distortion; they must be equipped with trustmarks, i.e. points or crosses that allow to determine a twoway relationship between the image and the slab’s position at the time of taking; Also must be known the camera data, focal length, location of the main point, parameters of the function that corrects the distortion, position of the trust brands in the reference system inside the camera. However, the increased computing power of computers and the reduction in the cost of digital cameras combined with the quality of compacts and reflexs has started the use of new relevant methodologies. Photogrammetry can be categorized by grip type, processing type, and photograph type. Type of shootings: Earth’s photogrammetry: the shootings take place from the ground. The objects are located at distances less than 200 m and for this reason we also talk about photogrammetry of the neighbors (relief of buildings). Aerial photogrammetry: The shootings take place from a plane. In this case the ground is located at distances greater than 200 m and for this reason it is defined as a photograph of the distant. Processing type: Analogic photogrammetry: the construction of detected objects is achieved with physical devices that reproduce the phenomenon of grip on reverse way. Analytical photogrammetry: the reconstruction of detected objects is achieved by numerically processing with modern calculation tools appropriate measurements made on the frames. Type of photography: Classical photogrammetry: they are obtained from the development of photosensitive emulsions on film, or on glass slabs. Digital photogrammetry: photographs obtained in numerical form and organized in a grid of pixels. In this case, a terrestrial outlet was used.

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Structure from Motion. Principi di Funzionamento

The following is a new method of extremely versatile topographic survey characterized by simplicity of execution and low cost of production. The principle on which the Structure from Motion (SfM) technique is based follows what is happening for stereoscopic photogrammetry where the generation of the 3D structure is solved and defined through image overlay. Unlike traditional photogrammetry, reconstructing the scene with the positioning and orientation of the camera is automatically solved by the software used. There is, therefore, no need to specify a priori targets or significant points present in the scanned images. These are automatically detected and resolved by software that is based on a photo campaign consisting of multiple sockets with overlapping images of the scene to be captured (Fig. 1).

Fig. 1. Structure from motion principle

This technique is particularly effective when the photo campaign is made up of a set of images with a high degree of overlap that allows a complete three-dimensional reconstruction of the captured scene. Developed in the 1990s, it originates from computer graphics and, despite the enormous potential of the system, is not yet particularly widespread in the field of Geomatics. The following is the workflow required to obtain a dense cloud and threedimensional model. The first operation is to identify and extract significant points in each photograph taken. This is done by using an algorithm implemented by D. Lowe in 2004 called the Scale Invariant Feature Transform (SIFT) [1, 2]. Through this algorithm, the counterpart points present in the shots are first identified by operators of interest, then, through the use of image descriptors, will be chosen, among the counterpart points identified, those that are less different from each other. In addition to intrinsic values (such as lighting, color, rotation, etc.) the counterpart points are searched within particular areas of the framed scene: corners or areas where there are most discontinuity elements.

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When the counterpart points are found, these must be coupled. This is done by matching the identified counterpart points and, therefore, the shots. At this stage it is crucial to assess the similarity between various points identified. For this purpose, the concept of Euclidean distance is used. Once a point has been found in the first scene with certain characteristics (brightness, color, etc.), the counterpart in the next scene appears to be the one closest to the one under consideration. The use of Epipolar Geometry to define the geometric constraints that bind the homologous points identified in the shots depicting the same scene is also crucial (Fig. 2).

Fig. 2. Epipolar Geometry principle

In the next step, the 3D model is generated. To do this, the internal orientation parameters of the camera used for shootings are identified. The discovery is done by the matches already identified (homologous points and Epipolar Geometry). At this stage, error checking and throttling is done through bundle adjustment. The last step is the generation of the model through a dense cloud. The Dense Image Matching algorithms are used here. They are distinguished into two types, area based matching (AMB) algorithms that work on the statistical comparison of the gray intensity present in the various photos and that do not involve the extraction of features by treating, in fact, the intensity of gray; and feature based matching (FBM) algorithms that first search for common features and then perform extraction. The combination of both provides optimal results but greatly lengthens processing time. The methods of shootings are really important. It should be remembered that photo reconstruction systems return a model that is proportionately correct but does not appear to be scaled. The resulting point cloud is not georeferenced but represented in a local system. It is therefore necessary to move from a system of spatial coordinates to an absolute coordinate system. This is done by identifying a fair number of ground control points

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of known and traceable coordinates within the cloud obtained through SfM reconstruction. Here are the steps required to generate a dense point cloud through SfM techniques. The “Structure from Motion” technique is used in several applications including reverse engineering and, in recent times, applications related to the Unmanned Aerial Vehicle (UAV) environment. There are several cloud generation solutions, both open source software (Bundler, CMVS/PMVS2) and commercial (PhotoModeler 2012 by EOS Systems Inc., PhotoScan from Agisoft LLC) and web services (Autodesk 123D capture, ARC 3D Webservice, Microsoft Photosynth, Hypr3D).

3 Case Study 3.1

Rabarama’s Statues

The objects examined in this application are the three statues of Rabarama, pseudonym of the painter and sculptor Paola Epifani. Le tre statue posizionate sul lungomare di Reggio Calabria, sono: (i) Translettera (bronzo dipinto bianco/nero); (ii) Labirintite (bronzo dipinto bianco/verde) e Costellazione (alluminio dipinto bianco/bordeaux). The three statues placed on the promenade of Reggio Calabria, are: (i) Translettera (bronze painted white/black); (ii) Labirintite (bronze painted white/green) and Constellazione (aluminum painted white/burgundy). The software used for this study is Agisoft Metashape which allows the generation of dense clouds, meshes and textures. Agisoft Metashape is a low-cost commercial software that allows us to get a highquality 3D model. The workflow is fully automated both in terms of image orientation and model generation and reconstruction. The generated model can be exported to be managed and possibly treated with external software [8, 9]. All processes can be run with various levels of precision and different parameters can be set in order to improve the final result [10, 11]. The workflow is fully automated both in terms of image orientation and model generation and reconstruction. This condition has led to an optimization of processing times ensuring good performance of the complex machine/software. The imaging acquisition was conducted using a Nikon D3100 digital camera equipped with an ultra-compact AF-S DX Zoom-Nikkor 18–55 mm f/3.5-5.6G ED II and a P-franken-produced compatible GPS module. The resulting images are 4608  3072 pixels, a resolution of 300 dpi, and a color depth of 24 bits. They were saved in jpeg format, a format supported by the software used in the trial (Fig. 3, 4, 5). The processing steps were as follows:

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Fig. 3. Statue 1 a) Dense Cloude; b) Textured

Fig. 4. Statue 2 a) Dense Cloude; b) Textured

Fig. 5. Statue 3 a) Dense Cloude; b) Textured

1. Align photos consists on identifying connection points through the use of operators of interest. The points chosen in the different photos must have characteristics in common in order to be properly superimposed. For a success the image quality must be high, we need to have few shadow areas and adequate lighting; 2. Build Dense Cloud. Through this phase a dense cloud is built using dense image matching algorithms. These are divided into algorithms that use a stereo pair to find matches (stereo matching) and those that identify them in multiple images (multiview stereo);

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3. Build mesh, that consists on generation of a polygonal pattern based on the newly created dense cloud. The mesh is a splitting of a solid into smaller solids of multifaceted shape; 4. Build texture, instead allows us to get the 3D representation of the work under investigation [12, 13]. The images were taken using the technique of the converging axes and their number is shown in the summary Tables 1 and 2.

Table 1. Riepilogo risultati o Statue 1 2 3

o

N picture Sparse Cloude Dense Cloude 124 35033 8365629 123 1168570 18057499 126 732106 18464900

No faces No edge 1625758 819235 3574966 1789440 3686980 1845146

Table 2. Riepilogo tempi di elaborazione. Statue 1 2 3

3.2

Survey time Sparse Cloude Dense Cloude 0,33 h 0,58 h 2,08 h 0,36 h 0,80 h 3,6 h 0,36 h 0,76 h 3,86 h

Mesh 2h 3h 3,16 h

Textured 0,5 h 0,75 h 0,75 h

Laser Scanner Technology

As is well known, the laser scanner technique allows, from a laser source, to scan to the relief of the three-dimensional coordinates of a very large number of points, automatically, with high resolution and precision, allowing at the same time reconstructing the three-dimensional image of the object or surface of interest [3–5, 7]. The design of the survey is of paramount importance; In fact, it is necessary to identify the optimal location in which to arrange the instrument, and in case multiple scans are needed, it is essential to use common targets, which will then allow to connect in a single system, the different “clouds” of points obtained from each station. In this case, it was not possible for the processing to be completed for reasons of time and to compare the two techniques used. However, the application aspects are similar to what was already presented in [7]. The results of these comparisons will be presented at a later conference. 3.3

Structural Model

The model obtained using the SfM, contains all the metric information useful for subsequent structural analysis and testing. The same was then imported into a CAD environment within which it is possible to analyze in detail all the geometric properties

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of the imported element, obtaining, with simple automatic commands, the sections and elevations in addition to all possible views 3D. The following transformations had to be performed when importing the model into the structural software: the shell elements were defined in Autocad as surface elements (3D faces), the one-dimensional elements were instead defined as lines. Finally, the three-dimensional elements were obtained by extruding surface elements (3D faces) once imported into Sap 2000. Figure 6 shows the structural model of Statue 2 within Sap 2000. In particular, waiting for the symmetry of Statue 2, only half a Statue has been implemented in the model by inserting appropriate constraints at the nodes located on the axis of symmetry.

Fig. 6. Statue 2 Mesh

4 Conclusion In this work, SFMs and DEMs have been applied in the field of cultural heritage. For time reasons, it was not possible to compare the results obtained with those obtained from laser scanning (TSL) acquisitions. Based on the results, it can be said so far that the SfM approach has its strengths in the speed, low cost and highly automated procedure for producing 3D models. Processing time is greatly influenced by the computing power available. However, the technique has been specially designed to achieve excellent results in less time while keeping costs low. The direct acquisition of the model within a structural software allows you to have, for subsequent analyses, a structural model corresponding exactly to the Monument investigated.

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References 1. Balletti, C., Guerra, F., Scocca, V., Gottardi, C.: 3D integrated methodologies for the documentation and the virtual reconstruction of an archaeological site. Int. Arch. Photogramm. Remote Sens. Spatial Inf. Sci. XL-5/W4, 215–222 (2015). https://doi.org/ 10.5194/isprsarchives-xl-5-w4-215-2015 2. Bandiera, A., Beraldin, J.A., Gaiani, M.: Nascita ed utilizzo delle tecniche digitali di 3D imaging, modellazione e visualizzazione per l’architettura e i beni culturali. In: Ikhnos, pp. 81–134 (2011) 3. Barazzetti, L., Forlani, G., Remondino, F., Roncella, R., Scaioni, M.: Experience and achievements in automated image sequence orientation for close-range photogrammetric projects. In: Proceedings of SPIE Optics+Photonics, 23–26 May 2011, Munich, Germany, vol. 8085 (2011) 4. Barrile, V., Meduri, G.M., Bilotta, G.: Laser scanner technology for complex surveying structures. WSEAS Trans. Signal Process. 7(3), 65–74 (2011) 5. Barrile, V., Meduri, G.M., Bilotta, G.: Laser scanner surveying techniques aiming to the study and the spreading of recent architectural structures. In: Proceedings of the 9th WSEAS International Conference on Signal, Speech and Image Processing (SSIP 2009). Recent Advances in Signal and Systems, pp. 92–95 (2009) 6. Pucinotti, R., Meduri, G.M., Barrile, V.: L’applicazione della scansione laser e della tecnologia radar ad un ponte in cemento armato. In: Atti del 12° Congresso Nazionale dell’AIPND – Conferenza Nazionale sulle Prove non Distruttive Monitoraggio Diagnostica, Milan, 11–13 October 2007, pp. 1–8 (2007) 7. Barrile, V., Fotia, A., Bilotta, G.: Geomatics and augmented reality experiments for the cultural heritage. Appl. Geomatics 10(4), 569–578 (2018) 8. Barrile, V., Fotia, A., Bilotta, G., De Carlo, D.: Integration of geomatics methodologies and creation of a cultural heritage app using augmented reality. Virtual Archaeol. Rev. 10(20), 40–51 (2019) 9. Barrile, V., Fotia, A., Bernardo, E.: The submerged heritage: a virtual journey in our seabed. ISPRS Ann. Photogrammetry Remote Sens. Spat. Inform. Sci. 42(2/W10), 17–24 (2019) 10. Barrile, V., Meduri, G.M., Bilotta, G.: Comparison between two methods for monitoring deformation with laser scanner. WSEAS Trans. Signal Process. 10(1), 497–503 (2014) 11. Barrile, V., Bilotta, G.: Self-localization by laser scanner and GPS in automated surveys. In: Mastorakis, N., Mladenov, V. (eds.) Computational Problems in Engineering, vol. 307, pp. 293–311 (2014) 12. Barrile, V., Meduri, G.M., Bilotta, G.: Experimentations and integrated applications laser scanner/GPS for automated surveys. WSEAS Trans. Signal Process. 10(1), 471–480 (2014) 13. Forte, M, Kurillo, G.: Cyberarchaeology: experimenting with teleimmersive archaeology. In: Virtual systems and multimedia (VSMM 2010), Seoul (2010)

Traffic Flows Surveying and Monitoring by Drone-Video Domenico Gattuso1(&), Gian Carla Cassone1, and Margherita Malara2 1

DIIES Department, Mediterranea University of Reggio Calabria, Reggio Calabria, Italy [email protected] 2 PAU Department, Mediterranea University of Reggio Calabria, Reggio Calabria, Italy [email protected]

Abstract. For the purposes of planning and managing mobility phenomena, the traffic detection is a widespread practice. In particular, automatic measurements of vehicular traffic on road sections are operated by electronic equipment and different sensors. Some technologies, included in the general class of traffic analysers, also allow to detect other parameters such as vehicle dimension, speed, spacing, headway. Generally, these are most interesting tools for the classification and characterisation of vehicles, but also more expensive and imply expensive work on the road. The paper proposes a short state of the art concerning traffic detection systems with a particular focus on Unmanned aerial systems (UAS). Some experimental results are proposed referring to surveys conducted with the help of drones. The surveys refer to three different contexts: an urban road section, an urban road intersection, a freight terminal. The focus is in particular on the measurement of flow parameters such as flow, density, speed and the classification of vehicles in predefined categories. Moreover, some considerations emerged from the experimental analyses, on the applicative potential of the UAS and on the perspectives for the development of the technological characteristics of these instruments. Keywords: Traffic detection


UAS
Flows monitoring

1 Introduction The continuous increase of traffic volumes on the roads pushes transport managers to look for more effective ways to reduce congestion problems. There is a strong need of information for monitoring and managing traffic in real time (Kanistras et al. 2013). This requires the collection of accurate information, not only for the state of traffic and road conditions, but also information in real time in case of emergencies such as car accidents that lead to traffic congestion and/or detours (Puri (2005); Puri et al. (2007)). Unmanned Aerial Systems (UAS), also known as drones, are used in a growing number of civil and commercial applications. Among these applications, road traffic monitoring constitutes a domain in which the use of UAS is gaining considerable interest due to the low cost and wide range of traffic data detected by image processing (Elloumi et al. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1541–1551, 2021. https://doi.org/10.1007/978-3-030-48279-4_144

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(2018); Barrile et al. (2019)). The research in recent years has focused a lot on this topic, in particular looking for the most effective way to transmit and analyze traffic data acquired by UAS (Valavanis and Vachtsevanos (2015); Chen et al. (2007); Kopardekar et al. (2016)). This technology appears interesting respect to the traditional detection systems (inductive loop detectors, video, radar, ultra-sound technologies, etc.) because their use flexibility deriving from the aerial movement and the operating costs considerably lower than the traditional systems. The focus of this work is a preliminary evaluation of UAS applicative potentialities and perspectives for the development of these kind of instrument in traffic monitoring and management.

2 Parameters of Interest in Traffic Analysis The vehicular stream is a complex phenomenon, in which multiple variables come into play. The basic variables are: flow rate or flow (q) defined as the average number of vehicles that, in the time unit, cross a road section; speed (v), as average space travelled in a unit time; density (k) (or concentration) as the average number of vehicles that occupy one road space unit. The three basic variables can be combined with many other traffic or traffic-related variables, which can be grouped into the following classes: • complementary or derived measures: vehicle presence/cross, queue lengths, travel times; • events affecting traffic: accidents, accidental events, bottlenecks, turn manoeuvres, lane changes; • vehicle characteristics: total weight, weight per axle, length, height, occupancy rate; • vehicle infractions or faults as excessive speed, missing stop at red light or stop signal, illegal parking, opposite direction running, headlight beam failure; • environmental parameters as pollutants concentrations, noise level.

3 Advanced Traffic Detection Systems To derive the traffic parameters useful for the analysis of the outflow on the road, extensive or advanced technologies are necessary. The most common technologies are installed in a specific position adapt to capture traffic measures; they can be defined static technologies. Today some other technologies, dynamic technologies (UAS), seems to give new opportunities and are subject of research. The most common detection technologies of current use can be distinguished in relation to the type of detector used that can be placed on the floor (intrusive), or within or near the roadway (non-intrusive). The rapid technological evolution in recent years in the field of traffic parameters measurements has allowed the recent experimentation of innovative detection methods, based on the automatic images processing, images filmed with cameras. More advanced methods are based on the detection of signals/images through satellites. In recent years, new and more versatile and reliable technologies like the Unmanned Arial Systems (UAS) have been experimented. The use of these commonly called drone

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(Fig. 1) could allow to acquire most of the interest parameters for traffic analysts, with undoubted advantages. Moreover, the advantages could be interesting also from a business perspective that aims to create an integrated detection system, in relation to the lower costs of the product offered on a very attractive international market.

Fig. 1. Traffic monitoring by drone

This technology has been developed and is increasingly being adopted in parallel for military and civil uses. As for civil uses, it is then possible to distinguish between professional and amateur activities. Drone surveys can also be interesting for integrated transport/land use surveys; for example, it is possible to operate specific monitoring for: • surveys of land-use in areas difficult to reach, such as degraded, polluted, landslides, flooded areas, collapsed infrastructures; surveys can also be useful for urban/territorial regeneration planning; • detection of critical congestive states on a large scale (district or long roads); • survey of the degradation state of important facilities as tunnels, bridges, viaducts, in sites difficult to reach with traditional scaffolding and means (Barrile et al. (2019)). Different attributes can be adopted to classify the drones. Respect to their mode of generating lift it is possible to distinguish: fixed-wing drones, looking just like airplanes (the wing can be more or less flexible depending on the models); drones with propellers (depending on the number of propellers that generate lift, they are classified as helicopters and multi-copters). Another factor is the size and weight dimension of vehicle; based on these two factors, it is possible to define different categories. By size: Micro drones (up to 50 cm in length), Mini drones (between 50 cm and 2 m), Medium drones (over 2 m). Large drones (size of a real plane, for military use). Regarding weight, it should be noted that this factor is particularly important as it is taken as a unit of measurement by Aviation Authorities. The Italian Civil Aviation Authority, for the issue of the UAV Pilot Certificates, considers the so called “operational mass”; in a general way it is possible to distinguish 3 classes of weight: 4 kg. Table 1 shows a classification of UAS based on their application fields (Cohn et al. (2019)). The most mature applications - and the only ones where drones are widely applied in either the corporate or the consumer sector - involve short-range surveillance and associated photographs or videos. The impact assessments are based on expert industry interviews, where impact, in relative terms, refers to magnitude of the economic effect on an industry.

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Surveillance

Operations Entertainment Signal emission Movement

Description of use Short-range surveillance, image capture, and analytics Long-range surveillance, image capture, and analytics Using photo and video applications without analytics Facilitating labour-intensive or difficult tasks Leveraging drones to entertain or advertise Providing multimedia bandwidth by emitting signal (video/sound) Transportation (moving people) Delivery (moving freights)

Impact High High Low Medium Low Low High High

It is possible to identify different drone price ranges. The cost of drones (excluding the optical system) can vary greatly, especially in relation to the kind of use. Indicatively it can vary from a few hundred euros for drones for recreational use to some thousand euros for professional activities. UAS in specialized monitoring operations, in scientific activities, experimentation and research, offer interesting opportunities. They allow to overcome some of the main limits of traditional technologies; for example: • compared to fixed video sensors, installation costs are less and operating costs are significantly reduced; moreover, they have the advantage of being able to be used in different contexts over time, for example on different motorway sections in relation to specific needs; • if the drone is difficult to use in urban areas, for surveys concerning motorways or extra-urban routes it is more advantageous as it allows vehicles to be followed in space and time; • the quality of the images is generally high and it is possible to preserve the films of investigations for a posteriori checks; this can allow a manual delayed survey with advantages in terms of speed (counts on speeded films) and reliability (thanks to the possibility of repeating counting operations); • operational costs on site are competitive compared to traditional sensors as they include only the cost of the operator (it is estimated a daily value of the order of 500–800 €) and the machine functionality cost (battery, maintenance, etc.); • an automatic detection system can be operated starting from the videos (deferred or in real time), with high reliability, through commercial image processors and therefore at affordable costs. The use of UAS is bound by the Air Circulation rules, issued by the ICAO (International Civil Aviation Organization). Some of them determine significant limitations in traffic application, especially in urban contexts and in restricted areas. In the EU the Commission has given to EASA (European Aviation Safety Agency) the task of harmonizing the rules concerning Civil Aviation.

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In order to assure a safe, orderly and shipped air traffic flow, the airspace of each ICAO State is divided, both horizontally and vertically, into smaller airspace spaces (Fig. 3). Starting from the smallest to the largest space, for areas that affect these technologies, there are: • CTR (Controlled Traffic Region), subject to some exceptions; • ATZ (Aerodrome Traffic Zone); • ARPA (Active Regulated and Prohibited Areas). In general, UAS operations cannot be carried out within the ATZ of an airport and in the areas below the take-off and landing trajectories or at a distance less than 5 km from the airport, where an ATZ is not established to protect airport traffic; within the CTRs, subject to some exceptions; within the active regulated areas and prohibited areas.

4 Experimental Traffic Survey by Drone In order to test the potentialities of drone technology, with the help of specialised operators and professional drones, a field survey has been organised and realised; the investigation has been articulated in three successive phases closely interrelated: • planning of the survey; • organization and preparation of the activities; • carrying out investigation. The planning allowed the definition of the test procedures and instruments, with the specification of what, how and when to do. In close relationship with the planning of activities, the structure of the database for statistical analysis has been designed. The phase of organization and preparation of the investigation is very delicate and constitutes an essential prerequisite for a good result of the work. At this stage the investigation form has been drawn up. Concerning the traffic surveys there are many methodological approaches; in the literature, some specific in-depth studies can help to outline a reference methodology (Leduc (2008); Xiao et al. (2016); FHA (2016); De Rios and Gattuso (2003); Barrile et al. (2019)). The surveys have been applied in three different site: an urban roundabout, an urban road intersection, a motorway section, in a peripheral area of Reggio Calabria and Villa San Giovanni Cities (Italy). The analysis of the videos, with a total duration of about 15 min, has allowed to determine different traffic parameters. The traffic volumes have been divided in 3 categories of vehicles: • N1 = cars up to 9 seats; • N2 = pickup trucks, vans and three-wheelers with total mass up to 3 tons; • N3 = trucks, even with trailer, tractors with a total mass greater than 3t. The survey at the roundabout site (Fig. 2) has been carried out at a peak time of an ordinary day, between 8.10 and 8.25 a.m. with the drone positioned at a height of 70 m, near the site. It has been possible to identify the singles vehicles and related

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manoeuvres, determining the number of vehicles, classified by typology, gate of entrance and exit of the roundabout, followed path from origin to destination. These data are proposed in a synthetic matrix (Table 2) where A–D are the different gates (arms of roundabout), en is entrance code, ex is exit code.

B C

A D

Fig. 2. Roundabout

Table 2. Matrix O/D for roundabout site (veh/15 min) Bex 5/2/1

Cex 56/4/1 12/0/2 24/2/1 0/0/1 1/1/2 29/4/2 69/5/6

Aex Aen 1/0/0* Ben 2/2/1 Cen 42/0/3 Den Tot 45/2/4 *N1/N2/N3

Dex

Tot 62/6/2 2/0/0 16/2/3 2/0/1 68/2/6 1/1/2 4/0/1 147/11/13

The survey at the intersection (Fig. 3) has been made between 8.40 and 8.55 a.m. of the same day, with the drone placed 140 m over the site. After identified by symbols A, B and C, the three sections that make up the T-junction, an origin-destination matrix has been elaborated (Table 3) after the manual detection of vehicles movements by video observations, one for each category of vehicles.

B A C

Fig. 3. Intersection

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Table 3. Matrix O/D for crossroad site (veh/15 min) Aex Aen 1/0/0* Ben 26/0/1 Cen 11/0/0 Tot 38/0/1 *N1/N2/N3

Bex 15/0/0 0/0/0 13/2/0 28/2/0

Cex 20/2/1 15/3/0 3/2/0 38/7/1

Tot 36/2/1 41/3/1 27/4/0 104/9/13

Finally, a traffic survey was carried out in a motorway section; the infrastructure being investigated is the Mediterranean Motorway (A2) near the town of Villa San Giovanni (Fig. 4). The section considered has a length of about 300 m, almost all in straight line. The cross-section of the roadway consists of four lanes of 3.75 m and lateral emergency lanes of 2.50 m. The survey was held between 9.30 and 9.45 a.m. in an ordinary day, by means of a drone placed at a height of 170 m and lateral distance of 1 km. The recorded images allowed a complete and clear view of the vehicles movement within the road segment.

Fig. 4. Motorway section

To perform a complete analysis of the stream’s behaviour along the motorway, about 15 min of traffic were taken and analysed. It has been possible to detect the number of vehicles crossing the sections, the average flow rate, the vehicular trajectories, the running times between the two extreme sections, the single and average speeds, the distribution of vehicles among the lanes. Table 4 shows the flow data extracted by video related to a single direction and first seven minutes. Table 4. Traffic flow in north direction t (min) 1 2 3 4 5 6 7

N1 12 12 12 25 12 13 16

N2 N3 2 4 2 2 3 2 2 2 1 1 1

q (veh/min) q (veh/h) 14 840 16 960 16 960 28 1680 16 960 16 960 18 1080

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Ultimately, there are a total of 255 veh/min in the northbound carriageway and 178 veh/min in the southbound carriageway. It was possible to identify the distribution of vehicles on the lanes in both directions and any changes in manoeuvres; the results are reported in Table 5:

Table 5. Vehicles distribution on carriageway Direction Right lane Left lane Change right-left Change left-right North 153 59 32 11 Suth 112 42 18 6

Below (Table 6) are data on linear and surface densities along the north direction. For each reference interval of 1 min, 4 temporal instants, 15, 30, 45 and 60 s respectively, were considered, at which the values of density were calculated.

Table 6. Traffic density in north direction t (min) t (sec) 15 30 45 60 1 3 6 4 1 2 4 1 4 3 3 2 2 5 4 4 10 2 1 6 5 5 0 4 3 6 8 2 0 5 7 3 3 1 4 Tot 35 16 19 26

k (veh) k1 (veh/m) k1s (veh/m2) 14 12 13 19 12 15 11 96

0,05 0,04 0,04 0,06 0,04 0,05 0,04 0,32

0,0042 0,0036 0,0039 0,0058 0,0036 0,0045 0,0033 0,0289

Finally, the average speeds have been calculated in a section (vt) and along the space (vs). In north direction the average speed vt was 112 km/h, in south direction vt 113 km/h. The detection results and the location of the vehicles based on the survey method show a remarkable improvement of the detection accuracy. The application demonstrated significant potentialities in terms of detectable traffic parameters; in addition to the parameters already mentioned as compared to traditional methods, there is the possibility to follow a vehicle in its trajectory in space and time.

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5 Perspectives for Future Research and Conclusion There is an increasing interest about the Unmanned Aerial Systems (UAS) as detection tools for applications in the field of the vehicular traffic. They promise good opportunities for traffic analysts and planners. But, at present time, it is not easy to assess their performances, potentialities and limits for traffic monitoring and management. The research aimed to contribute to evaluate the effectiveness and efficiency of this kind of instruments compared to traditional alternative approaches. Some experimental results are proposed referring to surveys carried out with the help of drones. The surveys refer to three different contexts and detection of traffic parameters such as flow, density, speed, vehicles classification. The potentiality seems very significant, but the major limitations are in the translation of video information in useful traffic data. Some research activities are addressed today to overcome this obstacle, through the development of specific software for image processing and automatic coding of traffic flow data (Fig. 5).

Fig. 5. Automatic video image processing

The greatest hindrance to the use of drone technology remains the normative, tied to the release of flight permits. The regulations are particularly restrictive in urban contexts, where there are however major traffic problems. Maybe in the next future, technological developments concerning instrument safety and relaxation of the flight rules, could give more opportunity for traffic control and transportation activities. To date, experiments are under way that involve the use of drones for logistical purposes or traffic monitoring (Marinelli et al. (2018)). In the following just two representative examples. An Amazon drone was presented in Las Vegas in 2019, during a conference on “Machine learning, automation, robotics and space”. It takes off and lands vertically like a helicopter and can deliver a package of around 2.5 kg (which make up almost 80% of packages shipped) within a radius of about 15 km in half an hour. The choice of deliveries with drones is part of the program called Prime Air, which Amazon is fielding to maximize deliveries for its customers. But Amazon company is not the only one to aim high. The Google Wings developed by the Mountain View company, has been the first to get the green light from the FAA to fly dedicated delivery drones; even a logistics giant like UPS, together with the start-up Matternet, has developed a drone delivery service to move medicines between North Carolina hospitals.

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The ViNotion is a company specialised in the field of automated video analysis. In collaboration with Antea Group, ViNotion has completed a project commissioned by the Netherland Government to develop a reliable traffic detection system using drones. Traffic counting with a drone offers many advantages, such as the quick measure of traffic flow at locations where no existing installed cameras, and to obtain a much higher camera perspective. ViNotion has investigated whether the automated analysis with a drone offers a high-quality alternative the traffic counting with traditional loops or observers. For this project, measurements have been carried out at the A1 highway connection near Muiden, The Netherlands. For the flight, a tethered drone was used, connected with a wire to the ground. The deployment of a tethered drone is more secure than a conventional drone because the power is supplied through the wire, which extends the flight time. ViNotion has performed the image analysis and detection of vehicles by training the ViSense TrafficDynamics system to detect vehicles in the camera perspective from a drone using Deep Learning. The result was an impressive 97% accuracy, similar to manual counting by a human counter on the ground. The system is able to simultaneously analyse all directions on a complex traffic junction, while human counters can analyse only a limited number of directions.

References Barrile, V., Candela, G., Fotia, A., Bernardo, E: AV survey of bridges and viaduct: workflow and application. In: 19th International Conference on Computational Science and its Applications, LNCS, Saint Petersburg, Russian Federation, vol. 11622, pp. 269–284 (2019) Barrile, V., Candela, G., Fotia, A., Bernardo, E.: Integration of 3D model from UAV survey in BIM environment. In: ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, vol. 42, no. 2/W11, pp. 195–199 (2019) Barrile, V., Candela, G., Fotia, A.: Point cloud segmentation using image processing techniques for structural analysis. In: ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, vol. 42, no. 2/W11, pp. 187–193 (2019) Chen, Y.M., Dong, L., Oh, J.-S.: Realtime video relay for UAV traffic surveillance systems through available communication networks. In: IEEE Wireless Communications and Networking Conference, pp. 2608–2612. WCNC (2007) Cohn, P., Green, A., Langstaff, M., Roller, M.: Commercial drones are here: the future of unmanned aerial systems. In: Capital Projects & Infrastructure. McKinsey & Company (2019). https://www.mckinsey.com/industries/capital-projects-and-infrastructure/our-insights/ commercial-drones-are-here-the-future-of-unmanned-aerial-systems Da Rios, D.G., Gattuso, D.: La mobilità delle merci nell’area metropolitana milanese. Franco Angeli Milano (2003) Elloumi, M., Dhaou, R., Escrig, B., Idoudi, H., Saidane, L.A.: Monitoring road traffic with a UAV-based System. In: IEEE Wireless Communications and Networking Conference (WCNC), Barcelona, Spain (2018). https://doi.org/10.1109/wcnc.2018.8377077 Federal Highway Administration: Traffic Monitoring Guide (2016) Kanistras, K., Martins, G., Rutherford, M.J., Valavanis, K.P.: A survey of unmanned aerial vehicles (UAVs) for traffic monitoring. In: International Conference on Unmanned Aircraft Systems (ICUAS), Atlanta, GA, USA (2013). https://doi.org/10.1109/icuas.2013.6564694

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Kopardekar, P., Rios, J., Prevot, T., Johnson, M., Jung, J., Robinson, J.E.: Unmanned aircraft system traffic management (UTM) concept of operations. In: 16th AIAA Aviation Technology, Integration, and Operations Conference, Washington, United States (2016). ISBN: 978-162410440-4 Leduc, G.: Road traffic data: collection methods and applications. In: Working Papers on Energy, Transport and Climate Change N.1 (2008) Marinelli, M., Caggiani, L., Ottomanelli, M., Dell’Orco, M.: En route truck–drone parcel delivery for optimal vehicle routing strategies. IET Intell. Transp. Syst. 12(4), 253–261 (2018) Puri, A.: A survey of unmanned aerial vehicles (UAV) for traffic surveillance’. In: International Conference on Unmanned Aircraft Systems (ICUAS) (2005). https://doi.org/10.1109/ICUAS. 2013.6564694 Puri, A., Valavanis, K.P., Kontitsis, M.: Statistical profile generation for traffic monitoring using real-time UAV based video data. In: IEEE Mediterranean Conference on Control and Automation, Athens, Greece (2007) Valavanis, K.P., Vachtsevanos, G.J.: UAV applications: introduction. In: Valavanis, K.P., Vachtsevanos, G.J. (eds.) Handbook of Unmanned Aerial Vehicles, pp. 2639–2641. Springer, Dordrecht (2015) Xiao, L., Peng, X., Wang, Z., Xu, B., Hong, B.: Research on traffic monitoring network and its traffic flow forecast and congestion control model based on wireless sensor networks. In: Proceedings of the IEEE International conference on Measuring Technology and Mechatronics Automation (ICMTMA), pp. 142–147 (2016)

Knowledge Agriculture Systems in Basilicata, Southern Italy Maria Assunta D’Oronzio(&) and Giuseppina Costantini CREA - Consiglio per la Ricerca in Agricoltura e l’Analisi dell’Economia Agraria – Centro di ricerca Politiche e Bio-economia - Sede di Potenza, 85100 Potenza, Italy {massunta.doronzio,giuseppina.costantini}@crea.gov.it

Abstract. Agricultural knowledge and innovation have become known as strategic elements in the growth and development of organizations and local and regional territorial systems. In 2000, the European Union began focussing on political interventions to promote the knowledge system, and, in 2010, reinforced it with the “2020 European Strategy” for “smart” growth, based on knowledge and competitiveness, environmental “sustainability” and “inclusiveness” favouring employment and social cohesion [1]. Economic action enters into communities’ local social dynamics, usually through bottom up collective practices. The knowledge and innovation system in Basilicata, southern Italy is represented by a network of universities, research bodies, advisors, training providers, agricultural schools, forestries, farms, unions, etc. Interactive innovation was introduced in the 2007–2013 RDP using Measure 124 “Cooperation for the development of new products, processes and technology” a co evolutionary learning process between diverse actor typologies [2]. In 2016, the Basilicata region began the complex process of interactive innovation for agricultural productivity and sustainability through the Bioeconomic Cluster and European Innovation Project. On April 2017, the Basilicata Region published a public call for the “Support for the establishment and operation of the EIP OGs on productivity and sustainability of agriculture” and Bioeconomic Cluster participated in order to introduce innovations in companies and rural territories. This study analyses the innovation projects and relationships between different actors through:

• desk surveys of regional public calls, projects; • interviews with facilitators who participated in the analysis of innovation needs and the proposal for the establishment and management of OGs in the final phase. Keywords: Knowledge system policies


Rural actors
Research and innovation

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1 Introduction Technological innovation has long represented the basis of modernization and economic development, however, it cannot respond alone to the complex and numerous requests from the market, making it important to underline the necessity of finding new solutions impacting both society and institutions. Such result, organizations, customers, citizens, public and research institutions and their partners need to be innovative. The knowledge system also includes “social innovation” which uses new tools and solutions to help resolve economic crises and global dilemas such as climate change, scarcity of energy resources, health and social inequality via citizen participation and stimulating public service and institution collaboration with the intention of contributing to and improving quality of life. European Union, in 2000, began focusing on political interventions to promote the knowledge system, reinforced in 2010 by the “2020 European Strategy” for “smart” growth, based on knowledge and competitiveness, environmental “sustainability” and “inclusiveness” favouring employment and social cohesion [3]. Economic action usually enters into communities’ local social dynamics through bottom up collective practices, evolving vertically and multisectorally (Fig. 1).

Fig. 1. Basilicata Region

The transition towards the improvement of Lucanian agro-food systems and an emphasis on multi-actor and trans-disciplinary approaches towards innovation has increased the interest of actors who can facilitate and support these processes.

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Many actors work in agricultural innovations in Basilicata, thanks to financing from Measure 16.1 “Support for the establishment and operation of the European Innovation Partnership (EIP) Operational Groups (OGs) on productivity and sustainability of agriculture” of the 2014–2020 Basilicata Rural Development Programme (RDP). However, the 2007–2013 Community Programme provided the knowledge and innovation system with an important role in the Common Agricultural Policy (CAP), thanks to the mandatory establishment of the Farm Advisory System (FAS) which supports farmers in the application of cross-compliance policies. The CAP allowed entrepreneurs to choose the provider of their consulting services for effective business management, creating major problems in the implementation phase, relating to the accreditation of qualified entities and to the provision of resources. The accreditation of bodies suitable for the provision of consulting services in agriculture was completed in Basilicata in 2010, however, the twenty selected subjects have never provided advice. Basilicata consultation services participation was limited in Measure 124 “Cooperation for the development of new products, processes and technologies” a co-evolutionary learning process between diverse actor typologies, encouraging a pre-competitive collective development of new products, processes and technologies in agro-food-forestry organizations [4]. RDP Measure 124, activated at different times, was directed at facilitating the transfer of innovations and increase competitiveness in agro-food sectors. The Partnerships are the beneficiaries of RDP Measure 124 in the form of temporary companies with at least one primary producer and/or other members of the supply chain and research centres in the agricultural field. 73 Partners worked on 39 “Co-operation for the development of new products, processes and technology” projects, 62% were primary producers in the supply chain and 38% were research centres from both the regional and national public and private sectors who have responded positively to the solicitation of the RDP for interactive innovation. The Basilicata University (UNIBAS) played a significant role, over 50% in total of the research organisations who participated. The multi actors, multi disciplinaries (bioenergy, marketing) and the supply chain approach characterise the Basilicata partnership allowing rural productive systems to create important sectorial networks. In August 2016, the Basilicata region began the complex process of interactive innovation for agricultural productivity and sustainability. On 13 April 2017, the Basilicata Region published a public call for the “Support for the establishment and operation of the EIP OGs on productivity and sustainability of agriculture” and Bio-economic Cluster participated in order to introduce innovations in companies and rural territories [5]. A “bio-economic Cluster” was developed by all the actors involved in the public call, creating “smart” specialization and a system linking research, innovation and enterprises. The Cluster consolidated competence and knowledge in small and medium enterprises, including agriculture and forest farms and encouraged the dissemination and implementation of innovative products and processes. Creating this system was a shared objective in Basilicata through horizontal and vertical collaboration between research organizations and the enterprise world in order to introduce innovations in companies and rural territories.

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2 Basilicata Multi Actor Experiences via European Innovation Partnerships 2.1

The Bio-economic Cluster

Agricultural and regional policy programming carried out by UNIBAS and research bodies have had positive experiences regarding innovation. Multi-actors have recognised the opportunity to review their activities and communicate and respond to actual growth needs of a company in an agricultural primary sector. The Basilicata Regional strategy for research and innovation, also known as “Smart Specialization Strategy” or “S3”, was introduced via the ERDF 2014–2020 Operational Programme (OP) and added a further dimension “entrepreneurial discovery” to maximise the participation of the key actors and to share strategy, mobilizing larger more active partnerships [6]. This entrepreneurial discovery gives creative territorial leverage to support the emergence of new companies, new relationships and an improved programme from the alignment of and networking of actors. A relationship and responsibility system needs to be implemented between companies who have different titles, guaranteeing consistency and reinforcing the ability to provide and support strategies involving all stakeholders in the regional research and innovation system and reinforcing monitoring functions, evaluation and networking and qualifying the actions of territories. To overcome criticism of the economic and social system, the Basilicata 2020 vision plans to strengthen the districts using Clusters and existing networks, improving quality, usability and adding value to cultural heritage, the environment innovating and optimizing energy lifecycle, improving quality of life, human re-sources and training (Fig. 2).

Fig. 2. Bioeconomic trajectories Source: ERDF 2014/2020 Operational Programme

The future path should be based on projects which enhance or share what has al-ready been achieved or is currently under construction. Five trajectories were

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identified through partnership processes and a specific focus on bio-economics (management of hydrological resources in the agro-industrial supply chain; genomic research for sustainable agriculture, precision and integrated; Health and Nutrition; sustainable chemistry; non technological innovation). The Basilicata Cluster was established in July 2016 to promote bio-economy in the Regional territory, favouring the development and the competitiveness of companies along the bio-economic strategic line, sustaining the construction of stable relationships between companies, research and services for the transfer of innovations. The Cluster represents a virtual model of a network between companies, research and innovation, thanks to the presence of all the actors in the agricultural supply chain willing and able to contribute to Regional economic development, and, above all, offer a permanent reference point to further develop proposals and sup-port research policy and innovation. The Cluster has united all operators in public agricultural research: Basilicata University, CREA, CNR, ENEA and ALSIA with METAPONTUM AGROBIOS. 55 agricultural, food and environmental companies have joined the Cluster, representing the productive Basilicata sector well. The companies which have joined the Cluster, above all the PMI, belong to leading operating organisations in the production sector, harvesting and processing agro-environmental industry. The productive sectors which best represent the Basilicata agricultural economy (vegetable, olive-growing, wine and cereal production) are mostly organized in collective forms such as cooperatives, consortiums and associations of producers who have different needs in terms of innovation. In addition, by joining the Cluster, they have consolidated existing and newly established networks, representing new production specializations such as medicinal plants. The Research Table was established by Basilicata University who has played a technical scientific coordination role in supporting the Cluster since the founding phase and in the various operational and planning routes. This Research Table was established in April 2014 and is still operational today. The research actors decided to work together for the first time to create common projects for the Basilicata regional territory. However, the construction of the Research Table required intense animation activity, necessary for a climate of trust and collaboration. Though the Regional Public Notice for expressions of interest in establishing EIP’s and OGs of August 2016, the Research Table steered the Basilicata bio-economy Cluster to test its multidisciplinary aggregation capacity via project proposals. The aim of the Public Notice was to gather project ideas for innovation, research and testing (S3 Basilicata) at regional and inter-regional levels for the agro-forest-environmental sector. Procedural constraints were not introduced by regional administration at this stage, e.g. list of eligible expenses, financial resources. However, free reign was given in the presentation of needs and innovations in partnership form regarding research subjects, dissemination, advice and business. The paper analysed dialogue from the Basilicata bio-economic Cluster and the role of the regional territorial facilitator for innovation and new and broader partnerships were conceived. This activity was conducted over a period of nine months in two successive stages: the expression of interest and the promotion of support for the establishment and management of OGs. This lengthy period is linked to three extensions to the deadlines for the delivery of the documents requested by the exploratory notice and in the support for the establishment and

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management of the EIP’s and OGs. The requests for extensions are closely linked to the implementation of a quality program set by the Region. This study is the result of desk surveys (guidelines, calls, etc.) and qualitative analyses. Interviews wereconducted with facilitators who participated in the analysis of innovation needs and the proposal for the establishment and management of OGs in the final phase. The results of interviews are reported in Sect. 2.2. The analyses shows active involvement and exceptional relationships skills from the operators in the fields of knowledge and innovation. Basilicata is slightly behind in the implementation of RDP Measure 16.1, however, it is in line with most other Italian regions. Nowadays, in Italy, 458 OGs were selected in 13 Regions/Autonomous Provinces. Three Regions (Lazio, Molise and Abruzzo) are selecting OGs. Valle d’Aosta didn’t plan Measure 16.1 in its RDP [7]. 2.2

Organisation Group and Key Actors

Following suggestions from the Scientific Table, the Cluster (UNIBAS, CREA, CNR, ENEA, ALSIA and private companies) identified the following themes: cerealgrowing, animal husbandry (meat and milk), viticulture, olive-growing, fruit and vegetables, wood forests, water management, sustainable and integrated precision agriculture, medicinal plants and sustainable chemistry. The IEP was a challenge for the Cluster in terms of improving specilised and sustainable agriculture and avoiding reduced company income. The exploratory public notice only reported a list of projects financed under the 2007–2013 RDP. As a result, the “Research Table” worked hard to organize those activities identified by the Commission in “Guidelines on programming for innovation and implementation of the EIP for agricultural productivity and sustainability” (December 2014) as well as the Strategic Plan for innovation and research in the MIPAAF agricultural, food and forestry sector (2014/2020). The Research Table then prioritized community interventions with actual regional productivity (supply chains, etc.) and the results were shared with companies from the Cluster. To identify innovative needs, the Cluster organized territorial meetings, coordinated by “facilitators”, selected for their skills and experience (Measure 124 “Cooperation for the development of new products, processes and technologies” of the RDP 2007/2013, Horizon 2020, etc.). Three facilitators were chosen for each theme to identify company innovation needs and organized at least three meetings in the regional territory, all the meetings were carried out in line with the principles of inclusion. The facilitators, the Cluster and the Research Table were informed of these meetings using various communication channels (websites, etc.) which could reach a larger number of companies and support the dissemination of RDP Measure 16.1. The first meeting focused on the needs of farms and companies and facilitators allowed the freedom to explore innovation needs, although, not always clear in an agricultural environment. A comparison of company typologies in Basilicata highlighted actual production requirements and the beginning of new relationships between entrepreneurs. During the second meeting, facilitators presented innovations provided by the Cluster, who had responded to priority needs. A list of innovations and common projects for future OGs was compiled from the results of an intense investigation, more than two months, and from testimonies from the second meeting. Research Table departments, centres, laboratories, etc. completed project surveys and identified national and international projects which

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could respond appropriately to the companies needs. The list identified pilot projects, new product development projects, practices, processes and technologies which could satisfy measure 16.2 of the Basilicata RDP. The facilitators stressed the importance of the Research Table and the Cluster and a multi-disciplinary approach which could be translated into the availability of a variety of common projects integrated into various actions, more adaptable to company needs. Analyses and planning timelines were lengthy with effort focused on meetings, discussions and co-design. Specific skills scientific, economic and sociological skills were drawn upon and technological aspects including innovations were also included in the development of organizational models, etc. This list also contained some research projects for the Basilicata S3 strategy. The project idea was developed during the third territorial meeting as specified by the public notice, with participants working on the project together. The partners who took part in the design process demonstrated their interest in participating in future activities and were also asked about the implications of the project, declining the role if necessary, depending on competence and availability in terms of execution, completion dates and financing. Facilitators highlighted that an active interest in collaboration in the development of innovations is necessary to respond to the market. The Bio-economy Cluster nominated nine project ideas for OGs in November 2016 and in April 2017, the Region issued a call for support for the establishment and management of the EIP Operational Groups, which included the setting up phase and the establishment of OGs [8]. As a result, the Cluster was able to reinforce its initial ideas by aligning them with regional requirements (eligible expenses, procedures, etc.). In addition to the nine Cluster “themes” the Region introduced “transversal themes” and “minor supply chain” themes to respond to priority Community interventions and to the other requests from the territory. The Cluster informed previous partnerships of the Regional guidelines via the public announcement, requesting approval to implement the design idea. Based on this mandate, the Cluster tried to create, themes and project synergies with other interested public and/or private parties. This activity led to the creation, modification and expansion of the initial design idea in terms of activities and outputs. The Cluster was presented with fourteen OGs at the end of the activity The interviews highlighted a great deal of enthusiasm regarding the strong relationship partnerships. The Cluster candidated twelve EIPs and OGs out of a total of twenty eight. The Basilicata administration approved twenty one projects and however only eleven were eligible and ten were from the Cluster. Corilus OG does not belong to the Cluster (Fig. 3). 190 partners engaged with the Cluster Partnership to establish OGs, 31% public and 69% private sectors. The public partners were exclusively represented by universities and research institutions and by farms and single and associate companies in the private sector accounting for 84%. A large number of partners were engaged with the OGs in the fruit and vegetable, viticulture and forest sectors. The first two sector percentage involvement is justified as they are well organized at a regional level, however, the forest sector required more commitment from the OGs as it was not well organized. An increase in the participation of agricultural, forestry, food companies, advisors and other enterprises (marketing and agro-environmental sectors) was noted for Partnership EIPs compared with the 2007–2013 RDP Measure 124 (Fig. 4).

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Fig. 3. Public and private OGs Source: CREA’s processing on Basilicata Region data

Fig. 4. Partnership EIPs and Measure 124 (RDP 2007–2013) Source: CREA’s processing on Basilicata Region data

3 Conclusions The establishment of the EIP in Basilicata, stimulated the implementation of a new knowledge transfer model based on collaborative approaches and on the codevelopment of innovation. The necessity to include the needs analysis into the model EIP prompted a modification to the function and role of different actors. This role was largely carried out by the research institutions organized in the “Research Table” to support the Bioeconomy CLUSTER. and increased the use of research

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institutions. The actors, on the basis of their EIP experience, have performed the following functions: – – – – –

Identification of innovation Facilitation/Animation and networking, Supporting the network to develop innovative ideas Project Planning Project Coordination

The EIP offers the opportunity for partners to transfer innovations and improve their skills. Training actions in the EIP allowed users to access knowledge resources, at any time, decode information, and produce and reproduce knowledge. The changes within Lucanian EIPs requires more support from the Region with a focus on promoting the knowledge system with the aim of relaunching the agrifood industry, to improve networks between all the actors whilst recognizing their new role. The positive Cluster results highlight: • • • •

an involvement of all research centres operating in Basilicata; an interactive approach adopted by all participants of the knowledge system; a need to continue innovative processes from previous programming; partnerships with projects of sustainable agriculture an understanding of how to find partnership solutions independently.

The Cluster was set up to respond to the funding of regional development policies and has brought about positive changes in the agricultural sector showing how organized partnerships can support and manage financial resources. The Cluster shows the capacity of organized groups to support and manage financial resources and change processes. It managed an intense preliminary activity phase to set up OGs, focusing on the investment of time, effort and expertise to produce a high quality project. During this phase, the Cluster allowed agricultural and forestry companies to participate in the establishment of OGs ensuring territorial inclusiveness. This element was necessary as the CLUSTER was not a beneficiary of the OGs. The Cluster therefore showed innovation in terms of work methods and solutions provided to meet the needs of the companies, in fact it obtained 91% of financial resources and number of approved OGs. The Basilicata Cluster is a model which could be used in Europe where both OGs and Clusters are beneficiaries of 2014–2020 EU policies development of innovation.

References 1. Zanni, G.: Per una nuova strategia delle politiche dell’innovazione in agricoltura. Agriregionieuropa 8(28), 14 (2012) 2. European Commission: Draft Guidelines on programming for innovation and the implementation of the Eip for agricultural productivity and sustainability Brussels, Belgium (version: November 2013) (2013b) 3. Vagnozzi, A.: Quali bisogni di innovazione per il sistema agroalimentare italiano. Agriregioneuropa 10(37) (2014)

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4. Cristiano, S., Proietti, P.: La cooperazione per l’innovazione nella programmazione per lo sviluppo rurale:risultati e prospettive, Agriregionieuropa 13(48) (2017) 5. Regione Basilicata Programma di Sviluppo Rurale: Avviso esplorativo finalizzato all’attuazione delle sottomisure 16.1–16.2 (2017) 6. Regione Basilicata PO FESR 2014/2020 Strategia regionale per l’innovazione e la specializzazione intelligente 2014–2020 (2016) 7. Ascione, E., Ugati, R.: PSR 2014–2020 Lo stato di avanzamento delle sottomisure 16.1–16.2 – Le azioni per il trasferimento dell’innovazione, Rete Rurale Nazionale (2019) 8. Regione Basilicata Programma di Sviluppo Rurale 2014–2020: Misura 16.1 “Cooperazione Sostegno per la costituzione e gestione dei gruppi operativi del PEI (2017)

No-Destructive Analysis: 3D Modeling by Thermography for Cultural Heritage Vincenzo Barrile, Antonino Fotia(&), and Maria Francesca Panzera DICEAM, Mediterranea University of Reggio Calabria, Località Feo Di Vito, Reggio Calabria, Italy [email protected] Abstract. Nowadays, the law defines as “cultural heritage” a big number of artifacts, many of which are unfortunately in a state of decay. Their conservation and restoration are fundamental to preserve their history, and for this reason all the manufacts need to be kept in a good state maintaining their integrity and duration, without interrupting their accessibility to the public. This maintenance is realized carrying out measurements and investigations to preserve the state of the manufacts. Among the techniques used to fulfil the purpose, thermography has a fundamental role. This type of analyses is central to determine the insulating and thermo-absorbing capacities of the constituent elements and the position of structural elements not otherwise identifiable to the naked eye. In particular, in this paper, thermography has been used together with a three-dimensional photogrammetric model, realized with infrared images applied to archaeological assets. The 3D modeling is based on the combined use of imaging techniques as digital photogrammetry and computer vision. Object of the study has been a concrete sample, with the aim to determine its characteristics and some cracks or defects presents in it. Keywords: Archaeological heritage


3D model
Thermography

1 Introduction An artefact is commonly described as an object of particular archaeological or cultural interest. Each artefact represents a part of history, including information on its production, its use and its state of conservation. The expert’s eye, however, could not go beyond the surface, where however a not less important and substantial part of the information is hidden, and where sometimes a state of degradation has occurred and started To study and preserve this history, non-destructive techniques are generally used. They are the complex of diagnostic investigations, examinations, surveys conducted using methods that do not alter the material and do not require the destruction or even the sampling. These are generally all indirect methods used when the direct accessibility of the sample is not possible; among these techniques, thermography is one of the most used in particular to investigate the superficial temperature of an object, capturing the heat distribution over the surface.

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1562–1571, 2021. https://doi.org/10.1007/978-3-030-48279-4_146

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In this paper, we present an experimented procedure that allows the use of thermal sensors using side by side digital cameras in the photogrammetric field in order to obtain a product from which the geometric and thermal information of the studied object can be extrapolated. The case study presented concerns a concrete sample created in the laboratory of “Mediterranea” University of Reggio Calabria, in order to determine its superficial characteristics and its thermal ones. The objective of the survey was purely technical to evaluate the functionality of the system.

2 The Survey Methods 2.1

Digital Photogrammetry

In the last 10 years, the use of digital images to reconstruct a 3D model of an object has greatly increased. Moreover, the actual availability of a higher computing power allows orienting huge series of photos with a free acquisition network and to model very complex objects. With the advent of digital images, a new branch of photogrammetry called precisely “digital photogrammetry” was improved. The main development concerns the automatism introduced in all phases of acquisition processing and return of the data and therefore also in the image matching algorithms, both for the image orientation and for the DSM extraction [1]. 2.2

Thermography

Thermography is one of the most used non-destructive methods to diagnose pathologies of buildings and structures subjected to degradation due to the aging of materials and the prolonged lack of maintenance [2]. The thermal and hyperspectral sensors allow studying the properties and characteristics of the soil and of the objects present on it by exploiting the solar radiation reflected in regions of the electromagnetic spectrum that are invisible to the human eye. This makes it possible to identify phenomena, characteristics and qualities that are much faster, and more precise as they avoid costly and lengthy on-site investigations. Infrared thermography is a non-destructive diagnostic technique that exploits the physical principle according to which everything with a temperature higher than absolute zero, corresponding to −237.15 °C, emits energy in the form of infrared radiation. 2.3

Treatment of Images: Automatic Image Correlation

With the development of digital photogrammetry, automatic techniques have been developed for the identification of homologous points within digital image systems. The homologous points are points with coordinates that can easily be measured and that are visible simultaneously on two or more frames [3]. These are fundamental to the realization of representative models of the object and for their orientation. The problem of identifying these points is called Image Matching and is mainly developed in 4 phases:

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– selection of a portion of the image in one of the two images to be related; – identification in the second image of correspondences; – calculation of the three-dimensional position of the entities in the space object of the entity in question; – evaluation of the quality of the matching procedure used.

3 Case Study 3.1

Description of the Case Study

The case study is referred to a concrete sample given by the Structure laboratory of the “Mediterranea” University of Reggio Calabria. This sample has been analyzed from the structural and thermal point of view. To have proper thermal data and to have the chance to identify some changes in the samples, a significant difference of temperatures should occur. For this reason, the sample has been put in an industrial oven at the temperature of 100 °C for approximately half an hour. The aim was to use the IR camera to capture the variation which occurred in the sample, in its thermal distribution over the surface due to the presence of cracks, in order to identify any superficial problem and/or detachment. A series of acquisitions of digital and thermal images around the object of study were done. 3.2

Data Acquisition

For the acquisition of digital images useful for the construction of a geometric 3D model a FLIR camera was used, (model T55901) equipped with an uncooled microbolometeter detector producing images with an IR resolution of 640  480 pixels, capable of detecting even the smallest details. The technical data of the camera are reported in Table 1. Table 1. Technical data of the camera. Quality of thermal image 640  480 pixels Geometrical resolution IFOV 0.68 mrad Sensitivity Interoperability menu, after which we recalled the 4 parts from the “object” library and found the arc with the textures included. Finally, we invoked the Layers window with “Options/Attribute Elements/Layer Setting” (Ctrl-L) and created 4 layers in which to separate objects for individualviewing (Fig. 5) [17–22].

Fig. 5. Example of portal's part selection.

4 Conclusion From all this we immediately identified a fundamental aspect: the materials that make up the Arc that are precisely the “Reggina” Stone, with traces of limestone, and concrete at the back of the work (probably present as a result of a previous restoration). This work of ours may be the basis for a hypothetical university research study for future restoration.

References 1. Bae, H., Golparvar-Fard, M., White, J.: High-precision vision-based mobile augmented reality system for context-aware architectural, engineering, construction and facility management (AEC/FM) applications. Vis. Eng. 1(1), 1–13 (2013) 2. Barrile, V., Fotia, A., Bilotta, G.: Geomatics and augmented reality experiments for the cultural heritage. Appl. Geomatics 10(4), 569–578 (2018)

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3. Barrile, V., Fotia, A., Bilotta, G., De Carlo, D.: Integration of geomatics methodologies and creation of a cultural heritage app using augmented reality. Virtual Archaeol. Rev. 10, 20 (2019a) 4. Barrile, V., Bilotta, G.: Self-localization by laser scanner and GPS in automated surveys. In: Mastorakis, N., Mladenov, V. (eds.) Computational Problems in Engineering, Lecture Notes in Electrical Engineering, vol. 307, p. 11 (2014a) 5. Barrile, V., Postorino, M.N.: Surface movement ground control by means of a GPS-GIS system. J. Air Transp. Manage. 12(6), 11 (2006) 6. Barrile, V., Fotia, A., Candela, G., Bernardo, E.: Integration of 3D model from UAV survey in BIM environment. Int. Arch. Photogramm. Remote Sens. Spatial Inf. Sci. XLII-2/W11, 195–199 (2019b). https://doi.org/10.5194/isprs-archives-XLII-2-W11-195-2019 7. D’Andria, F.: Il Ploutonion a Hierapolis di Frigia. Istanbuler Mitteilungen 63, 157–217 (2013). D’Andria, F.: Terme Chiesa. In: Scardozzi, G. (ed.) Nuovo atlante di Hierapolis di Frigia, Hierapolis di frigia VII. Yayinlari, Istanbul (2015) 8. Dore, C., Murphy, M.: Historic building information modeling (HBIM). In: Brusaporci, S. (ed.) Handbook of Research on Emerging Digital Tools for Architectural Surveying, Modeling, and Representation, pp. 239–279. IGI Global (2015) 9. López, F., Lerones, P., Llamas, J., Gómez-García-Bermejo, J., Zalama, E.: A review of heritage building information modeling (H-BIM). Multimodal Technol. Interact. 2(21), 1–29 (2018) 10. Micheletti, N., Chandler, J.H., Lane, S.N.: Structure from motion (SFM) photogrammetry. In: Geomorphological Techniques, pp. 2047–0371 (2015) 11. Murphy, M., McGovern, E., Pavia, S.: Historic building information modelling (HBIM). Struct. Surv. 27, 311–327 (2009) 12. Nardi, G.: Tecnologie dell’architettura Teorie e Storia. Libreria CLUP (2001). Odorizzi, P.: L’approccio digitale nei progetti e nelle costruzioni. Costruzioni Metalliche, vol. 64, no. 6, pp. 9–12 (2017) 13. Paris, L., Wahbeh, W.: Survey and representation of the parametric geometries in HBIM. In: Disegnarecon, vol. 9, no. 16, pp. 12.1–12.9 (2016) 14. Piras, M., Di Pietra, V., Visintini, D.: 3D modeling of industrial heritage building using COTs system : test, limits and performances. Int. Arch. Photogramm. Remote Sens. Spatial Inf. Sci. XLII-2/W6, 281–288 (2017). https://doi.org/10.5194/isprs-archives-xlii-2-w6-2812017 15. Pocobelli, D.P., Boehm, J., Bryan, P., Still, J., Grau-Bové, J.: BIM for heritage science: a review. Heritage Sci. 6(30), 1–15 (2018) 16. Ronchetta, D.: Necropoli Nord. In: Scardozzi (ed.) Nuovo atlante di Hierapolis di Frigia, Hierapolis di Frigia VII. Yayinlari, Istanbul (2015). UAV photogrammetry for archaeological site survey. 3D models at the hierapolis in Phrygia (Turkey) Virtual Archaeol. Rev. 9 (18), 28–43 (2018) 17. Rinaudo, F., Bornaz, L., Ardissone, P.: 3D high accuracy survey and modelling for cultural heritage documentation and restoration. In: Vast 2007–Future Technologies to Empower Heritage professionals, 26–29 November 2007, pp. 19–23. Archaeolingua Hun, Brighton (2007) 18. Ruiz Sabina, J., Gallego Valle, D., Peña Ruiz, C., Molero García, J., Gómez Laguna, A.: Aerial photogrammetry by drone in archaeological sites with large structures. Methodological approach and practical application in the medieval castles of Campo de Montiel. Virtual Archaeol. Rev. 6(13), 5–19 (2015). https://doi.org/10.4995/var.2015.436 19. Semeraro, G.: Ricerche nel Santuario di Apollo (2007–2011). In: D’Andria, F., Caggia, M. P., Ismaelli, T. (eds.) Hierapolis Di Frigia VIII, Le Attività delle Campagne di Scavo Restauro 2007–2011. Yayinlari, Istanbul (2016)

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Submerged Photogrammetric Survey: A Methodology to Enhance Image Marialisa Musolino1(&), Mariangela Maesano1, and Giuliana Bilotta2 1

Department of Civil, Energy, Environment and Material Engineering (DICEAM), University of Reggio Calabria, via Graziella, Feo di Vito, 89128 Reggio Calabria, Italy {Mslmng92t49f1121,msnmng92t49f112}@studenti.unirc.it 2 Department of Planning, University of Venice, Santa Croce 191 Tolentini, 30135 Venice, Italy [email protected]

Abstract. Mapping underwater environments is key for a range of activities ranging from monitoring, documenting underwater cultural heritage, to monitoring habitats. However, optical imaging is influenced by several environmental factors, such as light absorption, water-induced color alteration, turbidity caused by particles suspended in water, the presence of moving elements such as algae or fish. For this reason, all applications that use underwater images require an improvement of the same. This work aims to evaluate the accuracy of a 3D model following the application of a pre-processing algorithm to images. In particular, while most of the methods in the literature focus only on color correction and contrast improvement the algorithm used, proposed by Bazeille et al. it aims to improve uneven lighting, improve edges and adjust colors, intervening on every underwater perturbation. Keywords: 3D model


Image enhancement
Underwater imaging

1 Introduction Digital image processing has changed the way surveys are carried out, from manual and direct to digital survey. Several software and hardware solutions have been proposed in recent years to reduce instrument costs and acquisition and processing time. Digital image processing has changed the way surveys are carried out, from manual and direct to digital survey. Several software and hardware solutions have been proposed in recent years to reduce instrument costs and acquisition and processing time. Automatically perform the processing steps by reducing the time of image processing and 3D reconstruction. In particular, digital photogrammetry is a good solution for the underwater world. Mapping underwater environments is critical to a range of activities ranging from the detection of underwater archaeological sites to habitat monitoring.

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The underwater survey has always presented considerable operational and technical difficulties and this has made it difficult to use many commonly used sensing techniques for terrestrial relief. The objects in the underwater images are not clearly visible due to the low contrast, the diffusion of light, the absorption of light, the noise present in the environment, the fact that water is a means denser than the air (about 800 times). Image enhancement techniques provide a way to improve the identification of objects in an underwater environment. In this study we wanted to try to compare errors between models reconstructed from images at different depths by applying the algorithm proposed by Bazeille et al. Which, unlike most methods in the literature, improves the effects of uneven lighting, improves edges, and adjusts the colors of underwater images.

2 Methods The general workflow involves collecting data with a photo campaign: the object will have to be taken from multiple points of view with the precaution that the item is taken in at least three shots. The direct underwater survey conducted by an operator through the trilateration technique requires the use of a significant amount of time and lower accuracy due to human errors. The seabed was surveyed using an ROV, these vehicles are generally remotely managed by human operators. In particular, the model used has an operational depth of 100 m and allows you to capture photos and videos at a 4K quality. To improve lighting conditions, the drone is equipped with two LED lights with brightness regularization function. The ROV allowed the capture of images of 4000  3000 (maximum photo pixels). The reliefs were made by making nadiral strips from a depth of 5 m until reached a depth of 25 m. Next, at different depths, an earthen hole was detected and bound as a metric reference by a rudimentary square grid on the 1 m side, in which targets were inserted at the vertices. The grid has been placed on the bottom and the object has been placed inside it. Radial images were taken manually by the operator for the object’s relief. A GoPro Hero 4 was used for this operation. The camera captured images of 2720  2040 pixels and a resolution of 72 dpi. After the survey operations, the images were processed, obtaining two separate models that will be joined later.

3 Images Pre-elaboration The processing of underwater images differs greatly from the processing of visual images due to three factors: absorption, dispersion and refraction. Light dispersion and absorption processes are increased by dissolved organic component and observable organic particles, while the physical properties of water cause degradation effects that are generally not present. The fundamental problems that characterize underwater images are therefore: low visibility and low contrast [1–3].

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Artificial lighting also tends to illuminate the scene unevenly. As the depth increases, a decrease in colors is observed, depending on the wavelength that leads to a dominance of the blue-green component. In particular, the red component disappears already within 5 m of depth, orange at 7.5 m, yellow in the range 10–14 m and green at 21 m. In this application, the pre-processing of the images was carried out using the algorithm proposed by Bazeille et al. [4–7]. The image enhancement is conducted in different, successive and independent phases that correct uneven lighting, suppress noise, improve edges and adjust colors, allowing you to sequentially correct each perturbation Underwater. The algorithm is automatic and does not require any regularization of the parameters. Removal of the Potential Moiré Effect. This effect occurs primarily in conversion from analog to digital. The moiré effect is a visual distortion that takes on the appearance of a repetitive wavy pattern. Only a few images are affected by this type of degradation. The moiré effect is removed through spectral analysis, detecting peaks in Fourier’s transformation assuming that they are representative of that effect [8, 9]. Resize and Extend the Image Symmetrically to Create a Square Image Whose Size is a Power of Two. Resizing the image speeds up the process by allowing you to use fast Fourier transform and fast wavelet transformation algorithms. Converting Color Space from RGB to YCbCr. The YCbCr color space involves the sampling of the color, that is, its subdivision, not in primary color components such as the RGB color space, but in the luminance component and chroma components. As a result, this conversion allows you to work on a single channel instead of processing the three RGB channels individually. Only the luminance channel corresponding to the intensity component (grayscale image) will be processed on this color space. Once again, this step speeds up subsequent operations by avoiding processing on each channel from time to time [10–12]. Homomorphic Filtering. This filter is used to correct uneven lighting and improve image contrast. It also allows you to get a better definition of the edges. This type of filtering operates in the frequency domain and is based on the assumption that the image can be expressed as the product of lighting and reflectance: f ðx; yÞ ¼ iðx; yÞ  r ðx; yÞ

ð1Þ

With f(x, y) image detected by the camera, i(x, y) the lighting multiplication factor and r(x, y) reflectance function. Assuming that the lighting represents the low frequencies while the reflectance represents the high frequencies in the Fourier transform of the image and multiplying the fourier by a high-pass filter, you can eliminate the low frequencies and adjust uneven lighting. The algorithm can be broken down into the following steps: separation of lighting and reflectance components through logarithm: gðx; yÞ ¼ lnðf ðx; yÞÞ ¼ lnðiðx; yÞ  r ðx; yÞÞ ¼ lnðiðx; yÞÞ þ lnðr ðx; yÞÞ

ð2Þ

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Calculating the Fourier Transform of the Image:
 ðG Wx; Wy ¼ I ðWX ; Wy Þ þ R ðWx ; Wy Þ

ð3Þ

High-pass filter: This filter allows you to reduce the contribution of low frequencies (lighting) and to expand the contribution of high frequencies (reflectance) and intensify the contours of objects:


 S Wx ; Wy  I WX ; Wy þ H ðWx ; Wy Þ  R Wx ; Wy

ð4Þ

Calculate the reverse transform to return to the space domain and thus get the filtered image. Denoising Wavelet. The noise, which inevitably contaminates all images, is amplified by the homomorphic filter [13–15]. Its elimination is therefore of paramount importance. An almost symmetrical orthogonal wavelet with bivariate narrowing was chosen. The algorithm consists of the following steps: Multiscale decomposition of the gaussian noise image by wavelet transform. Estimating noise variance using the equation: r2n ¼ mediana ðjyijÞ=0:6745 yi 2 al sottobanda HH

ð5Þ

For each subband of each level, the signal variance is calculated (6) and the wavelet noisy signal change (7): r ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi  r¼ r2y  r2x þ dove

1X y2 yiN ðkÞ i M qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffi 2  3r y2i þ y2i þ 1  r n þ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi yi ¼ yi y2i þ y2i þ 1 r2y ¼

ð6Þ

ð7Þ

Reverse multi-scale decomposition for rebuilding the filtered image. Anisotropic Filter. This filter is used to smooth the texture of the image, preserving the edges and improving them, thus improving the segmentation of the image. In particular, these results are obtained thanks to the association of the denoising process and anisotropic filter. Adjusting the Intensity of the Image. This step increases the contrast by allowing you to adjust the intensity values of the image. At this stage, you suppress anomalous pixels to improve contrast expansion. This operation allows you to use the full range of the intensity channel. Reconversion from YCbCr to RGB and Reverse Symmetric Extension. After you have processed the luminance channel, you must convert the image back to the RGB color space and get the colors of the original image back. At this stage, the original measurement of the image is restored.

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Equalization of the Average Color. This step will not change the grayscale image on which segmentation is obtained. It will in fact suppress the predominant color through the equalization of the RGB channels, making the image more pleasant rather than improving segmentation.

4 Results The algorithm used was implemented in Matlab. It is automatic and does not require any prior knowledge of the acquisition conditions. In order to assess its potential, the proposed algorithm has been applied to two images taken at different depths: in the first image there is a bluish component, while in the second image the greenish component is dominant [16–19]. The algorithm allowed to preserve the edges, improve lighting problems and improve contrast (Fig. 1).

Fig. 1. Images before and after pre-processing.

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5 3D Model Elaboration The captured images were processed using the Agisoft Metashape software. The reconstruction of the model involves the phases of: Alignment of Images, the result of which is a scattered point cloud. Starting from key points through a process of photogrammetric triangulation and projective stars, the camera is calibrated automatically and the location of the shot of the individual photographs is recognized. Next, for each key point, the x, y, z coordinates that are represented in three-dimensional space through the point cloud are derived; Construction of a Dense Cloud of Points, this phase allows to give shape to the elaborate and compact the previously created cloud; Mesh Generation, this represents a set of vertices, edges, and faces that define the shape of the object and allow you to better define the final processed. The vertices correspond to the points of the dense cloud; Capturing the texture, with which you will define the use of colors and the presence of the different surfaces present within the images. You then assign the correct metric dimension to the model (Fig. 2).

Fig. 2. Ricostruzione 3D

The metric error derived from the comparison of three-dimensional models obtained from the processing of photo sets taken at different depths and pre-processed with the algorithm proposed by Bazeille et al., with the three-dimensional model obtained from the object that has emerged. By applying the preprocessing algorithm to our dataset, it was possible to achieve improved image quality, resulting in a more precise geometric description of the object. The application of the algorithm was not exhaustive at depths greater than 30 m, as the estimated error was above a threshold of 15% (Fig. 3).

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Fig. 3. Graphic depth-error

6 Conclusion Drone submarine reliefs are increasingly in common use. Reconstruction of the threedimensional model requires high-quality images to achieve high geometric precisions. In the marine environment the quality of the images deteriorates as the depth increases, also due to the reflection of light both natural and artificial. In this regard, in this note we evaluated the metric error obtained by comparing the three-dimensional models obtained from the processing of photo sets taken at different depths and pre-processed with the algorithm proposed by Bazeille et al., with the model three-dimensional obtained from the object that has emerged. The application of the algorithm was non-exhaustive at depths greater than 30 m, as the estimated error was above a threshold of 15%.

References Bazeille, S., et al.: Automatic underwater image pre-processing. In: CMM 2006, Brest, France. hal-00504893, October 2006 Barrile, V., Fotia, A., Ponterio, R., Aliotta, F.: Photogrammetric techniques for the reconstruction of underwater 3D models of seabed and artifacts. In: The International Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences, vol. XLII-2/W10 (2019) Barrile, V., Fotia, A., Bernardo, E.: The submerged heritage: a virtual journey in our seabed. In: The International Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences, vol. XLII-2/W10 (2019) Perona, P., Malik, J.: Scale space and edge detection using anisotropic diffusion. IEEE Trans Pattern Anal. Mach. Intell. 12(7), 629–639 (1990) Olmos Antillon, O.: Detecting underwater man-made objects in unconstrained video image. Thesis, Department of Computing and Electrical Engineering, December 2002

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Arnold-Bos, J., Malkasse, P., Kervern, G.: A preprocessing framework for automatic underwater images denoising. In: European Conference on Propagation and Systems, March 2005 Jaffe, J.S.: Computer modeling and the design of optimal underwater imaging systems. IEEE J. Oceanic Eng. 15(2), 101–111 (1990) Iqbal, K., et al.: Underwater image enhancement using an integrated colour model. IAENG Int. J. Comput. Sci. 34(2), 12 (2007) Chambah, M., Renouf, A., Semani, D., Courtellemont, P., Rizzi, A.: Underwater colour constancy: enhancement of automatic live fish recognition. In: Electronic Imaging (2004) Arnold-Bos, A., Malkasse, J.-P., Kervern, G.: A pre-processing framework for automatic underwater images denoising. In: European Conference on Propagation and Systems, pp. 15– 18 (2005) Amer, A., Schroeder, H.: A new video noise reduction algorithm using spatial subbands. In: Proceedings of IEEE International Conference on Electronics, Circuits, and Systems (ICECS), Rodos, Greece, vol. 1, pp. 45–48 (1996) Gasparini, F., Schettini, R.: Colour correction for digital photographs. In: Proceedings of the 12th International Conference on Image Analysis and Processing (ICIAP 2003). IEEE Press (2003) Bianco, G., et al.: A new color correction method for underwater imaging (2015) Ancuti, C., Ancuti, C.O., Haber, T., Bekaert, P.: Enhancing underwater images and videos by fusion. In: IEEE Conference on Computer Vision and Pattern Recognition (CVPR), pp. 81– 88 (2012) Chambah, M., Semani, D., Renouf, A., Courtellemont, P., Rizzi, A.: Underwater color constancy: enhancement of automatic live fish recognition. In: Electronic Imaging, pp. 157– 168. International Society for Optics and Photonics (2003) Chiang, J.Y., Chen, Y.C.: Underwater image enhancement by wavelength compensation and dehazing. IEEE Trans. Image Process. 21(4), 1756–1769 (2012) Petit, F., Capelle-Laize, A., Carr, P.: Underwater image enhancement by attenuation inversion with quaternions. In: IEEE International Conference on Acoustics, Speech and Signal Processing, pp. 1177–1180 (2009) Ruderman, D., Cronin, T., Chiao, C.: Statistics of cone responses to natural images: implications for visual coding. J. Opt. Soc. Am. A 15, 2036–2045 (1998) Shamsuddin, N.B., Fatimah, W., Ahmad, W., Baharudin, B.B., Kushairi, M., Rajuddin, M., Mohd, F.B.: Significance level of image enhancement techniques for underwater images. In: IVIC (2012)

Geomatics and Virtual Reality Techniques for Underwater Heritage Vincenzo Barrile1(&) , Raffaele Pucinotti1 and Giuliana Bilotta2

,

1

Mediterranea University DICEAM, via Graziella feo di Vito, Reggio Calabria, Italy {Vincenzo.barrile,raffaele.pucinotti}@unirc.it 2 Department of Planning, University of Venice, Santa Croce 191 Tolentini, 30135 Venice, Italy [email protected]

Abstract. The purpose of the research carried out by the Laboratory of Geomatics of the University of Reggio Calabria is to revive firsthand through applications of virtual reality natural scenarios and/or underwater artifacts within the framework of underwater heritage. Immersive Virtual Reality allows us to use virtual reality without just spectators but involving all our senses through direct experience. It can be use to spread information and reconstruction allowing to find information or phases of the design directly through the use of a mobile device. The subject of the research in question is the underwater reconstruction of some submerged glimpses of structures belonging to the former liquichimica factory, located in Reggio Calabria financed in 1972 by the “Colombo package”, 1300 billion £, used to give life to a project of colossal size, but today only a disused port and the skeleton of the ecomonster remains. With the help of Revit and AgisoftPhotoscan, the programs used for crossplatform development, three-dimensional scenarios were obtained using photogrammetric techniques. Of particular importance was the use of ROV remote-controlled vehicles that the research team used for marine exploration adjacent to the area which was then definitively examined. The survey showed the causes that led to the collapse of these structures and the extent of the environmental impact on the marine ecosystem of the area, in terms of pollution and destruction of the submerged landscape. Keywords: Rov


3D model
Virtual reality
Submerged photogrammetry

1 Introduction As is well known, the trilateration methodology usually used by human operators during underwater surveys, implies the use of a large amount of time due to its complexity (objective difficulty of the sub in maintaining a stable position, errors, inaccuracy, limited amount of time available in these environments). © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1598–1607, 2021. https://doi.org/10.1007/978-3-030-48279-4_150

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An optimal solution to these problems seems to be remote operated vehicles (ROVs), tools increasingly used by researchers to explore underwater environments. These innovative technologies have significantly improved the quality of underwater surveys in recent years. ROV equipped with cameras can take photogrammetric surveys in a single dive due to long battery life. In order to correct the effects of distortions obtained in water, a well-known-sized grid was used to assist the survey from ROV. Using this experimental system, a photogrammetric survey of the seabed and the artefacts studied was performed. As known, the underwater environment influences the images quality, in fact the characteristics of the water cause the sun’s rays to be diverted in an unpredictable way. In addition, the brightness of underwater colors depends on factors such as depth, season, surface conditions, time of day, cloudiness of the sky, the presence of marine vegetation or the type of seabed. Moreover, the effect of refraction (depending on a number of parameters such as depth, temperature and salinity) can cause unstable modeling effects; in this regard the intrinsic parameters of the submerged camera have to be changed significantly compared to what is normally set. In our case studies, clear and shallow water, good light conditions and a high-quality white balance have allowed a good chromatic result. The captured and improved frames were therefore processed using the Agisoft Metashape software, respectively for the realization of the 3D model of the seabed and for those of submerged artifacts [1]. In order to increase accuracy, the estimated internal camera parameters (horizontal and vertical focal lengths, main point coordinates, radial and tangential distortions of Brown’s model, and the tilt coefficient) were used as initial parameters in the Metashape alignment process to better converge the system. The three-dimensional models (seabed and artifacts) made through photogrammetric techniques have been inserted within the main scene of the immersive Virtual Reality application. The proposed app is still being refined and completed. The development environment used is Unity 3D that allows us to configure the proposed application in visual mode (using its user interface) or through programming (using the C+ or javascript language) [2, 3]. In addition, special attention is given to the processing phase of the image in order to optimize its quality for a better reconstruction of the three-dimensional model. 1.1

Case Study

The aim was to detect the state of failure in which the factory-port connections are located and the possible presence of pollutants in the seabed of the area, reproducing them with 3D models. The software used is Agisoft Metashape, through which we obtained the scenarios and objects included in the three-dimensional models, made through photogrammetric techniques. 3D modeling is based on the use of imaging techniques, such as digital photogrammetry and computer vision. Photogrammetry is a survey technique that allows you to capture the size of an object by capturing data and images, identifying points of interest in our object itself.

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It follows three steps: photogrammetric grip, orientation and return. The underwater images used were obtained thanks to a Rov (Remote Operated Vehicles) (Fig. 2). Liquichemistry Biosynthesis, a group of industrial plants in Saline Joniche, in the province of Reggio Calabria, is bounded by a section of the Ionic State Route 106 and the Ionian Sea, and includes in its area the port of Saline Joniche and the old rice paddies. The eco-monster is a desert cathedral built in the 1970s to promote the industrial development of one of the most underdeveloped provinces in Italy. The result of the plant’s work was related to the production of bioproteins, proteins obtained from cultures of microorganisms on oil derivatives, to be used as feed. The area occupies about seven hundred thousand square meters, within that stood an agricultural area used for the cultivation of bergamot swept away to make room for the factory. An area of about 2000 m of coastline was remodeled and shaped on a human scale, destroyed for economic reasons. The whole construction process took two years and was completed in 1974. The project included: port, factory, tubs, citric acid silos and the smoke disposal tower that at 174 m high towered over and still towers over the area. The factory stopped working immediately after opening, after 4 days the feed was declared carcinogenic and not in accordance, and so the colossal structure was closed and abandoned. Neglect and state of abandonment of the entire industrial complex and therefore the total lack of routine maintenance, violent swells of syrup that cyclically hit the area, produced a collapse of part of this structure (Fig. 1). In particular, due to the storm surges there was an increasing erosion of the layer on which the foundations of the structure rested, until it was reached to the point where the plinths were completely “kicked”. The lack of such supporting elements has resulted in a knock-on effect whereby the entire structure has collapsed due to its own weight. All this is clearly visible from underwater reconstructions carried out through the use of photogrammetry (Fig. 3).

Fig. 1. Case study

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2 Survey 2.1

ROV

The seabed was detected through a commercial ROV (Fig. 2). Thanks to the cable we can control the ROV from the shoreline or from a boat, we can use the front camera and take photos, we can turn on the two led laterals and adjust their light intensity and at the same time be able to view the scene shot. The ROV is moved thanks to 2 main rear helipads that provide the driving force necessary for the navigation and 3 additional helixes arranged in triangles in through holes on the hull that thanks to a smart algorithm (AI) automatically controls and adjusts the setup with the Self Stabilizing Mode function and with the Depht Lock Mode function, automatically keeps its depth constant. The same algorithm controls the angle of the hull that can be set by “45” or −45 with the Adjustable Tilt Lock Mode function. In practical use, the ROV has appeared extremely stable, thanks to the IMU (Inertial Measurement Unit) sensor that works on 3 axes such as accelerometer, gyroscope and compass and easily manoeuvrable. Two other sensors signal depth and temperature. ROV has not sensors on the hull that alert we when it is about to touch the seabed, where it could suck gravel or algae, that shutter and partially blocking the eliches. Sensors may also experience other obstacles on the route, which could be avoided automatically. The ROV has an optic with a 4 mm f.3.0 focal equivalent to about 19/20 mm in the 24/36 field angle of 95° but in the water is reduced and a CMOS sensor of 1/2.3 from 12 mpx. The ISO sensitivity ranges from 100 to 3200 and can shoot videos in 4K or UHD (3840-2160) to 30 fps, of course there is also the HD at 192080 to 30 fps, 60 fps and 120 fps. However, the quality of underwater images is always dependent on the clarity of the waters. Suspension, little light at the high depths, affect the result exponentially and it is gradually necessary to turn on the LEDs that actually highlight the suspended particles more.

Fig. 2. ROV

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Image Enhancement

Underwater photos can be captured differently, either through the help of experienced divers or using remotely controlled robots (ROV or UAV). Today it is not very easy to understand the correct approach to the problem of underwater photogrammetry; in this field, everything is complicated by different mathematical physical modeling than in the surface, colors, depth, fluid difference between air and water, the wave that shakes the suspended sediments that distort the final result, not to mention the movement that water imposes on the device during immersion. To find the ideal light conditions for shots related to the submerged area, and not to be victims of the light games of the refraction, divers were made at various hours of the day. If the morning hours were ideal for water transparency and brightness, the presence of sunlight reflections on the surface of the water would have been a major problem for measuring points on the object. The underwater footage was then taken in the afternoon hours, when the sun did not directly illuminate the surface of the water. In order to improve accuracy, the estimated internal camera parameters were used as initial parameters in the alignment process to better converge the system. In our case study we found clear and shallow water, with good light conditions and a good quality white balance in the early stages of the afternoon, which ensured a good chromatic result. In the project, the results were obtained in the beginning through the application of the “Photoshop” software where the captured frames were processed and optimized by the equalization of colors in histograms (Fig. 3) [4, 5]. Subsequently, using Agisoft Metashape it was thought to further improve the color quality and through the application of markers, the project was scaled, giving the plinths of the dimensions that border about 2 m in length. After these simple steps, also with Photoscan we worked to create the 3D model of the rubble left at sea following the collapse of part of the bridge in March 2019.

Fig. 3. Image enhancement: before and after process

2.3

3D Reconstruction

The 3D Reconstruction process, in Agisoft Metashape is automatic and could be divided in the following phases [6–8]:

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Photo Alignment. The photo alignment phase is the most important part of the photogrammetric process that we develop. The software aligns the photos that we load into the chunk, placing them in space in the most likely conformation and reconstructing the geometric socket. This is the defined matching phase: the search for links between common points in images. The result of the alignment will be a scattered point cloud. DenseCloud. The results of the alignment phases, camera calibration and internal and external orientations of the images, are used as input for new processing. This is the stage where you can get a three-dimensional reconstruction with a high point density (Fig. 4).

Fig. 4. Dense cloud

Mesh Processing. A phase that generate a polygonal model based on the newly created dense cloud. The mesh is a subdivision of a solid into smaller solids of multifaceted shape. Texture Construction. Gets the 3D representation of the work under consideration. The last step is to resize the model, that is, assigning the correct metric dimension to the model, in order to make precision measurements on it (Fig. 5).

Fig. 5. 3D model

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3 Virtual Reality The use of mobile devices connected to the Internet as a means of information available from anywhere and at any time have generated great interest (given the many possible applications) around virtual tours and diving experiences. The advancement of computer technology allows navigation in photorealistic environments in real time, interacting with the objects present within them. Theoretically, virtual reality is an immersive virtual reality. In current use, however, this definition is applied to any type of virtual simulation; Therefore, from a technological point of view, it is currently possible to distinguish two levels. The first (immersive) provides a measure of the “perception” of the digital environment as existing (the user, equipped with appropriate peripheral devices, becomes the main interface with which to manipulate the 3D environment and experiences a sense of “belonging” it); the second (interactive) introduces stringent requirements of real-time feedback, gives a measure of “realism” of the simulation (the user has the impression of seeing the 3D world and the ability to modify it through an external interface) [9–11]. Virtual reality systems are born from combining the real scene seen by the user and the digital virtual scene. The subject can “assist” the representation in a real space, or “explore” the real environment where, in any case, the virtual elements are superimposed. The distinctions between the two systems can be traced back to the level of interaction of the subject with the actual space treated. When the user has no device, he basically sees a representation, also influenced by his sole body presence. Otherwise, the user uses one or more devices through which he explores the real space, receives additional digital information about it, and realizes the augmented reality visualization. Augmented reality uses monitors that can be semi-mobile, mobile, or inserted into a pair of glasses, which they wear, allow the user a kind of immersion or even on glasses on whose transparent lenses the scene is projected virtually. The main technical and technological problems are therefore attributable to the integration between natural and virtual real vision, the frequency of updating the virtual scene, and, of course, the visual precision of this, which, in turn, must be made in perfect adherence to real space [12–14]. 3.1

Design Proposal

After a combined hydraulic study of the area and the seabed survey, considering erosion and nourishment factors, using the Revit, 3D reconstruction of the bridge under consideration was carried out (Fig. 6). The work performed, although random, was based on a model made from the original designs of the structure. The information was estimated in part by drawing information from photos of the destroyed bridge and partly from satellite images of the area. The characteristics of the debris piles relative to reality can often provide an indication of what has probably happened. In addition, this also allowed us to understand what potentially polluting elements were lying on the seabed, namely plinths, reinforced concrete remains and pipes.

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Fig. 6. Dwg reconstruction

3.2

The Developed App

In unity environment, an app has been developed, with the intention of allowing the user to see associated multimedia content and information related to the reconstructions directly by framing the area of interest. The combination of rigorous reconstruction techniques applied with purely representative purposes makes it possible to speed up major operations and rebuilds otherwise very expensive both in time and in cash. In fact, having real-time information about the construction details, the plants, being able to verify routes and critical points allows you to plan maintenance and control activities already in the design (Fig. 7). The potential of immersive reality is also enhanced when extending this technology to a further phase of the building’s life cycle, the maintenance one. You can then imagine that you can obtain real-time information about construction nodes and plants, check their paths and critical points, and plan any maintenance and control activities on this basis. The app allows also to explore the seabed, useful during the design phase to see the underwater scenario, in particular close to the pillar of the pier [15].

Fig. 7. App

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4 Conclusion Immersive virtual reality environments, already widely used in gaming as well as manufacturing, are becoming increasingly popular even in the construction field. The ability to integrate visualize and analyze the processes of change of territory in an augmented and virtual reality environment, allows both insiders and ordinary people to obtain more information and possible scenarios on which express their opinions. The presentation and sharing of the design idea is a fundamental element of architectural design. In fact, having tools such as rendering real-time (render in real time, without waiting any) and displaying the 3D model rendered directly in a viewer, allows the designer new design modes. Moreover the possibility to see the underwater scenario could help during the design phase, where it’s possible to explore accurately the pillars of the pier. With these technologies, architects and engineers can generate multiple options and scenarios for the same project more quickly and leverage it as an extraordinary competitive advantage. They are therefore able to make better and more sustainable decisions, with clear cost savings.

References 1. Balletti, C., Guerra, F., Scocca, V., Gottardi, C.: 3D integrated methodologies for the documentation and the virtual reconstruction of an archaeological site. Int. Arch. Photogramm. Remote Sens. Spatial Inf. Sci. XL-5/W4, 215–222 (2015). https://doi.org/ 10.5194/isprsarchives-xl-5-w4-215-2015 2. Barrile, V., Fotia, A., Bilotta, G.: Geomatics and augmented reality experiments for the cultural heritage. Appl. Geomatics 10(4), 569–578 (2018) 3. Barrile, V., Fotia, A., Bilotta, G., De Carlo, D.: Integration of geomatics methodologies and creation of a cultural heritage app using augmented reality. Virtual Archaeol. Rev. 10(20), 40–51 (2019) 4. Barrile, V., Fotia, A., Barrile, B.V.: The submerged heritage: a virtual journey in our seabed. ISPRS Int. Arch. Photogramm. Remote Sens. Spatial Inf. Sci., 42(2/W10), 17–24 (2019) 5. Canciani, M., Gambogi, P., Romano, F.G., Cannata, G., Drap, P.: Low cost digital photogrammetry for underwater archaeological site survey and artifact insertion. The case study of the dolia wreck In: Secche Della Meloria Livorno-Italia. Int. Arch. Photogram. Remote Sens. Spatial Inf. Sci., vol. XXXIV-5/W12, pp. 95–100 (2003) 6. Barrile, V., Meduri, G.M.: Bilotta Comparison between two methods for monitoring deformation with Laser Scanner, G. WSEAS Trans. Signal Process. 10(1), 497–503 (2014) 7. Barrile, V., Bilotta, G.: Self-localization by laser scanner and GPS in automated surveys. Lecture Notes in Electrical Engineering, vol. 307, pp. 293–311 (2014) 8. Barrile, V., Meduri, G.M., Bilotta, G.: Experimentations and integrated applications laser scanner/GPS for automated surveys. In: WSEAS Trans. Signal Process. 10(1), 471–480 (2014)

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9. Drap, P., Seinturier, J., Scaradozzi, D., Gambdogi, P., Long, L., Gauch, F.: Photogrammetry for virtual exploration of underwater archeolgical sites. In: International Symposium of the International Committee for Architectural Photogrammetry, vol. XXXVI-5/C53 (2007) 10. Forte, M., Kurillo, G.: Cyberarchaeology: experimenting with teleimmersive archaeology. In: Virtual Systems and Multimedia (VSMM 2010), Seoul (2010) 11. Fuchs, P., Moreau, G., Guitton, P.: Virtual Reality: Concepts and Technologies. CRC Press Inc., Boca Raton (2011) 12. Henderson, J., Pizarro, O., Johnsons-Roberston, M., Mahon, I.: Mapping submerged archaeological sites using StereoVision photogrammetry. Int. J. Nautical Archaeol. 42(2), 243–256 (2013) 13. Lavest, J.M., Rives, G., Lapreste, J.T.: Dry camera calibration for underwater applications. Mach. Vis. Appl. 13, 245–253 (2003) 14. Liarokapis, F., Kouřil, P., Agrafiotis, P., Demesticha, S., Chmelík, J., Skarlatos, D.: 3D modelling and mapping for virtual exploration of underwater archaeology assets. In: Proceedings of the International Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences (ISPRS), XLII-2/W3, Napflio, Greece, pp. 425–431 (2017) 15. Skarlatos, D., Demestiha, S., Kiparissi, S.: An “open” methods for 3D modelling and mapping underwater archaeological sites. Int. J. Heritage Digital Era 1(1), March 2012. https://doi.org/10.1260/2047-4970.1.1.10, http://multiscience.metapress.com/content/ q603163q0k861431/. Accessed 17 April 2014

Coastal Flood Hazard: A Quick Mapping Methodology. Case Study: Gioia Tauro (Italy) Giuseppina Chiara Barillà , Giandomenico Foti(&) Giuseppe Barbaro , and Fabrizio Currò

,

DICEAM Department, Mediterranea University of Reggio Calabria (Italy), Via Graziella, loc. Feo di Vito, 89122 Reggio Calabria, Italy [email protected]

Abstract. As a result of climate change and of growing anthropization for tourism and commercial purposes, coastal areas are increasingly prone to coastal flooding phenomena. Therefore, in order to plan and manage these territories, it is necessary to adopt methodologies for mapping coastal flooding areas. Currently, in the scientific and legislative literature, the mapping of these areas is not widely studied. This paper describes a quick methodology for mapping coastal flood hazard areas on QGIS. In particular, the proposed methodology takes into account the effects of sea storms, tides and climate changes, allowing to identify floodable areas. Also, analyzing a database containing information on the historically flooded areas in Calabria, a location where this methodology was applied was chosen. This location is a Calabrian town, Gioia Tauro, located along the Tyrrhenian coast, where in the last 40 years many sea storms have flooded the waterfront, causing damage to houses, bathing establishments and maritime works. Furthermore, the analysis carried out made it possible to verify the consistency between the mapping and the events that occurred. Keywords: Coastal flooding
Coastal management Tide
Run-up
Set-up
GIS
Mapping


Flood hazard
Storm


1 Introduction In recent years, the effects of the climate change have become increasingly evident: extreme weather events are ever more catastrophic, in terms of frequency and intensity. [1, 2]. In this context, coastal areas represent a very vulnerable system, since on the one hand the coastal erosion and flooding risks concern more large areas. On the other hand these areas have become increasingly urbanized for tourism and commercial purposes [3]. In Calabria, an Italian region, the coastal length is over 750 km, about 20% of the total length of the Italian coasts, and several locations are affected by the coastal flooding and the coastal erosion phenomena. These phenomena do not cause only damage to structures and infrastructures present on the coastal areas but also cause damage to naturalistic, landscape and historical-archaeological value which often characterize these areas [4, 5].

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1608–1617, 2021. https://doi.org/10.1007/978-3-030-48279-4_151

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In order to properly plan and manage these territories [6–8], it is necessary to adopt simple methodologies for assessing coastal flooding and coastal erosion hazards with the purpose of identifying the areas most susceptible to these phenomena [9–14]. In Italy, the method used for flood risk assessment is described in Decree No. 49/2010, which is based on the Current European legislation, Flood Directive 2007/60/EC [15, 16]. However, most of the regulatory and the scientific literature concern the assessment of river [17–19] and urban [20, 21] flood risks. It is only in the last 15 years, due to the effects of the climate change and the increase in coastal risk, that scientific researchers and legislators have paid more attention to coastal flooding [22–26]. In addition, the Italian coastal regions adopt different methodologies [27–30]. Consequently, the need to identify evaluation methodologies that can be simple, homogeneous and complete is evident. For example, a first difference can already be identified in the different return periods Tr that delimit the hazard levels related to extreme events (low probability of happening – P1), those of intermediate frequency (average probability of occurrence – P2), and frequent ones (high probability of occurrence – P3), as it can be seen in the Table 1. Other differences concern the taking into account different factors that may influence this assessment [31–35]. Table 1. Comparison between the different hazard levels used in the Italian regions. Hazard level Direttiva 2007/60/CE DLgs 49/2010 Emilia Romagna (2013) Liguria (2014) Sardegna (2017) Barbaro et al. (2019)

Low – P1 [years] Average – P2 [years] High – P3 [years] –  100 –  500 100–200 20–50 > > 100 100 10 – 100 50 100 20 2 100 20 1

In this issue, the use of a GIS is of great importance [36]: the G.I.S. (Geographical Information System) is a tool that allows to analyze, represent and query entities or events that occur on the territory. An example of GIS free and open source is represented by QGIS [37] (www.qgis.org), a software designed with plug-in architecture and Python language. Thanks to the possibility of developing and integrating a series of customized and external algorithms through a plug-in mechanism, QGIS has become a high-quality and cutting-edge GIS, as well as representing a collaborative development model and supporting the free dissemination of knowledge. Furthermore, the Python language also has many advantages because it is released with an open source license and has a large number of scientific libraries. The paper describes a simple and quick procedure for mapping coastal flood hazard on QGIS through a case study. The methodology has been applied in a Calabrian town, Gioia Tauro, located along the Tyrrhenian coast, in the homonymous plain, where in the last 40 years many sea storms have flooded the promenade, causing damage to houses, bathing establishments and maritime works. This paper is divided into five sections: the following describes the case study and its characteristics. The third section

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describes in detail the adopted methodology, the parameters on which it is based and the type of data used. In the fourth one the results of methodology’s application are showed and so the hazard levels are mapped. Finally, in the conclusions, the results and the methodology applied, are analyzed and commented.

2 Case Study Description To apply the methodology described in the paper the location of Gioia Tauro was chosen. This location was chosen from an analysis of a database containing information on historically flooded areas in Calabria (A.Si.Cal.) managed by the CNR-IRPI of Cosenza. The analysis of the A.Si.Cal. database showed that from 1980 to 2013 in the Gioia Tauro town 17 events (sea storm) flooded the promenade, causing damage to houses, bathing establishments and maritime works (Table 2). Gioia Tauro is a town with about 20 thousand inhabitants, located in the southern part of the Calabria region belonging to a plain of the same name, and is an important agricultural and industrial center. The town is located along the Tyrrhenian coast and has a predominantly flat orography (Fig. 1). The examined area has a length of about 3 km and is placed between the mouth of two rivers, the Petrace in the south and the Budello in the north, very close to a large commercial port. The coastline is almost parallel to the 200° N direction and is exposed by the III and IV quadrants of the Tyrrhenian Sea. The beach and the seabed are characterized by sands from a medium-to-fine grain to high depths. The sand has different grain size, with a D50 (50% diameter on the grain size curve) that varies between 0.15 mm and 0.9 mm [45]. The river contribution of the two streams caused a dynamic equilibrium condition of the shoreline until the end of the 1970s. After this period, various physical-anthropological changes of the study area has triggered a significant shoreline erosion [46].

Fig. 1. Location of Gioia Tauro on the left. Detail of the examined area on the right.

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Table 2. Events in the A.Si.Cal. database that caused damage in Gioia Tauro from 1980 to 2013. No. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17

Event date Jan 1980 Dec 1984 Jan 1986 Oct 1986 Nov 1986 Jan 1987 Jan 1988 Jan 1991 Jul 1993 Jan 1995 Feb 1999 Dec 1999 Feb 2003 Feb 2006 Mar 2006 Mar 2008 May 2013

Summary description of damages Damage to the promenade, houses and bathing establishments Damage to maritime works. Flooded promenade Sea Storm Sea Storm Sea Storm Damage to the promenade Sea Storm Damage to the promenade Damage to the promenade Sea Storm Wave overtopping on the sea wall Sea Storm Sea Storm Sea Storm Damage to one bathing establishments Sea Storm

3 Methodology The methodology described in this paper takes into account, in accordance with European legislation: a) the level reached on the beach, as a result of the wave run-up and set-up [38, 39], which depends on the characteristics of the deep water wave climate and of the seabed slope; b) the tidal excursion, in particular the maximum hydrometric level; c) the increase in sea level due to climate change. In particular, this procedure is based on an analysis and a statistical processing of the wave, tide and sea level data, provided by different databases. First of all, after a careful and preliminary analysis of the legislations and of the methodologies used on a regional scale, it was decided to consider the return periods of 1, 20 and 100 years. These return periods are the limit value for defining the hazard levels P3, P2 and P1. The first data analysis involved wave data from the last 40 years, contained in the database developed by the MeteOcean group of the University of Genoa. This data has been reconstructed from the Climate Forecast System Reanalysis (CFSR) database. In detail, for the study area was considered the 7622 point of the model grid used by the MeteOcean Group, off the Calabrian coast, at a depth of about 350 m. The analysis of these data allowed to estimate the hazard levels and to identify the coastal flooding hazard areas. The statistical analysis allowed to estimate the characteristic parameters of the location: u, w, a10 and b10. The first two parameters describe a Weibull-type statistical distribution of the probability of exceeding a fixed significant wave height threshold [40]. The last two parameters are related to the equivalent triangular storm model (ETS) and were obtained by a Matlab code. These parameters

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represent, respectively, the average values of the heights and of the bases of the ETS, referring to a sample of the N strongest real sea storms recorded, with N equal to 10 for the number of years of registration. The estimate of these four parameters made it possible to calculate the significant wave height of the fixed return period. Consequently, for each hazard level, or for each return period, the significant wave height limit value was assessed. However, for the purpose of mapping the coastal flood areas, the parameter of major interest is the run-up value. Therefore, for each return period the run-up values was evaluated using the model of Stockdon et al. [41], as also recommended by the guidelines for the mapping of coastal flood risk areas [42]. The tidal excursion and the sea level rise were added to the run-up values obtained. To estimate the tidal excursions, the data recorded by the National Tidal Network gauges were analyzed. Because of the location studied is without gauges, it was necessary to analyze the data recorded by the nearest gauge, located in Reggio Calabria and available from 2010 to 2019. Regarding the sea level rise, recent scientific research was analyzed: Nerem et al. [43] estimated that the average sea level has increased by 7 cm over the past 25 years and they shown that the growth rate is non-linear (previously it was about 3 mm/year), but is accelerated by 0.084 mm/year. These results were obtained using data from 1993 to date from various satellites such as TOPEX/Poseidon, Jason-1, Jason-2 and Jason-3 and they are in accordance with the forecasts described in the fifth IPCC Report [44]. Then, after estimating the wave runup, the maximum tidal excursions and the sea water level rise, the coastal flooding hazard maps were drawn up for 3 different scenarios, corresponding to storms with a return period of 1, 20 and 100 years respectively. The hazard maps were plotted by comparing the digital elevations of the land, obtained from the LIDAR data with a square mesh of 1 m available in the Italian National Geoportal (http://www.pcn.minambiente.it/mattm/), with the run-up values reached by the storms of fixed return period, inclusive of the tidal excursion and of the sea water level rise (SWLR). In this way, all areas with elevations below these values for the three return periods were mapped, thus obtaining the hazard mapping. Finally, the consistency of the results obtained can be verified analyzing the A.Si. Cal. database.

4 Results and Discussion This section describe the results obtained in the location of Gioia Tauro applying the methodology above mentioned. Firstly, from the data provided by the MeteOcean group, the location’s characteristic parameters were calculated, obtaining the following values: u = 0.96, w = 0.59 m, a10 = 3.47 m, b10 = 69.42 h. The Table 3 shows the significant wave height and the run-up values for the three hazard levels, defined by the return periods of 1, 20 and 100 years. Following an analysis of the data recorded by the gauge of Reggio Calabria, belonging to the national tidal network, it was found that the average value of the maximum hydrometric levels is about 22 cm, consistent with the results obtained by Sannino et al. [47]. Regarding the sea level rise, according to Nerem et al. [43], the average value is expected to be about 10 cm in the next 20 years, and about 80 cm in

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the next 100 years. Therefore, the hazard has been mapped taking into account the sum of the run-up, the maximum hydrometric level and the sea level rise. In detail, the values obtained are about 2.1 m, 3.1 m and 4.3 m for return periods of 1, 20 and 100 years respectively. Regarding the hazard mapping, Fig. 2 shows that a large part of the beach and of the areas located near the mouths of the two rivers are flooded on average every year (P3 hazard level). On the other hand, in accordance with the information contained in the A.Si.Cal. database, the promenade and the surrounding areas are flooded on average every 20 years (P2 hazard level). The downtown areas are affected by coastal floods that occur on average every 100 years (P1 hazard level). In detail, the flooding areas classified with hazard level P3 have an extension of 210000 m2 and involve 3 bathing establishments. The P2 hazard areas have an extension of 390000 m2, involve about 46 buildings and the whole promenade for a length of about 2 km. Finally, the P1 hazard areas have an extension of 940000 m2 and involve around 560 buildings and several roads of Gioia Tauro. Table 3. Results obtained for the three hazard levels. Hazard level R [years] 1 P3 P2 20 P1 100

h (R) [m] Ru,2 % [m] Tide [m] SWLR [m] Total level [m] 4.39 2.49 0.22 0.0037 2.72 6.68 3.80 0.22 0.0944 4.11 7.90 4.49 0.22 0.7935 5.50

Fig. 2. Hazard mapping of Gioia Tauro. Legend: Red = P3, yellow = P2, green = P1.

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5 Conclusions The paper, through a case study, describes a quick methodology for mapping the coastal flooding hazard areas on QGIS. Analyzing the A.Si.Cal. database, concerning the historically flooded areas in Calabria, the town of Gioia Tauro was chosen as a case study. In this location, from 1980 to 2013 there were 17 storms that flooded the promenade, causing damage to houses, bathing establishments and maritime works. The hazard maps were plotted on QGIS by comparing the elevations, obtained from the LIDAR data with a square mesh of 1 m available in the Italian National Geoportal, with the run-up values reached by the sea storms of fixed return period (1, 20 and 100 years), inclusive of the tidal excursion and of the sea water level rise (SWLR). The results obtained for the three hazard levels show that a large part of the beach and the areas located near the river mouths are flooded on average every year and fall within the P3 hazard level. The whole promenade and surrounding areas are flooded on average every 20 years and fall within the P2 hazard level. The downtown areas are affected by coastal floods that occur on average every 100 years (P1 hazard level). The results described are in accordance with the information contained in the A.Si.Cal. database, and this allowed to verify their consistency. The described methodology is very flexible, as the adopted hazard levels can be easily modified, and it is also applicable everywhere. Finally, the mapping methodology described in this paper can be used both to choose appropriate mitigation measures and to plan and manage the coastal flooding areas. Acknowledgement. The authors wish to thank Ing. Vito Nardi for his very helpful support in the development of the Matlab code used.

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Land Use, Phosphorus Pollution and Risk Assessment for the Bolsena Lake (Italy). An Estimation Using Remote Sensing and Multi Criteria Analysis Matteo Piccinno1(&) , Adrienn Caronte-Veisz1 and Fabio Recanatesi2 1

2

,

Sapienza, University of Rome, Piazza Borghese 9, 00186 Rome, Italy [email protected] Tuscia University, Via San Camillo de Lellis snc, 01100 Viterbo, Italy

Abstract. This study aims to assess the sustainability of the Land Use (LU) in the water basin of Bolsena Lake (Italy), by measurement of eutrophication status. The total annual phosphorus (P) load was quantified using the simulation model Groundwater Leaching Effects of Agricultural Management Systems (GLEAMS). The Multi-Criteria Analysis (MCA), conducted in accordance to the fuzzy logic, has allowed us to define the Risk Map that shows areas of environmental vulnerability with regards to eutrophication processes. Finally, areas were identified through meta-planning to introduce BMPs (Best Management Practices), that represent a useful tool to reduce nutrients loads, that reach the water body causing eutrophication. The main results obtained show that the total (P) produced in the water basin is 92 tons/year, while four Risk classes were defined according to their vulnerability of the territory to release nutrients. A detailed phytodepuration plan were proposed, that could reduce from 30% to 60% the phosphorus load per year. Both the GLEAMS model and the MCA are found to be essential tools to quantify the factors causing the eutrophication and to identify the most critical areas. Keywords: Risk assessment Bolsena Lake


Remote sensing
Multi Criteria Analysis


1 Introduction Over 75% of Earth’s land is substantially degraded, undermining the well-being of 3.2 billion people, according to the report released in 2018 by the Intergovernmental Science-Policy Platform on Land Degradation and Restoration [1]. Soil erosion is a key driver of land degradation process that often cause pollution due to the nutrient’s transport with serious consequences, like the loss of soil fertility and eutrophication of water bodies. In these processes, phosphorus (P) and nitrogen (N), commonly used in agriculture can be considered as limiting factors [2–6]. The environmental impacts of non-point source pollution on water quality degradation are of a great concern because produce eutrophication [7]. Non-point source pollutions (NPSs) are caused by two © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1618–1628, 2021. https://doi.org/10.1007/978-3-030-48279-4_152

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essential processes [8]: (i) runoff and infiltration of rainfall or snowmelt, that results in groundwater flow carrying nutrients and pesticides into the water bodies. (P) is rarely transported in this way, only in special cases as organic compounds; (ii) soil erosion, involves phosphorous particulate bound to the sediment [9]. In this context, lakes and ponds are particularly vulnerable to eutrophication [10]. There are several examples worldwide showing the impacts of eutrophication on water bodies, e.g. coastal waters of Black Sea showed this phenomenon since the 1970s. At the end of the 60s in Europe, the water pollution-point sources were greatly reduced thanks to their relatively easy identification and to the constant development of the purification techniques [11]. The pollution produced by NPS are still cause for concern with respect to the water quality standards [12], especially in the Mediterranean Region where the erosion processes are more frequently caused by changing seasons and climatic patterns: long dry summer periods followed by heavy rainfall periods [13]. NPSs are determined by the land management that can influence the sediment production and the chemical loads, by the hydrology of the water basin and by other processes such as the nutrients detention [14–18]. The Water Framework Directive (2000/60/CE) commits European Union member States to achieve good qualitative and quantitative status of all water bodies. Moreover, it also indicates how to plan mitigation actions, based on the ecological characteristics of water bodies and their variability, in order to secure the water quality. It is therefore necessary to evaluate the effectiveness of the BMPs (Best Management Practices) considering the time difference between the effective and the expected implementation of the improvements in water quality [11, 12]. BMPs are conservation practices in agricultural areas, that represent an effective tool that farmers can utilize to reduce nutrient losses in the watershed, protect water quality while ensuring the economic sustainability. This paper aims to define the impact of non-point phosphorus sources entering the Bolsena Lake (Italy) and introducing correct BMPs measures for reducing eutrophication. To reach these goals, the following objectives were carried out: (i.) Application of the GLEAMS model, Groundwater Leaching Effects of Agricultural Management Systems to quantify (P) load at basin scale [19, 20]; (ii.) Update of the Land Use Map (LUM) of Lazio Region with 2018 digital orthophotos; (iii.) Identifying most critical (P) release areas in the watershed by a Multi Criteria Analysis [21–28]; (iv.) Identifying most suitable areas for BMPs introduction and mitigation of P losses at the basin scale; (v.) Preliminary individuation of the location and of the typology of filter bands to reduce the nutrient in-take in the lake.

2 Materials and Methods 2.1

Study Area

The catchment area of the Bolsena Lake (42° 35’41.05” N; 11° 56’11.39” E) is located in the northern part of the Lazio Region, in Central Italy (Fig. 1) and presents an area of 271 km2. The water body surface is about 114 Km2 with a maximum depth of 151 m, a

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mean depth of 81 m. The lake has no tributaries and the only effluent is the Marta River. The water renewal time was estimated in 121 years [29] while the land area (156 Km2) represents the 58% of the total basin extension [30–32].

Fig. 1. Geographic location of Bolsena Lake.

On the study area, there is a SPA (Special Protection Area) “Lake Bolsena and Islands Bisentina and Martana” (IT 6010055) and two SCI (Sites of Community Importance) “Bolsena Lake” (IT 6010007) and “Islands Bisentina and Martana” (I 6010041). In the last fifty years the increased tourism and anthropic pressures caused a greater transport of nutrients into the lake. The present phosphorus concentrations show that the deepest zone of the lake is in a mesotrophic condition [29]. 2.2

Total Phosphorus Load

The total (P) load was determined using the simulation model: GLEAMS [12, 33–37]. The photo interpretation of aerial images referred 2018, field surveys and the interviews with the landowners allowed to determine the type of fertilizer used, the tillage performed, and the crops currently cultivated in the catchment area. Therefore, eight land use (LU) classes were determined according to Corine Land Cover project (https:// www.copernicus.eu/it) (Table 1).

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Table 1. Land use classes Land use GLEAMS Forest Uncultivated Ryegrass-corn Medical Conventional hazel Grassy hazel Cropping vegetables

Corine land cover class Forests 3.1. Pastures 2.3.1. Permanently irrigated land 2.1.2. Non-irrigated arable land 2.1.1. Fruit trees 2.2.2. Fruit trees 2.2.2. Permanent crops 2.2

The LU and the slope gradient represent the main limiting factor in the transport of nutrients and in the calculation of the removal coefficients within the GLEAMS model [38–41]. For this reason, the Land Use Map (Fig. 2) was updated in the Esri ArcMap® environment, obtaining the total area and number of patches for the year 2018. The LU map was implemented also with the streets network and sprawl layers realized ad hoc for the present study.

Fig. 2. Land use map 2018.

2.3

The Multi Criterial Analysis

The LU map was classified in order to obtain a sustainability map. This map allowed us to define five sustainability classes, expressed in percentage values, considering the

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specific land use trend to release phosphorus into the environment: the class 0 represents urban areas, so not a P source, while the class 75-100 represents the least sustainable one (Fig. 3).

Fig. 3. Sustainability map.

At the basin scale, the LU classes less sustainable (Class 75-100) are: • Annual crops associated with permanent crops (2.4.1.). • Fruit trees and berry plantations (2.2.2.). In our case Fruit trees are represented by Hazel trees. • Complex cultivation patterns (2.4.2.). To define how the nutrients are released and moved in the water basin, considering the LU Sustainability, a Multi Criteria Analysis (MCA) [21–25] in GIS environment was conducted. This investigation method applies the fuzzy logic, theorized by Lotfi Zadeh in 1965. This calculation includes five steps: fuzzification of attributes, generation of joint membership values, generation of fuzzy rules, aggregation of the fuzzy rules, and defuzzification to find the crisp suitability index [42–44]. In this analysis, restricted to the water basin boundaries, the layers used are: 1. Sustainability Map 2. Slope Map (%), obtained using the Digital Elevation Model (DEM) (40  40 m) provided by the Lazio Region; 3. Maps obtained with the classification based on the extension of the polygons included in each LU layer for the three classes less sustainable: • Annual crops associated with permanent crops

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• Fruit trees and berry plantations • Complex cultivation patterns. The result of this MCA is a Risk Map that allowed us to fix four Risk Classes (%) and to create the High-Risk Class layer showing the highest values (Fig. 4).

Fig. 4. Risk map classes (%).

Using the MCA, we identified the better sites where BMPs could reduce the nutrients that would be transported to the lake. For the layers included in the analysis we defined the direct or inverse proportionality with the suitability to host BMPs solutions: 1. Risk Map: growing trend; 2. Slope Map, obtained through the Digital Elevation Model (DEM) (40  40 m) of the Lazio Region: decreasing trend; 3. Urban Centers Map: constraints to exclude them in the analysis, because they could not host phytodepuration systems; 4. Five Zoning Maps, with a decreasing trend, obtained with the classification of the watershed based on the distance from the considered layer, for the following maps: • • • • •

Hight Risk; Lake; Hydrographic network; Road network; Sprawl.

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The resulting map (Fig. 5) presents higher values for areas where the risk of release nutrient is high, where they would be transported but also where the orographic conditions are compatible with a BMP installation. This map was finally classified to define the areas with an extension greater than 5000 m2, in which is possible to realize a BMP system of phytodepuration.

Fig. 5. BMPs suitable map.

3 Results The Land Use Map, updated to 2018, was used in the simulation model GLEAMS to determine the load of nutrient (kg/ha) produced by each land use class in 2018, and therefore quantify the total P produced in the water basin every year, that is 92 tons/year (Table 2). Table 2. Phosphorus load at watershed scale Land use GLEAMS Forest Uncultivated Ryegrass-corn Alfalfa Conventional hazel Grassy hazel Cropping vegetables TOT. P/watershed

Corine land cover class Forests 3.1. Pastures 2.3.1. Permanently irrigated land 2.1.2. Non-irrigated arable land 2.1.1. Fruit trees 2.2.2. Fruit trees 2.2.2. Permanent crops 2.2

TOT. P (Kg) 10263.55 10014.20 8510.48 32530.42 1410.027 20275.36 9234.07 92238.12

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The Multi Criterial Analysis allowed to define in the basin area four risk classes according to the vulnerability of the territory to release nutrients. In order to reduce the risk, some of BMPs were suggested: • Planting hazel groves, that protecting the soil, reduces the erosion and the consequent transport of nutrients; • Fertilization closed to the roots area, proportional to the quantity assimilated by the plant in the short term and possibly after a rainfall event. In detail, we suggested (Fig. 6): • 69 bumps or dips for the correspondent road section with an average length of 358.04 m and a total length of 24.7 km. • 7 filter bands with an average length of 757.5 m and a total length of 5.3 km. • 12 wet ponds with an average area of 23.3 ha and a total extension of 280 ha. We have excluded the urban areas (Contraints) from the analysis because they do not contribute to the introduction of phosphorus into the water body. The realization of these BMPs solutions, as reported in several studies, will potentially reduce by 30 to 60% the phosphorus load per year [45].

Fig. 6. Sites suggested to install BMPs.

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4 Discussion and Conclusions The degenerative status of Bolsena Lake’s water quality is due to the excessive trophic load, in particular to the P. The sewage had a central role in the eutrophication processes in the seventies and eighties, when the water quality was deteriorated. In the 1996 the lake water was prevented by a sewage collector from the main population centres to a treatment plant located about three km from the lake. Therefore, the NP sources are the most important sources of pollution and they are caused by the agricultural activities. The analysis on the sustainability of the land use identified the main limiting factors in relation to these processes with the land use and the morphology. The model used (GLEAMS), as well as the Multi Criterial Analysis (MCA), resulted both essential tools to quantify the factors causing the eutrophication and to identify the most critical areas. In the last point, the study identified the better BMPs, mainly phytodepuration plans, and their location in a meta-project. The BMPs are necessary, in the general river basin management, to preserve and protect the most important SPA and the two SCI sites involved. This study calls attention to obtain analytical instruments to plan actions at basinscale with a focus on the correct planning. The adoption of less polluting management practices is driven by farmers’ perception of their effect on profitability, but public incentives and environmental legislations could also promote the adoption of these practices.

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Mapping Monthly Precipitation in New Zealand by Using Different Interpolation Methods Gaetano Pellicone, Tommaso Caloiero, and Ilaria Guagliardi(&) Institute for Agricultural and Forest Systems in the Mediterranean (CNR-ISAFOM), National Research Council of Italy, Via Cavour 4/6, 87036 Rende, CS, Italy [email protected]

Abstract. Spatial interpolation of rainfall data is an issue particularly significant for hydrological modelling and watershed management. The success of spatial interpolation varies according to the type of model chosen, its mode of geographical management and the resolution used. The aim of this paper was to develop different algorithms of spatial interpolation of rainfall in New Zealand and to compare the results of geostatistical and deterministic approaches in order to choose the method that best reproduces the actual surface. In particular, inverse distance weighting, ordinary kriging, kriging with an external drift and ordinary cokriging were applied to produce the monthly rainfall maps of New Zealand. The prediction performance of each method was evaluated through cross-validation and visual examination of the precipitation maps produced. Results clearly indicate that geostatistical methods outperform inverse distance. Moreover, among these methods, the ordinary cokriging and the kriging with an external drift showed the smallest error of prediction. Keywords: Monthly rainfall


Spatial analysis
New Zealand

1 Introduction The spatial distribution of environmental variables, in particular rainfall, is essential in several scientific and engineering fields, such as hydrology, terrestrial ecosystem processes, regional climate, and regional impacts of global change, and is indispensable for water resources management [1–5]. For example, rainfall maps at different timescales are paramount as input to crop growth simulation models or hydrological models for flood forecasting [6]. In fact, rainfall is an irregular phenomenon showing large spatial variability, and rain gauge networks only collect point estimates [7]. Thus, it is necessary to estimate rainfall at unrecorded locations from values at surrounding sites in order to obtain spatial interpolation from point measurement to continuous surfaces [8]. GIS-based technologies and approaches can play a fundamental role in this context [9]. Several methods have been proposed in literature for the interpolation of rainfall data and, many papers have been recently dedicated to the comparison between different models in various areas. Specifically, one of the most common approaches is the comparison between deterministic (Inverse Distance Weighting – [10]; splines – [11]; © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1629–1639, 2021. https://doi.org/10.1007/978-3-030-48279-4_153

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empirical multiple regressions – [12, 13]) and statistical techniques (geostatistical methods – [14, 15]). As a result of this comparison, several authors [8, 16–20] have shown that geostatistics provides a better rainfall estimate than deterministic techniques. However, other authors have found that results depend on the sampling density [21]. Therefore, no consensus exists in the literature on what the best method is for interpolating monthly rainfall. The aim of this paper was to compare different methods for interpolating spatial patterns of monthly rainfall in New Zealand. In fact, knowledge of the spatial distributions of rainfall in this country is essential, because agriculture is one of the largest sectors of the tradable economy. Within this purview, the paper has appealing innovations, which include, among others, the use of auxiliary variables such as elevation and geographical coordinates to integrate into multivariate geostatistics for spatial interpolation of monthly rainfall.

2 Study Area and Data New Zealand is located at 34° to 47° S in the Southern Hemisphere, 2,500 km east of the Australian continent. Its two islands have a rather elongated shape, 1,930 km from north to south, and a maximum width of 400 km, comprising a total surface area of about 270,000 km2. Mountain ranges reach an altitude of 3,764 m (Fig. 1).

Fig. 1. Location of the selected 294 rain gauge on a DEM of New Zealand.

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New Zealand’s weather reflects that of other similar locations in those latitudes [22, 23]. Its climatic conditions are mainly influenced by four physical factors [24]. Firstly, the oceans surrounding New Zealand affect air circulation and seasonal climate. The mountains crossing both the North Island and the South Island to the west is the second factor impacting on air circulation by constituting a barrier against air flows coming in from the south-south west causing a considerable differences in the rainfall amounts over short distances [25]. In addition, New Zealand falls for the most part within the westerly circumpolar belt. Therefore, subtropical air may sporadically affect the summers in the northern part of the North Island [24]. Finally, the nearby Australian continental landmass influences New Zealand seasonal climate, since the former’s eastern land/sea boundary presents a cyclogenesis region, which moves along towards the Tasman Sea. Very large spatial differences in precipitation can occur over the short distance [26–29]. In order to carry out a spatial analysis of the monthly rainfall, the New Zealand National Climate database of the National Institute of Water and Atmospheric Research (NIWA [30]) was selected. This database presents high quality data and complete, or near complete, records for the period 1951–2012 and was already used in several studies [22, 31–35]. Until 2012, the New Zealand National Climate database consisted of measurements collected at 3,011 stations, with a density of 1 station per 89 km2. In particular, for the present analysis the monthly rainfall data were extracted and used, after undergoing record error checks and metadata analyses for inhomogeneities detection. Following these procedures, a number of station series presenting either low quality records, or too low years of observations for year for statistical purposes (5%. The time-series obtained was composed of 33 images. In order to obtain phenology information useful to improve the classification accuracy, for each image the Normalized Difference Vegetation Index (NDVI), representing the ratio between difference and sum of Near InfraRed (NIR) band and Red

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band [37], was calculated by using the following formula and added as a band to the images ðNir833  Red665 Þ ðNir833 þ Red665 Þ

ð1Þ

Fig. 2. Study area.

For each date of the time interval chosen, only visible (Blue – Green – Red), and NIR bands were extracted from the original image datasets and then stacked with the NDVI. All the input Sentinel-2 images constitute a 3D data-cube consisting of the union of the 2D spatial information given by the coordinates of each pixel and the 1D spectral information of each pixel given by the reflectance value for each considered band. The data fusion process allowed to obtain one image (i.e., a five-band orthomosaic in our case), starting from a series of images of the same area. For the adopted methodology, data fusion was conducted on the basis of the mean pixel value for each band. Thus, each pixel of the obtained composite orthomosaic contains, for each selected band, the mean value calculated considering the entire time-series.

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Classification Process

Making reference to the main characteristics of the study area, and considering that this represents just a starting step to be implemented for future elaborations, for the classification process only four Land Cover (LC) classes were considered: water (due to the presence of an artificial basin in the scene), bare soil, deciduous trees and coniferous trees. Once obtained the resulting composite image, a set of training and validation points was selected in GEE with a visual approach. A total number of 400 points, 100 for each of the defined LC classes, were randomly sampled inside the study area boundaries. This set of points was split to be used either as trainer (25 points – ¼ of the total) and validation (75 points – ¾ of the total) points. In order to perform a supervised classification process in GEE environment, among the available algorithms the Classification And Regression Trees (CART) algorithm [38, 39] was chosen. The accuracy of the obtained classification was evaluated directly in GEE using the selected validation points in order to obtain a confusion matrix and the overall classification accuracy. The proposed method is synthetized in Fig. 3.

3 Main Results and Conclusions The proposed method allowed to obtain a multi-temporal data-cube of Sentinel-2 satellite images with the NDVI value. Of the over 100 images available for the study area and the analyzed year, only 33, all those presenting cloud coverage less than 5%, were used. These images were stacked becoming the data input for the classification process. The map of the classification obtained is presented in Fig. 4, and shows the territorial distribution of the four classes considered in the analyzed scene. The confusion matrix generated for the 300 points (75 points for each class) used as validation points is reported in Table 1. Of the total points selected as validation for the water class, 69 were rightly assigned and 6 were wrongly assigned to bare soil class. For the bare soil class, 67 points were correctly assigned and 8 points were misassigned to different classes (1 to deciduous trees and 7 to coniferous trees). The 75 points chosen for deciduous trees were all assigned correctly. For the coniferous trees validation points only one point was assigned to a wrong class (deciduous trees). The overall accuracy obtained is 0.95, meaning that only 5% of validation points (15 points) resulted wrongly assigned to a different class. First aim of this still ongoing research was to show the potential of joining spectral parameters with phenology information given by NDVI analysis. The high accuracy obtained at the end of the classification process highlights the good performance of the algorithms used in forestry vegetation mapping, using the NDVI value to deep distinguish deciduous and coniferous types. Moreover, this paper also highlights how the cloud computing platform GEE can work as a useful tool for multi-temporal vegetation analysis, thanks to its capability of using large satellite datasets and derived information. Moreover, GEE allows to share the written scripts with other researchers and stakeholders in order to improve code development and knowledge about the evolutionary dynamics in the studied area.

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Fig. 3. Workflow of the presented method. The first part shows all the image processing steps used to obtain the composite image starting from a time-series of Sentinel-2 images. The second part shows the process steps to obtain a supervised classification and assess its accuracy by using Classification and regression Trees (CART) classifier.

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Fig. 4. Landscape classification map of the study area according to the four classes in Legend, derived from a Sentinel-2 time-series and multi-temporal NDVI analysis in Google Earth Engine environment Table 1. Confusion matrix of the validation points. Water Bare soil Deciduous trees Coniferous trees Water 69 6 0 0 Bare soil 0 67 1 7 Deciduous trees 0 0 75 0 Coniferous trees 0 0 1 74

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Monitoring Urban Growth Evolution by Multi-temporal Dynamics Analysis in a Southern Italy Area Nicola Ricca and Ilaria Guagliardi(&) National Research Council of Italy - Institute for Agricultural and Forest Systems in the Mediterranean (CNR-ISAFOM), Via Cavour 4/6, 87036 Rende, CS, Italy [email protected]

Abstract. A quantitative and qualitative weakening of natural environments occurs recently in some Italy areas invalidating ecological and agricultural capacities of soils in favor of urbanization and expansion of artificial surfaces. This study reports the assessment of the urban sprawl on a southern Italy territory in order to estimate the land cover changes from 1990 to 2015 and offer to policy makers a basemap for a more sustainable system of land use. The analysis involves a time of 25 years during which spatial and temporal changes were monitored, through a selection of indicators aimed to evaluate the land use/cover transition, land take per capita, rapidity of the transformation, incidence of the transformation compared to the original land cover stock. The results indicate an urban expansion and a soil consumption recorded in growing urban tissue, industrial areas and artificial surfaces as shown by increase of number of patches and by the intensity of soil consumption equal to 56.7% from 1990 to 2015. Local environmental conditions and human wellness have been negatively impacted by the consumption of fertile soil occurred at the expense of arable land, which reduced meaningfully over considered period. Keywords: Urban sprawl


Soil consumption
Land use changes

1 Introduction Worldwide in the past century, urban population increased [1] and the next projections, by the year 2030 [2], confirm and exceed this trend. This statement is visible also in UE-28, where a population growth of 101.7 million inhabitants between 1960 and 2015, equal to an annual increase of 0.4%, occurred [3]. In particular, in Italy an increase of the pressure on countryside and the displacement of some typical functions outside the cities due to population growth in the urban centers was observed over the years [4]. The expansion of urban areas is continuously monitored for bringing it to the attention of land managers and administrations and limiting the disastrous effects upon biodiversity, soils and local food production [5, 6] that the loss of agro-ecosystems and natural ecosystems for building infrastructures for housings and industrial purposes could cause [7–9]. In fact, in the urban landscape, soils can experience great change in properties and processes [10], which have important repercussions on the quality of © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1660–1668, 2021. https://doi.org/10.1007/978-3-030-48279-4_156

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water and air, climate change and the human health [11]. In addition, soils in the urban landscape can be a receptacle for potentially harmful elements, generating some ecosystem damages [12, 13]. Indeed, the land use/land cover changes can be considered as real environmental indicators which often affecting dramatically ecosystem structure and functioning [1, 14]. In this perspective, the study of urban landscape over the time, which takes into account the spatial and temporal dynamics, is essential for monitoring and mitigating ecological consequences [15]. The landscape metrics are useful tools to study the urban growth evolution [16–20]. They are continuous conversions of land features through cyclical, linear, secular and reversible processes with variable time lags [21–23]. Although the big number of metrics available to quantify landscape, many of which turned out to be unnecessary, there are consistent combinations of them that universally describe the major attributes of landscape structure at the class- and landscape-levels [24]. These solutions together with the development of ad hoc GIS techniques are very supportive to analyze land use/land cover changes and to understand the factors that are able to drive the dynamic processes of urban land transformation [4]. The study of these evolving dynamics have been applied to the municipality of Rende, in Calabria region, southern Italy, to investigate and infer quantity, temporal and spatial distribution in a drought and environmental polluted territory. A categorization and quantification of urban landscape patterns as the process of urbanization have been applied over a period of 25 years (1990–2015) through patterns of landscape diversity.

2 Methodology 2.1

Study Area

The study area is located in the NW sector of Calabria region inside the graben of Crati Basin and precisely it is the municipality of Rende (Fig. 1). It covers an area of 55.28 km2 with an altitude ranging from 129 to 1,137 m a.s.l. The Crati valley is a tectonic depression NW oriented and bounded by three morpho-structural highs: the Sila Massif to the east, the Coastal Chain to the west and south, and the Pollino group to the north [25]. According to the soil map of the Calabria region at 1:250,000 scale [26], the main soil types present are Fluvisols, Leptosols, Arenosols, Cambisols, Calcisols, Umbrisols and Phaeozems, Vertisols and Luvisols [27], and Entisols, Inceptisols, Mollisols, Vertisols and Alfisols. The climate regime of Calabria is typically Mediterranean with some marked seasonal differences and influenced by the orography of the region [28–31]. The Rende population approximates 36,000 inhabitants, which live in a territory characterized by typical urban land use such as housing, intense automobile traffic, a partial incidence of industries, commercial activities and parks and gardens [32, 33]. One of the most important structure inside the territory, which has changed urban and social landscape from 1968, is the University of Calabria: it consists of an area of over

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Fig. 1. Maps of land use and cover changes in the study area, for 1990 and 2015

200 ha, extends along a steel bridge made of concrete buildings and includes a vehicular and pedestrian walkway track. 2.2

Landscape Metrics

The analysis of the multi-temporal land use variations of the study area was carried out analyzing black and white photographs for 1990 (IGM Aereonautica Militare - flight 1990) and Esri topographic basemap [34] for 2015, jointly to ground truthing used as reference data and for accuracy assessment. Photo interpretation, georeferencing, rectification and mosaicking of aerial photographs were carried out by ArcGIS 9.2 Software [35]. The patches were digitized through the extension for ArcGIS 9.2 Software [35], named Patch Analyst, as lines and polygons in layers corresponding to different years and categories. The metrics of the landscape, as Index Classes, taken into consideration into this study are Patch Density & Metrics (Number of Patches, Mean Patch Size, Median Patch Size, Patch Size Standard Deviation, Patch Size Coefficient Of Variance), Shape Metrics (Mean Shape Index, Area Weighted Mean Shape Index, Mean Perimeter-Area Ratio), Edge Metrics (Total Edge, Edge Density, Mean Patch Edge) and Diversity Metrics (Shannon’s diversity index, Shannon’s evenness index). The classification of different types of land use utilized was the European Corine Land Cover [36].

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The analysis of the evolutionary dynamics of soil consumption was conducted using the indicators elaborated in the OSDDT Med Project - Land use and sustainable development of territories of Mediterranean areas [37], among others (i) Consumed soil on a reference surface, (ii) Intensity of soil consumption, (iii) Average annual rate of the increase of consumed soil, (iv) Fertile soil consumption; (v) Consumed soil by inhabitant, (vi) Consumed soil in square metres by inhabitant supplementary between two dates.

Image data

Image preprocessing

Design of classification scheme

Image classification

Analysis of the landuse/cover changes

Thematic maps

Fig. 2. Flowchart synthetizing the main methodological steps of the research framework

According to main aim of the paper and to occurrence of the actual land covers, the municipality of Rende has been divided into 22 landscape types, named according to Corine Land Cover legend and subdivided as shown in Table 1. This subdivision in land cover classes has been used to realize the land use maps for 1990 and for 2015 (Fig. 1). In Fig. 2 a flowchart able to synthetize the whole adopted methodology is shown.

3 Results and Discussion Table 2 shows the increase or decrease of land cover area in 1990 compared to 2015 expressed in Number of Patches and percentages of Class Area. From the patch processing analysis resulting that the urban fabric increased from 1990 to 2015, with a growth of Number of patches from 79 to 116 corresponding to a percentage increasing of class area of 49.9%. Specifically, inside the urban fabric, the space occupied by buildings, viability and other artefacts increased from 2 patches in 1990 to 11 patches in 2015, attesting that, over time, isolated houses become increasingly large living nuclei, resulting in a rapid increase of soil consumption. Other relevant outcome is the increasing of the industrial areas grown of 78.3%. As well as the mine, dump and construction sites, which increased of 2.9% and the artificial non-agricultural vegetated areas, grown with a percentage increasing of 135.3%. As consequence of these occurrences, the arable land decreased from 103 patches in 1990 to 41 in 2015. The forests and shrub and/or herbaceous vegetation associations grew for the abandonment of the countryside, linked to the decrease in arable land especially of some specialized crops such as olive groves. Concerning to the indicators of soil consumption applied according to OSDDT Med Project [37] on the total surface, the results show that the consumed soil ranged from 14.74% in 1990 to 23.11% in 2015, the fertile soil consumption went from 17.29% in 1990 to 30.06% in 2015, the consumed soil by inhabitant was 2.64% in 1990 and 3.57% in 2015. The intensity of soil consumption was equal to 56.8%, while

Artificial, nonagricultural vegetated areas

Mine, dumps and construction sites

Industrial, commercial and transport units

Artificial surfaces Urban fabric

Construction sites Green urban areas Sport and leisure facilities

Continuous urban fabric Discontinuous urban fabric Industrial or commercial units Road and rail networks and associated land Mineral extraction sites Dump sites

Heterogeneous agricultural areas

Annual crops associated with permanent crops Land occupied by agriculture

Agricultural areas Arable land Non-irrigated arable land Permanent Vineyards crops Olive groves Shrub and/or Herbaceous Vegetation associations

Moors and heathland Transitional woodland shrub

Natural grassland

Forest and seminatural areas Forests Broadleaved forest Coniferous forest Mixed forest

Table 1. Land cover classes used for Rende municipality Water bodies Inland Water waters courses Water bodies

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the average annual rate of increase in soil consumed was 2.2% and the consumed soil in square meters by inhabitant supplementary between two dates was equal to 0.10%. A progressive urbanization and cementification of the territory at the expense of the agricultural and vegetated areas was highlighted with negative consequences on agricultural productivity and on the soil’s ability to fulfil its function of water control, besides on the human wellness. Regarding the total number of patches detected, an increasing in fragmentation of about 50% for the artificial classes and of 168.6% for the natural classes occurred.

Table 2. Comparison of Number of Patches and increase or decrease of class area on two periods analysed Land cover type

Urban fabric Industrial, commercial and transport units Mine, dump and construction sites Artificial, non-agricultural vegetated areas Arable land Permanent crops Heterogeneous agricultural areas Forests Shrub and/or herbaceous vegetation associations Inland waters

Number of patches Land use Land use 1990 2015 79 116 78 105

Increase or decrease of Class Area from 1990 to 2015 (%) +49.9 +78.3

9 6

22 15

+2.9 +135.3

103 135 74 28 37

41 40 37 60 134

−49.1 −25.9 −6.2 +35.5 +57.5

8

7

−9.6

Landscape metrics analysis and Class Area Index show that the urban and industrial fabric has grown. The artificial areas increased from 817 in 1990 to 1281 ha in 2015, while, for agricultural, forest and semi-natural areas and water bodies, a decrease from 1990 to 2015 occurred. The results of the landscape metrics analysis for each land cover type in 1990 and 2015 show, about the Mean Patch Size, that the average size of the patches has remained almost the same for artificial areas (urban, industrial, mineral and green), while it is significantly decreasing for all natural categories (agricultural, woods, etc.). A decreasing from an average of 24 in 1990 to 9 ha in 2015 occurred, without considering the inland water: this indicates that a greater fragmentation of the territories occurred as confirmed by the number of patches that for the same categories increased from 191 in 1990 to 513 in 2015. Analysis of the Mean Shape Index and Area Weighted Mean Shape Index show an increasing in indices, sign of an increase in the geometric complexity of patch shapes.

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The calculation of the Shannon indices shows an increase of values over time. The Shannon’s Diversity Index displays a diversification of land use types because the value is far from unit, while the Shannon’s Evenness Index assumes low values indicating that the landscape is dominated by elements with a relatively different extension.

4 Conclusions In this paper, the evolutionary dynamics of the land cover changes occurred in the Rende municipality (Calabria region, southern Italy) over 25 years was analyzed. A reduction of the land devoted to agriculture and forestry was assessed with a subsequent expansion of settlements, development of urban fabric and extension of construction sites. The increase of the industrial areas from 1990 to 2015 occurred, with a percentage increase of 78.3%, as well as the artificial non-agricultural vegetated areas and the sport and leisure areas. Contrarily, elements such as farmland for sowing declined. According to indicators elaborated in the OSDDT Med Project, the intensity of soil consumption, from 1990 to 2015, was equal to 56.8%, while the average annual rate of increase in soil consumed was 2.2%. The landscape metrics analysis also confirmed this trend, both as Class Area Index and as Mean Patch Size. The geometric complexity of patch shapes was subjected to an increase definite by analysis of the Mean Shape Index and the Area Weighted Mean Shape Index. In the same way, an increase of values over time was established by the evaluation of the Shannon indices. Finally, this type of investigation could provide valuable scientific basis for local planning and ecological construction, having the role to recognize sustainable solutions for the soil conservation and to program the development of human activities such as industries, road networks, urban fabric, without penalize agriculture, forestry and ecological elements.

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25. Gaglioti, S., Infusino, E., Caloiero, T., Callegari, G., Guagliardi, I.: Geochemical Characterization of Spring Waters in the Crati River Basin, Calabria (Southern Italy). Geofluids (2019). https://doi.org/10.1155/2019/3850148 26. ARSSA (Agenzia Regionale per lo Sviluppo e per i Servizi in Agricoltura): I suoli della Calabria. Carta dei suoli in scala 1:250000 della Regione Calabria. Monografia divulgativa: Programma Interregionale Agricoltura-Qualità e Misura 5. ARSSA, Servizio Agropedologia. Rubbettino Ed., Catanzaro, Italy (2003) 27. IUSS Working Group WRB: World Reference Base for Soil Resources 2014, International Soil Classification System for Naming Soils and Creating Legends for Soil Maps. World Soil Resources Reports No. 106. FAO, Rome (2014) 28. Buttafuoco, G., Caloiero, T., Ricca, N., Guagliardi, I.: Assessment of drought and its uncertainty in a southern Italy area (Calabria region). Measurement 113, 205–210 (2018) 29. Buttafuoco, G., Caloiero, T., Guagliardi, I., Ricca, N.: Drought assessment using the reconnaissance drought index (RDI) in a southern Italy region. In: 6th IMEKO TC19 Symposium on Environmental Instrumentation and Measurements, pp. 52–55 (2016) 30. Pellicone, G., Caloiero, T., Modica, G., Guagliardi, I.: Application of several spatial interpolation techniques to monthly rainfall data in the Calabria region (southern Italy). Int. J. Climatol. 38, 3651–3666 (2018) 31. Pellicone, G., Caloiero, T., Guagliardi, I.: The De Martonne aridity index in Calabria (Southern Italy). J. Maps 15, 788–796 (2019) 32. Guagliardi, I., Ricca, N., Cicchella, D.: From rock to soil: geochemical pathway of elements in Cosenza and Rende area (Calabria, southern Italy). Rend. Online Soc. Geol. It. 38, 55–58 (2016) 33. Guagliardi, I., Rovella, N., Apollaro, C., Bloise, A., De Rosa, R., Scarciglia, F., Buttafuoco, G.: Modelling seasonal variations of natural radioactivity in soils: a case study in southern Italy. J. Earth Syst. Sci. 8, 1569–1578 (2016) 34. Esri: World Topographic Map. February 19, 2012 (2015) http://www.arcgis.com/home/item. html?id=30e5fe3149c34df1ba922e6f5bbf808f 35. ESRI: ArcGIS version 9.2. ESRI, Redlands, California, USA (2006) 36. Buchhorn, M., Smets, B., Bertels, L., Lesiv, M., Tsendbazar, N.E., Herold, M., Fritz, S.: Copernicus Global Land Service: Land Cover 100 m: epoch 2015: Globe. Dataset of the global component of the Copernicus Land Monitoring Service (2019). https://doi.org/10. 5281/zenodo.3243509 37. OSDDT Med Project - Land use and sustainable development of territories of Mediterranean areas (2014). https://www.programmemed.eu/index.php?id=5175&L=1

Geomatics to Analyse Land Transformation in Mozambique – The Nacala Corridor Case Study Maurizio Pollino1(&) , Annalisa Cavallini2, Emanuela Caiaffa1, Flavio Borfecchia1, and Luigi De Cecco1 1

ENEA, Italian National Agency for New Technologies, Energy and Sustainable Economic Development, C.R. Casaccia, Rome, Italy [email protected] 2 A Sud - Ecologia e Cooperazione ONLUS, Rome, Italy

Abstract. Land transformation is one of the phenomena that have largely interested several areas of the World and in particular the African continent. Furthermore, during last years, due to several causes, in some of the poorest countries, like Mozambique, a very great extent of land has been acquired by private companies or by a foreign country, generally for extensive agricultural purposes. In the majority of cases, the transition from a multivariate subsistence farming and slight pastoralism (made of small land parcels, exploited for cropping to satisfy local needs) to extremely large monoculture systems causes a heavy land use transformation. Moreover, the climate change effects, which have inexorably affected the African continent since various decades, constitute a further cause in vegetation changing. All these conditions make the Mozambican territory one of the most potentially subjected to the land transformation. Using GIS methodologies and Remote Sensing (RS) data, territorial dynamics were identified, in order to investigate possible situations of land cover changes. This paper describes the approach, based on Geomatics (GIS and RS), for monitoring the above-mentioned phenomena at suitable spatial and temporal scales and for identifying areas with potential vulnerabilities. Keywords: Geomatics


Land transformation
Land degradation

1 Introduction 1.1

Framework and Objectives

In recent years, rapid changes in territories and landscapes, have been ever more perceived. Basically, most of these changes are caused by man-made pressures, which have resulted in natural land transformation, both for agricultural purposes (from the simple subsistence agriculture to modern agriculture, up to vast plantations installations for monocultures production) and for the urban areas expansion and sprawl [1]. Among the most common causes for the transformation of a territory, there is an intensification of the soil alteration. Changes in land use, conversion of forest or subsistence crops to zones for modern intensive agriculture and urbanization [2], etc., © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1669–1678, 2021. https://doi.org/10.1007/978-3-030-48279-4_157

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lead to a local loss of biodiversity and to a changing of vocational use in these areas [3–5]. It is also necessary to consider the risk due to the introduction of pesticides, herbicides and fertilizers that flow into streams, rivers, etc. In addition, the construction of new infrastructures and the deforestation related to the implementation of extensive crops often result not only in significant land changes, but also in people displacement with heavy effects on territory transformation and on socio-economic condition. In recent decades another phenomenon has gradually increased, the so-called land grabbing: a large amount of land is purchased by a private company of a foreign country or by a State, in general to create large monoculture [6, 7]. This is certainly one of the causes of environmental and socio-economic transformations of a territory. Consequently, the equilibrium between good practices and local traditions in farming and pastoralism activities, delimited to subsistence, could be threatened by the implementation of extensive monocultures with intensive use of local water resources that might result unsustainable. Although these populations could be self-sufficient regarding production and consumption of food, one of the known consequences is that, they often become dependent on humanitarian food aids [8, 11]. Converting such lands to vast monocultures can introduce, in addition, the serious problem of local people that are forced to leave their own territory, with serious consequences from the socioeconomic point view (such a kind of cascading effects are out of the scope of the present study, indeed). The installation of large plantations (soybean, sugar cane, etc., and also for biofuel production), other than the land transformation of wide areas, can affect the vulnerability of local agro-ecosystems and also have an impact on biogeochemical cycles at the base of global climate change [9, 10]. By impacting on territories and local population, all these factors can increase the vulnerability from three different points of view: social, economic and environmentalclimatic. All these vulnerabilities are closely connected and interdependent, especially in a context where people’s lives depend on access to water and on the availability of small land parcels for agriculture and livelihood (pastoralism of subsistence). Monitoring, at appropriate spatial and temporal scales, these growing phenomena, and their correlation with possible impacts on ecosystems and on the greenhouse gas balance, represents a necessary knowledge to implement appropriate prevention and mitigation strategies, also in the framework of international conventions on climate, desertification and biodiversity conservation. Currently, such knowledge is mainly based on the availability of Land Cover (LC) maps, articulated into various classes, derived and updated mainly using Remote Sensing (RS) data, provided by various satellite missions. In this context, the objective of the study was to evaluate LC changes (LCC) in an area of interest of Mozambique, using available maps and data. These LC maps were produced using EO data, systematically acquired by government agencies, such - for example - GlobCover Maps (based on MERIS data and processed by ESA and by the Université Catholique de Louvain, http://due.esrin.esa.int/page_globcover.php) and MODIS (Moderate Image resolution spectrometer) Land Cover Type products (provided by the LAADS Distributed Active Archive Center of NASA, https://lpdaac.usgs. gov/). These maps are valuable thematic products, calibrated and validated on the basis of established methodology based on satellite multispectral surveys, and appropriate in situ measurement. For the purposes of the present study, thanks to these data it has been possible a comparative analysis of status and dynamics of the study area selected,

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in order to analyse human pressures and environmental issues, focusing on LC changes which can have serious impacts on local agro-ecosystems and might be a contributing cause of land degradation processes. 1.2

The Mozambican Context

Mozambique is one of the poorest countries in the world, despite the significant economic growth over the last few years. The poverty is highly conditioned by its history of colonization and civil war. Moreover, in early ‘90s Mozambique was affected by a serious drought, which worsened the poverty of population. Currently, 45% of the population lives with less than 1 US$ a day and does not have access to basic services, such as safe water, education and medical facilities. Mozambique’s economy is extremely connected to the agricultural sector: 64% of the population lives in the rural area, where farming represents the main source of income. Further, 55% of population in rural areas is below the poverty line.

Fig. 1. Map of rural population distribution (source: FAO-Geonetwork) and the Nacala corridor

In this paper is presented a study conducted on a particular area of Mozambique, called the Nacala Corridor, which covers an area of 107,946 km2. The aim is to outline the phenomenon of land transformation and its socio-economic implications [1, 4]. To focus on this, Fig. 1 maps the distribution of the rural population in the Mozambican territory. It is possible to observe how diffused is the presence of rural communities across the Country: these small communities derive their sustenance from practices developed over decades of knowledge and handed down over time, to thoughtful exploitation of the land at their disposal.

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Case Study: The Nacala Corridor

Mozambique is one of the Countries in the world most interested by the phenomenon of foreign investments on its territory. These contracts generally stipulate concessions of vast portions of land, allocated by foreign investors for intensive agricultural use, different than those vocational. Up to 2019 about 140 of this type of transactions were accomplished. Investors come from Europe, Japan and USA, and, more and more, also from emerging economies such as India and China [12–15].

Fig. 2. Land Cover in the Nacala Corridor (data source: GlobCover, ESA)

For the purposes of the present study, focused on land transformation, the Nacala Corridor (Fig. 1) has been considered, both because it is one of the most densely populated areas and because it is largely characterised by farming and pastoralism subsistence activities. Moreover, it is one of the richest areas in terms of arable land in Mozambique. Probably for these reasons, the Nacala corridor has been, in recent years, the objective of a project called PROSAVANA: Program of Triangular Cooperation for Developing Agriculture in the Tropical Savannahs of Mozambique [16]. By 2020, in partnership with the governments of Brazil and Japan, the project aims at leading to a transformation of land, which will be turned into vast soybean, sugar cane and other crops, both for export to European and Asian markets. The main goal of PROSAVANA

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is to increase local productivity, promote access to markets and improve the entrepreneurial skills of local farmers. Thus, in this general framework, an important aspect to be considered is the environmental vulnerability, which is substantially dependent on the LC changes and on the fragmentation of land use. This latter factor is due to natural conditions (savannah, woody savannah, etc.) and to human activities (small plots of land for subsistence agriculture and pastoralism). LC maps are very useful to analyse and understand all these characteristics (Fig. 2).

2 Materials and Methods One of the major issues generally affecting environmental studies and projects carriedout in disadvantaged African Countries, is the data availability and retrieval. Recently some international organizations have collected and made available large amounts of data, some derived from RS techniques (i.e., satellite images, land cover maps, etc.), others coming from field surveys (where possible). The basic maps and data used for the present study have been processed in a GIS environment, using open data provided by international organizations, especially for the land characterization issues, such as: – FAO – Geonetwork: Global population density, Rural population distribution, Urban population distribution, Administrative boundaries, Global information and early warning system on food and agriculture (GIEWS). – ESA (Global Cover): Land cover of Mozambique, Globcover Regional (2008, 46 classes, spatial resolution: 300 m spatial resolution). – NASA/USGS (EarthData Catalog): MODIS Terra + Aqua Combined Land Cover product (500 m spatial resolution). In particular, some data were suitably customised (e.g., GIS import, selection by attributes or by area, spatial overlay, etc.) in order to tailor them to the Mozambican case study and particular territorial situation. In order to investigate the situation within the Nacala Corridor, provinces of Niassa and Nampula have been analysed, in terms of LC classes percentages over the region (Fig. 3). In order to deduce the presence of environmental and socio-economic issues in those areas, it is necessary to know, even if schematically, the distribution and the extent of agricultural areas and pastures within the considered provinces. For example, the large LC fragmentation in the surroundings of Nampula (Fig. 2) is an indicator of the compresence of subsistence agriculture, local pastoralism, forests and areas with sparse vegetation (e.g. savannah). Such features can be threatened by the installation of intensive monoculture farming. The transition from subsistence farming to a system oriented to maximize the production and the return of investment, can result in a degradation of soil and water resources (for example, induced by the use of pesticides). To map and assess the LC changes in the area of interest, the MODIS Terra + Aqua Combined Land Cover product (2003 and 2018) have been used.

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Land Cover Changes in the Nacala Corridor

Using GIS processing and RS data it has been possible to evaluate LC changes deriving, for example [1, 2, 17], from territorial transformations. By involving the deforestation of large areas, the elimination of indigenous crops and the introduction of extensive/intensive monoculture, such modifications can be able to trigger land degradation phenomena with a decrease in the territorial vulnerability, already undermined by the effects of climate change. Satellite RS data were used in the present study to identify LC changes for the Nacala Corridor. To this end, the maps of the area of interest have been extracted from the MODIS Land Cover Type (MCD12Q1) Version 6 data product [20]. The MODIS (Moderate Resolution Imaging Spectroradiometer) Land Cover Type product contains multiple classification schemes, which describe LC properties derived from observations spanning a year’s input of Terra and Aqua combined data and provide global land cover types at yearly intervals (2001–2018). Land Cover Type products are produced with revised training data and positive algorithm refinements [21].

Fig. 3. MODIS Land Cover Type Yearly L3 Global 500m SIN Grid. IGBP global vegetation classification scheme for 2003 (a) and 2018 (b)

For the purposes of this study, the MODIS Terra + Aqua Land Cover Type Yearly L3 Global 500m SIN Grid product was used (spatial resolution 500 m). It incorporates five different LC classification schemes: the primary scheme (“Land Cover Type 1”) identifies 17 LC classes defined by the International Geosphere Biosphere Programme (IGBP), which includes 11 natural vegetation classes, 3 developed and mosaicked land

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classes, and three non-vegetated land classes. Such 17 classes are compatible with classification systems used for environmental modelling, to represent landscape mixtures and mosaics, and where possible to provide land use implications. Thus, two maps from Land Cover Type 1 were produced, for the year 2003 (Fig. 3a) and for 2018 (Fig. 3b). The two maps were overlapped and compared in GIS environment to highlight the changes and produce a LCC map. To this end, among various methods based on the topological overlay and available in the ERDAS IMAGINE software suite (https://www.hexagongeospatial.com/prod-ucts/power-portfolio/erdasimagine), the “Matrix Union” function has been used (applied on a per-pixel basis). This function creates a matrix from two input thematic rasters (i.e. 2003 2018 LC maps) and produces an output file that contains a matrix of class possibilities between the thematic classifications. The matrix size is equal to the number of thematic classes in the two input LC maps. Changes between the two distributions are synthesized quantitatively in the form of absolute values in terms of pixels number or percentage. Knowing the pixel size of the thematic raster (i.e. spatial resolution) it has been possible to calculate the area of change for any given LC class.

3 Results and Discussion The province of Niassa (about 47,034 km2, Lichinga is the capital) is characterized by a predominance of natural areas not populated (80% “Deciduous forest” and 13% “Shrubland” classes). The province of Nampula (approximately 48,321 km2) presents a greater land fragmentation due to subsistence agriculture (30% “Mosaic Vegetation/Croplands” class) and to small pastoralism (17% “Shrubland” class) (Fig. 2). It is also possible to observe that the northern area of Niassa province presents a forestry prevalence. The southern part is instead characterized by small and scattered agriculture of subsistence. Concerning the Nampula province, the majority of the territory is characterized by subsistence agriculture, pastoralism [4]. Figure 4 shows a summary of the changes that occurred in the LC during the 2003– 2018 decade. Since our study was focused on land transformation phenomena, in the classification scheme of the LCC map in Fig. 4 all the changes to “Cropland” were reported in red shades; the changes to “Savannas” were reported in light green and, finally, the LC classes migrated to “Woody Savannas” were indicated in dark green. In this final LCC map it is possible to see that the original “Cropland” class presents a decrease of 0.2% (unchanged) and even with new contributions from “Savannas” (0.4%) and “Woody savannas” (0.4%), results in a global decrease to 1% from original 4%. In addition, it is observed a global increase of the “Savanna” LC class mainly from “Mixed forest” and “Woody areas”, with related decrease of the forested classes. In synthesis, from these results, referring to selected period, in the area of interest did not happened any significant change to extensive cropland diffusion linked to land grabbing phenomena. The increase of savannah semiarid herbaceous land from cropland and forested areas could be, instead, correlated to climate change phenomena [18] involving water shortage, drought and global temperature increase, coupled with agricultural field abandon due to socio-economic factors [19]. Moreover, the LCC map (Fig. 4) shows that the most observable change is that represented by the transition

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from “Woody Savannas” to “Savannas” class, 10.9%. Finally, the “Cropland/Natural vegetation” class was by 3%, partly (0.8%) compensated by “Woody savannas” and “Savannas” classes.

Fig. 4. Land Cover Changes assessed for the years 20032018 in the Nacala corridor

The transformation from woody savannah coverage to savannah indicates that is taking place a land cover change in the study area. In this case, it is possible to make some general considerations. From the qualitative point of view, the changes involving the areas of cropland, savannas and woody savannas, can be related to a treed land loss. The presence of a wooded LC type it is representative of a favourable land structure and of a soil rich of quality elements. To preserve the original cover types, it is fundamental a balance between various factors: climate conditions, micro-climate, soil quality, human activities, etc. That conditions could be heavily impacted by developing activities, such as the installation of large monoculture farming (soybeans, tobacco, biofuel, etc.) that are not typical of these territories. Nevertheless, considering that we are dealing with a natural and complex ecosystem, it is difficult to clearly identify the real causes of such a kind of transformation among the several possible factors (e.g. anthropic pressure, intensive farming, climate change, just to mention the main causes). Anyway, this specific investigation is out of the scope of this paper. The relatively moderate LC changes detected in the Nacala corridor indicate that, until now, the equilibrium characterizing the areas analysed in the present study have been preserved. The great fragmentation in land cover, along with, so far, moderate and sustainable changes, has in some way preserved the local typical features of the area

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and, at the same time, has discouraged the installation of crops or other human activities directed to an intensive and extensive exploitation of these territories.

4 Conclusions A very precise identification of LC classes through GIS and RS techniques, generally all over Africa and, in particular, in the Mozambique’s Nacala corridor, is quite problematic. The extremely fragmented nature of local farming systems and how they are spatially located in the territory, make them often mixed with the surrounding savannah and/or with the surrounding uncultivated areas. For this reason, is important to define and set-up approach based on an effective exploitation of the different available data sources. The present study aimed at investigating the land transformation phenomenon in the area of interest, analysing the possible decrease of cultivated land and woody savannas areas, replaced by a simple savannah. Natural and anthropogenic factors are among the complex causes of this land change/degradation: human activities, urban expansion, climate change, desertification, drought, etc. The results obtained indicate that the LCC in the area of Nacala corridor are, at present, moderate and compatible with a sustainable exploitation of the territory in terms of agriculture and pastoralism. However, it is possible to suppose with reasonable confidence that further changes in regional planning of the corridor area (e.g. related to the implementation of large monocultural systems), could trigger the phenomena of land degradation and – jointly with the climate change issues – lead to the alteration of the current equilibrium.

References 1. Fichera, C.R., Modica, G., Pollino, M.: Land Cover classification and change-detection analysis using multi-temporal remote sensed imagery and landscape metrics. Eur. J. Remote Sens. 45, 1–18 (2012) 2. Modica, G., Vizzari, M., Pollino, M., Fichera, C.R., Zoccali, P., Di Fazio, S.: Spatiotemporal analysis of the urban-rural gradient structure: an application in a Mediterranean mountainous landscape (Serra San Bruno, Italy). Earth Syst. Dyn. 3, 263–279 (2012) 3. Caiaffa, E., Cavallini, A.: “Il GIS nei temi di cooperazione internazionale: il fenomeno del land grabbing” (GIS in the international cooperation themes: the land grabbing phenomenon). GEOmedia 5-2013, vol. 17, no. 5 (2013). (in Italian). ISSN: 1128-8132 4. Caiaffa, E., Cavallini, A., Pollino, M.: Geomatica nei temi della Cooperazione allo Sviluppo: il caso del Mozambico. Geomatics in Development Cooperation themes: the Case of Mozambique. In: 9° Workshop Tematico: Telerilevamento per la difesa del suolo e la salvaguardia di ambiente e territorio. Università di Bologna, 4-5-Giugno (2015). (in Italian) 5. Messerli, P., Giger, M., Dwyer, M.B., Breu, T., Eckert, S.: The geography of large-scale land acquisitions: Analysing socio-ecological patterns of target contexts in the global South. Appl. Geograp. 53, 449–459 (2014) 6. Borras Jr., S.M., Fig, D., Suarez, S.M.: The Politics of Agrofuel and Mega-land and water deals: insights form the ProCana case, Mozambique. Rev. Afr. Polit. Econ. 38(128), 217 (2011)

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7. Cotula, L., Vermeulen, S., Leonard, R., Keeley, J.: Land Grab or Development Opportunity? Agricultural In-vestment and International Land Deals in Africa, IIED, FAO, IFAD (2009) 8. Brown, L.R.: Full Planet, Empty Plates: The New Geopolitics of Food Scarcity. W. W. Norton & Company, New York (2012) 9. Paul, C., Weber, M., Knoke, T.: Agroforestry versus farm mosaic systems – Comparing land-use efficiency, economic returns and risks under climate change effects. Science of the Total Environment, vol. 587–588 (2017) 10. Cannell, M.G.R.: Environmental impacts of forest monocultures: water use, acidification, wildlife conservation, and carbon storage. In: Boyle, J.R., Winjum, J.K., Kavanagh, K., Jensen, E.C. (eds.) Planted Forests: Contributions to the Quest for Sustainable Societies. Forestry Sciences, vol. 56. Springer, Dordrecht (1999) 11. UNDP, Africa Human Development Report. Toward a Food Secure Future, cit., p. 17 (2012) 12. The Oakland Institute: Understanding Land Investment Deals in Africa. Country Report: Mozambique, Oakland, cit., pp. 13–14 (2011) 13. Eckert, S., Giger, M., Messerli, P.: Contextualizing local-scale point sample data using global-scale spatial datasets: Lessons learnt from the analysis of large-scale land acquisitions. Appl. Geogr. 68, 84–94 (2016) 14. De Schutter, O.: How not to think of land-grabbing: three critiques of large-scale investments in farmland. J. Peasant Stud. 38, 249–279 (2011) 15. Commission on Sustainable Development: Commission on Sustainable Development Review of Implementation on Land: Report of the Secretary-General to the United Nations Economic and Social Council, vol. E/CN.17/2008/5Commission on Sustainable Development (2008) 16. Triangular Cooperation for Agricultural Development of the Tropical Savannah in Mozambique. Support agriculture development master plan in the Nacala corridor in Mozambique (PROSAVANA-PD) RE-PORT No.2 Quick Impact Projects March 2013 For Mozambique: MINAG, DPAs For Brazil: Getulio Vargas Foundation For Japan: Oriental Consultants Co. Ltd. NTC International Co. Ltd. Task Co. Ltd. (2013) 17. Fichera, C.R., Laudari, L., Modica, G.: Application, validation and comparison in different geographical contexts of an integrated model for the design of ecological networks. J. Agric. Eng. 46, 52 (2015) 18. Caiaffa, E., La Porta, L., Pollino, M.: Geomatics in Climate Services and Local Information: A Case Study for Mediterranean Area. In: Gervasi, O., et al. (eds.) Computational Science and Its Applications – ICCSA 2015. ICCSA 2015. LNCS, vol. 9157. Springer, Cham (2015) 19. Modica, G., Praticò, S., Di Fazio, S.: Abandonment of traditional terraced landscape: A change detection approach (a case study in Costa Viola, Calabria, Italy). L. Degrad. Dev. 28, 2608–2622 (2017) 20. Friedl, M., Sulla-Menashe, D.: MCD12Q1 MODIS/Terra + Aqua Land Cover Type Yearly L3 Global 500m SIN Grid V006 [Data set]. NASA EOSDIS Land Processes DAAC (2019). https://doi.org/10.5067/MODIS/MCD12Q1.006. Accessed 11 Jan 2020 21. Friedl, M.A., Sulla-Menashe, D., Tan, B., Schneider, A., Ramankutty, N., Sibley, A., Huang, X.: MODIS Collection 5 global land cover: algorithm refinements and characterization of new datasets. Remote Sens. Environ. 114, 168–182 (2010)

Detection and Sharing of Anomalies in the Vegetative Vigor of Durum Wheat in Italy Simone Lanucara1(&)

and Giuseppe Modica2

1

2

CNR, Istituto per il Rilevamento Elettromagnetico dell’Ambiente, 20133 Milan, Italy [email protected] Mediterranea University of Reggio Calabria, 89100 Reggio Calabria, Italy [email protected]

Abstract. Precision Agriculture (PA) can give a significant contribution to improve food production and its environmental sustainability. The widespread availability of satellite data, distributed globally by Earth Observation (EO) systems, allows today to access and exploit these data in favour of PA techniques. In the present paper, we discuss a methodology, based on satellite (Sentinel-2 and PlanetScope) and geospatial multi-temporal data, clustering, geospatial analysis, and information technologies in order to identify anomalies in the vegetative vigour of two thousand durum wheat fields (about 9000 ha) in Italy. The obtained data represent a significant source of information in guiding the on-field work of agronomists and farmers. Keywords: Precision Agriculture (PA)
Earth Observation (EO)
Spatial Data Infrastructures (SDI)
Sentinel-2
PlanetScope

1 Introduction The increase in the world population [1] and climate change adversely affect the food production [2]. On the other hand, at national and local scale, integrated territorial valorisation strategies can help actions devoted to the implementation of sustainable planning actions [3]. To increase productivity and address the risk of food security [4] one possible solution could be the application of precision agriculture (PA) techniques. PA can be defined as a management strategy that aims to increase the environmental and economic sustainability of agricultural production while increasing the quantities. From a technological perspective, PA is a is a data-intensive discipline characterized by heterogeneous data coming from different sources: a) sensors, b) agricultural machinery, c) satellites, d) unmanned aerial vehicles, d) acquired on the field by equipment or agronomists [5, 6]. In this regard, an increasing availability of technological solutions are available to remotely collect and transmit environmental parameters [7, 8]. To apply PA practices, it is therefore necessary to develop technological infrastructures [9, 10] that allow to: a) harmonize, b) archive, c) process, d) share heterogeneous data, and e) reuse of information [11]. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1679–1688, 2021. https://doi.org/10.1007/978-3-030-48279-4_158

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In the last decade, global initiatives have implemented earth observation (EO) systems to monitor climatic, environmental, land cover, land use, vegetation cycle, variables and changes and to share the data. Among the various initiatives at global scale, it is worth of interest to mention Copernicus [12], global Earth observation system of Systems (GEOSS) [13], NASA’s Earth observing system (EOS) [14]. The improvements in data collection methods have fostered an increase in the capabilities of acquiring geospatial data. It is now possible to search, acquire, and store into technological infrastructures, EO data on an increasingly large scale and with an everincreasing time-series interval [15]. Vegetation monitoring, from local to global scale, is usually carried out through the acquisition of satellite data and subsequent elaboration and analysis of Vegetation Indices (VIs). The VIs derivate from the spectral response of vegetated areas, enable the qualitatively and quantitatively evaluating of vegetation status. Among the numerous VIs proposed by scholars in the last forty years, it is worth of interest to mention the normalized difference vegetation index (NDVI) [16] and the modified soil-adjusted vegetation index (MSAVI) [17]. The NDVI provides vegetation data for historical trend analysis and vegetation monitoring studies for land surfaces. Moreover, referring to the framework of the present research, the NDVI is recognised to have a direct relationship with the wheat phenology and yield [18–20]. The MSAVI and its revision, MSAVI2, seeks to address some of the limitation of NDVI when applied to areas with a high degree of exposed soil surface [21]. In this paper, we propose a methodology, based on maximum value composite (MVC) procedure and K-Mean clustering, to analyse NDVI and MSAVI2 multitemporal imagery to: a) detect the intra-field and inter-field variability of Vis, b) monitor the vegetation vigour, c) identify the areas in which the VIs is lowest, d) share information relating to a), b), and c) with farmers and agronomists. The whole process, including the extraction of NDVI and MSAVI2 profiles, MVC procedure [22, 23], Kmean clustering and geospatial visualization, was implemented in a Prototype of Service Oriented Architecture (SOA) for PA developed in previous researches of the research group [24].

2 Materials and Methods 2.1

Study Area

The study area concerns the whole Italian national territory. Within the study area, we collected an ensemble of multi-temporal data concerning 2093 fields, owned by 475 farms, and extended about 9000 ha. All analysed fields are cultivated with durum wheat (Fig. 1), Senatore Cappelli cultivar.

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Fig. 1. Number of fields investigated and clustered by geolocation within the Italian territory. The numbers inside the red dots represent the number of fields falling in each site and analysed in the present study.

2.2

Data

We have collected several data sets relating to 2093 durum wheat fields, sown in November 2018 and harvested in June 2019. The multi-temporal data, collected from different sources, and processed thanks to information technologies (IT) via geomatics techniques, are related to a) field boundaries, b) farm properties, c) crop management plans for each field, d) satellite data. The data relating to the farm properties, field boundaries, and crop management plans, were provided by farms’ owners. The complete list of data types, file format, and sources are shown in the following Table 1. Table 1. List of data types, file format, and sources of data Data type Field boundaries Farm properties Crop plan Satellite data

File format Shapefile Spreadsheet Shapefile SAFE GeoTIFF

Supplier Farm Farm Farm Copernicus API Hub Planet API

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We collected multi-temporal satellite data, from November 2018 to June 2019, from two distinct sources: a) Copernicus Open Access Hub [25]; b) Planet API [26]. Copernicus Open Access Hub, developed in the Framework of Copernicus Programme [25], provides complete access to Sentinel-1, Sentinel-2 A and B (S2), Sentinel-3 and Sentinel-5P data, by means of: a) Open Hub, i.e. access via interactive Graphical User Interface (GUI), b) API Hub that provides access to data by Application Programming Interfaces. Planet API provide RESTful interface to Planet’s imagery archive. The imagery archive is composed by different satellite constellation: PlanetScope (PS), RapidEye, SkySat. For our research aims, we exploited the Copernicus API Hub to acquire S2 data and Planet API to acquire PS data. The S2 sensors acquire twelve bands, with a revisit time of two-three days, and a ground sample distance (GSD) variable between 10 and 60 m; the PS sensors acquire four bands, with a revisit time of one day, and a GSD of 3 m. The complete list of satellites’ platforms, revisiting time, bands acquired and GSD, are shown in the following Table 2.

Table 2. Main characteristics of the used satellite data: revisiting time [days], band, and ground sample distance (GSD) [m]. Satellite Sentinel2 A-B

PlanetScope

Revisiting time [days] 2–3

1

Band 1 - Coastal aerosol 2 - Blue 3 - Green 4 - Red 5 - Vegetation Red Edge 6 - Vegetation Red Edge 7 - Vegetation Red Edge 8 - NIR 8A - Vegetation Red Edge 9 - Water vapour 10 - SWIR - Cirrus 11 - SWIR 12 - SWIR 1 - Blue 2 - Green 3 - Red 4 - NIR

Ground sample distance (GSD) [m] 60 10 10 10 20 20 20 10 20 60 60 20 20 3,7 3,7 3,7 3,7

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Identification of Anomalies in the Vegetative Vigour

To identify anomalies in the vegetative vigour, to analyse intra-field and inter-field variability, and to share the results for each farm, we have developed a methodology that uses information technologies, and geospatial data processing techniques. The methodology is summarized by the following workflow: a) acquisition and correction of S2 and PS multi-temporal Satellite data; b) elaboration of NDVI and MSAVI2 timeseries; c) masking of NDVI and MSAVI2 time-series for each field boundaries; d) storage of all masked data in a multi-dimensional Data Cube [27]; e) elaboration of the Maximum Value Composite (MVC); f) K-mean clustering of the MVC for each field; g) sharing of the data via a web application. To process the NDVI and MSAVI2 from the Satellite data, we used two separate downloads and processing pipelines for the two Satellite constellations, S2 and PS (Fig. 2). The pipeline for S2 uses the Copernicus API Hub to download data, Level 2A (L2A). L2A products provide the bottom of atmosphere reflectances projected to a cartographic projection. The pipeline for PS uses Planet API to download Level 3B (L3B) data from PlanetScope Satellites. L3B data provide top of atmosphere radiance projected to a cartographic projection, so after the download, we applied atmospheric and radiometric corrections using the parameters provided by PlanetScope metadata.

Fig. 2. Satellite data acquisition, processing, storage pipeline.

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Fig. 3. NDVI calculated for 27 fields, starting from PlanetScope (PS) data acquired on 15 may 2019, and superimposed on a Satellite base map. The area depicted in the image falls in the territory of municipality of Jolanda di Savoia, in the province of Ferrara (Italy).

The correction parameters are provided for each image by PlanetAPI in a file in an eXtensible Markup Language (XML) format. Inside each XML file, and for each of the four bands, are provided the correction coefficients to be applied. Once the Satellite data has been downloaded and corrected, the pipeline calculates the NDVI (Fig. 3), MSAVI2, the relative time-series and store them. The entire pipelines of acquisition, correction, processing, storage of satellite data and VI has been implemented via Python programming language in the Geoprocessing Service Layer of the Prototype of SOA for PA described in our previous researches [24]. Both pipelines allowed us to download and process data throughout the phenological cycle of durum wheat in the season and area of interest with different time intervals that depend on the revisit time of the satellite. To identify the anomalies in the vegetative vigour of durum wheat we processed the MVC for each field. The MVC procedure retains the highest VI value, at a pixel level, over a pre-defined compositing period. The compositing period, in this case, is the phenological cycle of durum wheat (Fig. 4). After the calculation of the MVC, we applied a K-Mean clustering algorithm with three zones for each field.

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Fig. 4. MVC calculated for 27 fields, starting from PlanetScope (PS data), superimposed on a Satellite base map. The MVC is calculated in the time-period of the phenological cycle of durum wheat. The area depicted in the image falls in the territory of municipality of Jolanda di Savoia, in the province of Ferrara (Italy).

3 Conclusion and Results GIS methodologies in combination with remote sensing data and technologies are fundamental to manage and share land use data [28–30]. In this regard, the everincreasing availability of EO data will further contribute to the development of PA applications. On the other hand, PA can improve the sustainability of agriculture productions and increase productivity. To apply PA practices, it is necessary to develop technological infrastructures that allow for information reuse, knowledge advancement and implementation of new methodologies. In this paper, we propose a methodology, based on the analysis and clustering of heterogeneous multi-temporal data in order to: a) detecting the intra-field and inter-field variability of VI; b) monitor the vegetation vigour; c) identify the areas in which the VI is lowest. The presented experiments, tested on Durum Wheat cultivar in Italy, show that our approach can identify Anomalies in the vegetative vigour on a national scale. The identification of intra-field and inter-field vegetative vigour, as well as vegetative vigour anomalies, makes it possible to a) monitor the health status of the analysed crops, b) identify homogeneous management zones (MUZ), c) create preregistration maps with a variable rate or homogeneous rate for fertilization and/or phytosanitary defence. We, also implemented the methodology on the prototype of SOA for PA developed in other researches [24] to share via web application information and data with farmers and agronomists. EO system can easily monitor a large area, linking them with SOA and PA methodologies can help to increase agricultural productivity and sustainability. Also

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via this link, it is possible to enable machine learning (ML) capabilities for land suitability evaluation [31, 32], crop identification, yield forecast, and monitor the timing of the agronomic operation. Future research will focus on the implementation ML algorithms tested in previous researches by the same research group [33], such as support vector machines (SVM) and random forests (RF), applied in the context of PA in SOAs and with the aim to share the information with stakeholders, decision-makers, farmers, and agronomists.

References 1. FAO: How to Feed the World in 2050, Rome (2009) 2. Rai, R.: Heat stress in crops: driver of climate change impacting global food supply. In: Singh, P., Singh, R.P., Srivastava, V. (eds.) Contemporary Environmental Issues and Challenges in Era of Climate Change, pp. 99–117. Springer, Singapore (2020) 3. Cassalia, G., Tramontana, C., Calabrò, F.: Evaluation approach to the integrated valorization of territorial resources: the case study of the Tyrrhenian area of the Metropolitan City of Reggio Calabria. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) ISHT 2018. SIST, vol. 101, pp. 3–12. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-92102-0_1 4. FAO: Information and Communication Technology (ICT) in Agriculture, Rome (2017) 5. Lanucara, S., Fugazza, C., Tagliolato, P., Oggioni, A.: Information systems for precision agriculture: monitoring computation of prescription maps. ERCIM News 113, 24–25 (2018) 6. Gebbers, R., Adamchuk, V.I.: Precision agriculture and food security. Science 327(5967), 828–831 (2010) 7. Merenda, M., Felini, C., Della Corte, F.G.: A monolithic multisensor microchip with complete on-chip RF front-end Sensors (Switzerland), 18(1), art. no. 110 (2018). https://doi. org/10.3390/s18010110 8. Merenda, M., Iero, D., Pangallo, G., Falduto, P., Adinolfi, G., Merola, A., Graditi, G., Corte, F.G.D.: Open-source hardware platforms for smart converters with cloud connectivity Electronics (Switzerland), vol. 8(3), art. no. 367 (2019). https://doi.org/10.3390/ electronics8030367 9. Modica, G., Pollino, M., Solano, F.: Sentinel-2 imagery for mapping cork Oak (Quercus suber L.) Distribution in Calabria (Italy): Capabilities and Quantitative Estimation. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) ISHT 2018. SIST, vol. 100, pp. 60–67. Springer, Cham (2019) 10. Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.): ISHT 2018. SIST, vol. 100. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-92099-3 11. Zilioli, M., Lanucara, S., Oggioni, A., Fugazza, C., Carrara, P.: Fostering data sharing in multidisciplinary research communities: a case study in the geospatial domain. Data Sci. J. 18(1), 15 (2019) 12. Aschbacher, J.: ESA’s earth observation strategy and Copernicus. In Satellite earth observations and their impact on society and policy, pp. 81–86. Springer, Singapore (2017) 13. Lautenbacher, C.C.: The global earth observation system of systems: Science serving society. Space Policy 22(1), 8–11 (2006) 14. Esfandiari, M., Ramapriyan, H., Behnke, J., Sofinowski, E.: Earth observing system (EOS) data and information system (EOSDIS) evolution update and future. In 2007 IEEE International Geoscience and Remote Sensing Symposium, pp. 4005–4008, IEEE (2007)

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15. Giuliani, G., Chatenoux, B., Piller, T., Moser, F., Lacroix, P.: Data Cube on Demand (DCoD): generating an earth observation data cube anywhere in the world. Int. J. Appl. Earth Obs. Geoinf. 87, 102035 (2020) 16. Rouse, J.W., Haas, R.H., Schell, J.A., Deering, D., Deering, W: Monitoring vegetation systems in the Great Plains with ERTS. In: ERTS Third Symposium, NASA SP-351 I, pp. 309–317 (1973) 17. Qi, J., Kerr, Y., Chehbouni, A.: External factor consideration in vegetation index development. In: Proceedings of Physical Measurements and Signatures in Remote Sensing, ISPRS, pp. 723–730 (1994) 18. Moriondo, M., Maselli, F., Bindi, M.: A simple model of regional wheat yield based on NDVI data. Eur. J. Agron. 26(3), 266–274 (2007) 19. Benedetti, R., Rossini, P.: On the use of NDVI profiles as a tool for agricultural statistics: the case study of wheat yield estimate and forecast in Emilia Romagna. Remote Sens. Environ. 45(3), 311–326 (1993) 20. Lopresti, M.F., Di Bella, C.M., Degioanni, A.J.: Relationship between MODIS-NDVI data and wheat yield: a case study in Northern Buenos Aires province. Argentina. Inf. Process. Agric. 2(2), 73–84 (2015) 21. Ahmad, F.: Spectral vegetation indices performance evaluated for Cholistan Desert. J. Geogr. Reg. Plann. 5(6), 165–172 (2012) 22. Holben, B.N.: Characteristics of maximum-value composite images from temporal AVHRR data. Int. J. Remote Sens. 7(11), 1417–1434 (1986) 23. Cihlar, J., Manak, D., D’Iorio, M.: Evaluation of compositing algorithms for AVHRR data over land. IEEE Trans. Geosci. Remote Sens. 32(2), 427–437 (1994) 24. Lanucara, S., Oggioni, A., Di Fazio, S., Modica, G.: A prototype of service oriented architecture for precision agriculture. In: Innovative Biosystems Engineering for Sustainable Agriculture, Forestry and Food Production, Lecture Notes in Civil Engineering 67 (2020) 25. Copernicus Open Hub Homepage. https://scihub.copernicus.eu/. Accessed 31 Jan 2020 26. Planet Team. Planet Application Program Interface: In Space for Life on Earth. San Francisco, CA (2017). https://api.planet.com 27. Lewis, A., Lymburner, L., Purss, M.B., Brooke, B., Evans, B., Ip, A., Oliver, S.: Rapid, highresolution detection of environmental change over continental scales from satellite data the Earth Observation Data Cube. Int. J. Digital Earth 9(1), 106–111 (2016) 28. Pollino, M., Modica, G.: Free web mapping tools to characterise landscape dynamics and to favour e-participation. In: Murgante, B., Misra, S., Carlini, M., Torre, C.M., Nguyen, H.-Q., Taniar, D., Apduhan, B.O., Gervasi, O. (eds.) ICCSA 2013. LNCS, vol. 7973, pp. 566–581. Springer, Heidelberg (2013). https://doi.org/10.1007/978-3-642-39646-5_41 29. Saganeiti, L., Favale, A., Pilogallo, A., Scorza, F., Murgante, B.: Assessing urban fragmentation at regional scale using sprinkling indexes. Sustainability 10(9), 1–23 (2018) 30. Scorza, F., Pilogallo, A., Saganeiti, L., Murgante, B., Pontrandolfi, P.: Comparing the territorial performances of renewable energy sources’ plants with an integrated ecosystem services loss assessment: A case study from the Basilicata region (Italy). Sustain. Cities Soc. 2020(56), 102082 (2019). https://doi.org/10.1016/j.scs.2020.102082 31. Modica, G., Pollino, M., Lanucara, S., La Porta, L., Pellicone, G., Di Fazio, S., Fichera, C.R.: Land suitability evaluation for agro-forestry: definition of a web-based multi-criteria spatial decision support system (MC-SDSS): Preliminary Results. In: Gervasi, O., Murgante, B., Misra, S., Rocha, A.M.A.C., Torre, C., Taniar, D., Apduhan, B.O., Stankova, E., Wang, S. (eds.) ICCSA 2016. LNCS, vol. 9788, pp. 399–413. Springer, Cham (2016). https://doi.org/ 10.1007/978-3-319-42111-7_31

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32. Modica, G., Laudari, L., Barreca, F., Fichera, C.R.: A GIS-MCDA based model for the suitability evaluation of traditional grape varieties: the case-study of ‘Mantonico’ Grape (Calabria, Italy). Int. J. Agric. Environ. Inf. Syst. 5, 1–16 (2014). https://doi.org/10.4018/ ijaeis.2014070101 33. De Luca, G., Silva, J.M.N., Cerasoli, S., Araújo, J., Campos, J., Di Fazio, S., Modica, G.: Object-based land cover classification of Cork Oak Woodlands using UAV imagery and Orfeo ToolBox. Remote Sens. 11, 1238 (2019). https://doi.org/10.3390/rs11101238

Polycentrism and Effective Territorial Structures: Basilicata Region Case Study Laura Curatella1(&), Giovanni Fortunato1, Angela Pilogallo1, Lucia Saganeiti1, Valentina Santarsiero1, Alessandro Bonifazi2, and Francesco Scorza1 1

School of Engineering, Laboratory of Urban and Regional Systems Engineering, University of Basilicata, 10, Viale dell’Ateneo Lucano, 85100 Potenza, Italy {laura.curatella,giovanni.fortunato,angela.pilogallo, lucia.saganeiti,valentina.santarsiero, francesco.scorza}@unibas.it 2 DICAR, MITO Lab, Polytechnic University of Bari, Via Orabona, Bari, Italy [email protected] Abstract. The term ‘polycentrism’ describes a model of territorial settlement of all human activities in which there are a plurality of connected centres. Polycentrism refers to two very important aspects: the morphological one, which concerns the distribution of built environment in the territory, and the functional one, which concerns the relations between the different poles. The study for the identification of territorial structures in Basilicata region was conducted through the analysis of several variables: the demographic structure, the infrastructural endowment and the organizational models that condition territorial accessibility. This led to the delineation of a decentralized network scheme, formed by several centralized networks whose nodes are connected to the node of the main network. Three levels of polycentric hierarchy have been identified in Basilicata. Those correspond the urban centres with the highest population density in which the concentration values of services and equipment are meant. The proposed geography represents a relevant starting point to compare ex-ante and ex-post scenario of current programming acts. Keywords: Polycentrism Accessibility


Urban poles
Infrastructural endowment


1 Introduction Defining a polycentric territorial model [1–3] represents a challenge looking at the systematization of spatial data and information in order to understand the mechanisms that determine the spontaneous/endogenous organization of demand and consequently the services and equipment supply. This is an interpretative approach to settlement dynamics, infrastructural endowments and organizational models. Those components strongly influence territorial accessibility and lead citizens to self-determine residence and systematic movements according to criteria of optimization on those individual choices that represent the ways in which space and territory are used. The research for © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1689–1696, 2021. https://doi.org/10.1007/978-3-030-48279-4_159

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rules and criteria contributing to the definition of the polycentric settlement model are useful in planning of sustainable forms of territorial development. This approach is a substantial and critical exercise in the management of so-called “weak demand territories” (i.e. low settlement density) in which rules and standards defined for the organization of large metropolitan aggregates lose their effectiveness. This is the case of Basilicata, one of the regions with the lowest population density in Italy (56.3 inhabitants/sq.km). Furthermore, the region is characterized by a development delay deriving from a secular infrastructural deficit; it is looking for development strategies based on autochthonous resources linked to the system of widespread naturalness and the uniqueness of historical-cultural values and the quality of primary sector productions which recently are in conflict with the widespread settlements of the oil industry [4, 5]. This work considers two main information components for the definition of polycentric geographies: the demographic structure of the settled population and the provision of services and equipment. The first, extensively documented through statistical census data, presents a summary view of the main socio-economic variables of the territory. These have been analyzed considering the trends which emerge from ISTAT census data and annual projections. In particular, demographic trends show the structural territorial weaknesses linked to the depopulation and abandonment of the minor centres. In fact, a continuous migration process intensified over years: since the national “economic boom”, the Fifties and Sixties. The other information component for the definition of polycentric geographies derives from the reconnaissance and detailed mapping of the current offer of public and private services that determine different levels of territorial endowment. The endowment of services and equipment is a parameter that can be interpreted as an indication of territorial quality of life in absence of specific investigation. It assumes additional value as a mean of benchmark with other territorial realities. On the other hand, it can be considered as an assessment of deficit, i.e. the absence of minimum requirements for the supply of services and equipment with reference to the urban functions performed by each territorial unit. For the definition of forms and structures of territorial organization for the Basilicata region according to a polycentric approach (cfr. [6]), the empirical studies conducted by Christaller [7] and Zipf [8] still represents the major references. Their works showed that, through agglomeration economies, within apparently balanced urban systems, cities of different sizes coexist with different economic functions. This explains the reasons for the existence of centres of various sizes and their distribution within the territory according to their size and mutual distance. The result is a specialization of the functions that each centre performs and a hierarchy of the centres themselves. Using open source data and data available online, processed through geographic information systems (GIS), it was possible to define a map of territorial services within the entire Basilicata region [9].

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2 The Data Processing and Construction of the Polycentric Model for Basilicata Basilicata region is characterized by a high degree of structural backwardness that originates from troubled historical events and its peripherical geographic conditions. The demographic structure is characterized by a historical tendency to depopulation as a consequence of migratory processes [10]. Based on the data relating to the demographic structure of the population collected through the latest Censuses, Basilicata is characterized by a negative demographic trend (census data 1991–2011), an ageing population (more than National average of >60 in 2011), a decrease in young people and an increase in foreigners’ presence [11] (that cannot balance the emigration and generates social concerns in small villages). The demographic analysis provides an image of the region that is characterized by a considerable polarization in a few fulcrums and the relevant depopulation of the internal areas which favors the intensification of regional disparities. Areas characterized by population increases are provincial capitals, Potenza and Matera, and municipalities located in their hinterland. In addition to these areas, there are other attractive centres in the region, such as the Vulture for the presence of the FIAT - Sata of Melfi settlement and its related industries, the Ionian area for the development of intensive agriculture and tourist attraction and, in more recent periods, some centres in the Agri Valley which show an appreciable demographic vitality thanks to the large-scale start of oil extraction activities. The rest of the regional territory, which mostly coincides with the mountain area, is characterized by a significant depopulation opposed to settlement fragmentation [12– 15]. This territorial weakness is matched by a fragmented supply of services for the population. Using open source data available online, processed in GIS environment, a map of territorial services for the entire region (including over 17,000 instances) has been defined. Ten macro-categories have been defined: trade, culture, education and training, sport and leisure, tourism, general services, public services, financial services, security and health (Fig. 1). These data, based on PCA techniques combined with geo-statistical elaborations (Kernel density) and territorial classifications to balance supply and demand levels in relation to territorial accessibility parameters, led us to the definition of a polycentric model for Basilicata [16, 17]. Three first, second and third level territorial arrangements have been identified. These areas are represented by: – Potenza and Matera which have an independent role when compare to all the other regional municipalities and therefore correspond to the first level areas; – the Melfi-Venosa-Rionero-Lavello aggregate, in the northern area of the Vulture/Melfese Region, the Lagonegro-Lauria aggregate, in the Lagonegrese/ Pollino area. In this case, a single first level centrality is not recognized, but rather a second level polycentric territorial system; – Policoro, primary node of the Ionian area, that is configured as a second level centre;

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Fig. 1. Map of services in the Basilicata region

– Marsicovetere (Villa d’Agri), Senise and the Genzano-Palazzo S. Gervasio-Irsina aggregate represent the third level centres, i.e. centres that are not characterized by a clear identification of territorial specialities. The definition of the hierarchy of the centres has been accompanied by the analysis of territorial accessibility expressed in terms of travel time that a resident citizen must make in order to use territorial services (see also [18, 19]). The following map (Fig. 2) proposes the polycentric model for Basilicata region obtained through the application of the geo-statistical techniques mentioned above (other relevant tran-scalar reference of the polarization processes of the southern region can be found in [20]. For more extensive documentation on the analytical methodology, it is necessary to consider the work of Curatella [21]. The first, second and third level centralities correspond to the 30 min accessibility isochrone demonstrating that a large part of the regional territory is external to areas of proximity. This determines costs for the population that are often unsustainable and determine internal and external migrations that weaken local demand and contribute to the marginalization of the territory.

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Fig. 2. Isochrone 30′ of the territorial layouts

The area defined by the 30′ isochrone starting from Potenza encloses a population of 125988 inhabitants, the second Provincial capital, Matera, manages to enclose only 72881 inhabitants, a figure slightly higher than the 72765 inhabitants of the Vulture area. Among the second level centres, there is the Pollino area including a low number of inhabitants, about 34438, due to its territorial morphology. Based on the analysis performed, the Genzano area has a population lower than the others, despite being one of the largest areas among the third level centres. In fact, it includes 29437 inhabitants, a lower number when compared to Senise with 33301 and Val d’Agri with 35740.

3 Concluding Remarks and Recommendations for “New Development Policies” Comparing the results obtained and the set of current plans and programs aiming at territorial development policies in Basilicata, only a partial coherence can be assessed. Especially if we consider the main regional development programming documents in force in Basilicata (among all the PO FERS 2014–2020). The general feature of the current approach is to avoid mapping, or generally not to spatialize, development policies and objectives. The results are “space blinded” [22] programming approach and this represents a structural weakness of the programming system [23]. This needs a critical assessment of the “preconditions” of regional development that appear far from an effective description of the territorial organization levels of the centres [24].

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The usefulness of a polycentric reference model for directional governance actions and resources. Moreover, it is reference term for monitoring trends and evaluating the effectiveness of development investments for both public and private actors. At regional level, the objective to reinforce a polycentric model deliver a process shifting the services and equipment enhancement from one or two dominant regional centres to a number of small and medium sized centres ensuring minimum standards for their local demand basin. Such approach will imply a strategic alliance between cities, particularly where critical mass is lacking, and rural-urban partnerships [25] exploring common potential and joint development projects in a sustainable perspective [26–28]. The primary need is to connect cities, “metropolitan” regions and their hinterlands through more efficient links so as to bring rare services (in terms of use) closer to peripheral populations. Since public infrastructural investment is an unrealistic prospective due to weakness of current public capacity, forms of territorial cooperation oriented to the efficient organization of the main public services supply should be undertaken on the basis of a rational model [29, 30] of context based territorial organization [31]. This work contributes to achieve this goal offering, through a renewed rationality [32], a synthetic representation to compare localization choices, financing and local policies with the current levels of supply/demand of services and equipment on a regional basis.

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Cycling Infrastructures and Community Based Management Model for the LagonegroRotonda Cycling Route: ECO-CICLE Perspectives Giovanni Fortunato1(&), Alessandro Bonifazi2, Francesco Scorza1 and Beniamino Murgante1

,

1

2

School of Engineering, Laboratory of Urban and Regional Systems Engineering, University of Basilicata, 10, Viale dell’Ateneo Lucano, 85100 Potenza, Italy [email protected], {francesco.scorza, beniamino.murgante}@unibas.it DICAR, MITO Lab, Polytechnic University of Bari, Via orabona, Bari, Italy [email protected]

Abstract. In Basilicata region (Italy), the “Lagonegro-Rotonda” cycling route had been realized in the framework of the policy instrument “The Pact” (Basilicata Region Development Pact - DGR 517 of 17 May 2016) managed by Basilicata Region Mobility and Infrastructures department. The realization of this cycling project involved eight Municipalities under leading role of Nemoli Municipality and FAL Ferrovie Appulo Lucane s.r.l., concessionaire of disused railway sections located in the southern part of the region. In the framework of ECO-CICLE project, aimed at reinforcing a European network for the promotion of cycle-tourism in natural areas, the University of Basilicata and Basilicata Region delivered improvement for cycling sector in Basilicata pursuing the objective to make bicycle the most adopted means of transport in accessing natural heritage. Cycling represents a strategic way to foster economic revival of remote and inland areas through a sustainable perspective. Both the improvement of regional operational programs supporting strategic development policies and concrete actions increasing users’ and stakeholders’ awareness represent the focus in order to support cycle-tourism service local chains. This work identifies the main methodological references to be considered in project implementation. It contributes to deliver effective integrated development strategies for active mobility enhancement at urban and territorial scale starting from the evidences of governance actions characterizing Basilicata Region active/green mobility infrastructures policies. Keywords: Cycle-tourism development


Sustainable transport
Sustainable urban

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1 Introduction ECO-CICLE is an Interreg Europe project pursuing the main objective to reinforce a European network for the promotion of cycle-tourism in natural areas. The focus on cycling infrastructures as a mean to promote and ensure accessibility to natural resources is particularly relevant for those European regions characterized by low density settlements and high environmental and landscape values. The low density represents a structural weaknesses to territorial development and is representative of the progressive abandonment of small villages and consequently of transport infrastructures. It is the case of abandoned minor railways that cannot be sustainable under traditional transport modes but could become the structure for alternative territorial accessibility models based on active mobility and in particular cycling. Those local concerns are reinforced in the framework of global strategies to mitigate pollution in the transport sector. Urban mobility is the main source of pollution in the transport sector producing 25% of European greenhouse gas emissions [1]. To deal with this negative scenario, a set of European Union’s strategies [2–7] show that creating sustainable cities and communities is a priority both nationally and internationally. In fact, the 2030 Agenda for Sustainable Development of the United Nations (UN) has established goals to be achieved including Sustainable Development Goal (SDG) target 11.2: “by 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons” [8]. Moreover, according to the New Urban Agenda, it is necessary to integrate “transport and mobility plans into overall urban and territorial plans and promoting a wide range of transport and mobility options, in particular by supporting: (a) a significant increase in accessible, safe, efficient, affordable and sustainable infrastructure for public transport, as well as non-motorized options such as walking and cycling, prioritizing them over private motorized transportation;… (c) Better and coordinated transport and land-use planning, which would lead to a reduction of travel and transport needs, enhancing connectivity between urban, periurban and rural areas” [9]. Cycling is a transport mode which allows “to reduce congestion and pollution while improving efficiency, connectivity, accessibility, health and quality of life” [9]. The promotion of cycling is one of the strategies to deal with Climate Change “including holding the increase in the global average temperature to well below 2 °C above preindustrial levels and pursuing efforts to limit the temperature increase to 1.5 °C above pre-industrial levels” [9]. So, the contribution of the ‘smart urban mobility’ is relevant in creating cities that are sustainable from an environmental, social and economic point of view. Smart mobility “could also be seen as a set of coordinated actions addressed at improving the efficiency, the effectiveness and the environmental sustainability of cities” [10]. Furthermore, Pinna et al. [11] state that “mobility cannot be considered smart if it is not sustainable, the most substantial difference between sustainable mobility and smart mobility is that smart mobility is an integrated system comprised of several projects

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and actions all aimed at sustainability”. According to Lyons G. [12], smart urban mobility is defined as follows: “connectivity in towns and cities that is affordable, effective, attractive and sustainable”. The development of active mobility (cycling and walking) is therefore one of the conditions for a ‘smart city’ to be defined. In fact, ‘smart city’ can be defined as such “when investments in human and social capital and traditional (transport) and modern (ICT) communication infrastructure fuel sustainable economic growth and a high quality of life, with a wise management of natural resources, through participatory governance” [13]. In this context, a new approach to mobility is required compared to the past. According to the traditional approach, transport system performance was evaluated considering speed, convenience and affordability of motor vehicle travel. Instead, ‘sustainable mobility approach’ is based on a “multimodal system of evaluation that considers a range of modes, objectives, impacts and improvement options” [14].

2 European Good Practices Highlight To encourage the development of active sustainable mobility, “the provision of welldesigned networks of safe, accessible, green and quality streets and other public spaces that are accessible to all… considering the human scale” is necessary as well as the implementation of urban planning strategies and measures that allow to bring “people into public spaces and promoting walkability and cycling with the goal of improving health and wellbeing” [9]. The city of Berlin is an interesting European urban example of polycentric urban structure [15, 16]. Compact urban patterns determines a reduction in travel at the urban scale, increasing the propensity to move into sustainable way. Built environment variables have a relevant influence on the peoples’ urban travel choice and make walking and cycling more attractive. The presence of public services [17] as potential attractors of movement at the neighborhood scale significantly affects the use of bicycles in daily commuting. Several European cities have adopted strategies aimed at promoting sustainable active mobility at the expense of the use of motorized vehicles: the increase of 30 Zones in Paris (at the end of 2017, 45% of Parisian streets had a speed limit of 30 km/h [18], the “Superblock” model of Barcelona [19] and the city of Bilbao, whose Plan de Movilidad Urbana Sostenible (PMUS) 2015–2030 provides that 87% of urban streets will have a speed limit of 30 km/h [20]. Measures characterizing these examples are aimed at reducing both the need to travel and the travel distances to reach destinations (also through implementation of land-use policy measures) and encouraging modal shift. Moreover, the need to increase the efficiency of the public transport system is important in order to develop a multimodal approach to mobility. “Integrated urban and territorial planning, including planned urban extensions based on the principles of equitable, efficient and sustainable use of land and natural resources, compactness, polycentrism, appropriate density and connectivity, and multiple use of space, as well as mixed social and economic uses in built-up areas,” should be promoted “in order to … reduce mobility challenges and

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needs and service delivery costs per capita and harness density and economies of scale and agglomeration, as appropriate” [9]. Despite the examples mentioned above, the use of bicycles is not uniform across Europe. Based on a research study, 44% of daily journeys between 1 km and 2.5 km in length are made by bicycle in Netherlands [21]. Instead, in European countries, about 30% of the urban travel by car covers distances of less than 3 km [22–24]. The use of private cars for shorter urban trips is one of the main causes of polluting emissions. In particular, in 2016, Italian road transport gas emissions were 93.5% of the transport sector and about 22.8% of the total national greenhouse gas emissions [25]. Despite the current negative scenario, bicycling contributes to make cities ‘lowcarbon’. In fact, Low-Carbon City Development Program (LCCDP) published by the World Bank highlights that the promotion of cycling is a low-carbon strategy in order to face Climate Change [26]. “Safe, sufficient and adequate pedestrian and cycling infrastructure” represents one of the factors that have the greatest impact on users’ propensity to move actively and sustainably. In fact, based on several studies [27–31], the creation of a bicycle infrastructure determines both an increase in the use of bicycle in daily commutes and a reduction in the probability of accidents for all street users.

3 Regional Commitment Towards Cycling Development To promote the use of bicycle in Basilicata region, University of Basilicata (project partner) and Basilicata Region (managing authority) took part in the ECO-CICLE project, funded by INTERREG Europe for 1,332,795.00€. This project is based on the awareness that the bicycle can become the best means of transport in accessing natural heritage while fostering economic revival of remote areas through a sustainable modality of tourism. To develop cycle-tourism in natural heritage context, ECO-CICLE project aims to improve operational programs and regional development policies to allocate structural funds in sustainable mobility infrastructure and support to cycle-tourism service providers. ECO-CICLE uses the cross-border partnership tool and the experience of advisory partner ECF. The partnership involves six countries: Spain, Poland, Germany, Slovenia, Italy. In southwest part of the Basilicata region, the “Ciclovia Lagonegro-Rotonda”, promoted as strategic intervention by the Basilicata Region Development Pact - DGR 517 of 17 May 2016, was carried out. The realization of this cycling project involved 8 Municipalities, of which leading Municipal Administration was Nemoli Municipality, and FAL Ferrovie Appulo Lucane s.r.l., concessionaire of disused railway sections. The construction of the cycle route (36 km in length) consisted of the reconversion of the section of a disused railway line that required a total cost of 3mil €, financed by the 2014–2020 FSC. The University of Basilicata (LISUT) and Basilicata Region contributed to the design of an innovative management model for the “Lagonegro-Rotonda” cycling route project based on participation of institutional actors and the main stakeholder groups including local communities, the tourist enhancement process for the territorial area, territorial promotion actions and coordinated labeling. The elaboration of an action plan is envisaged by the project as a mean to define concrete actions to promote the cycling sector.

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4 Final Remarks and Perspectives The development of cycling includes soft actions aimed at raising public awareness of the advantages deriving from modal change in favor of sustainable active mobility, in order to achieve social sustainability [32–34]. To promote widespread cycling, it is necessary to dimension the planning standards both at the urban and territorial scale in favor of the bicycle transport mode and to plan bicycle infrastructures [35, 36]. Infrastructure-service and public attendance characterizing cycling have grown in the last decade. Bicycle is not only a sustainable mobility driving element, in particular for urban environment, but also a factor that can encourage the implementation of sustainable touristic activities in natural protected areas. Cycling is a climate friendly transport mode and its promotion represents a strategic priority since it has the potential for attracting added-value tourism in many European territories. Currently, cycle-tourism can also benefit from the development of urban mobility based on the use of the bicycle. Furthermore, cycle-tourism can be considered an opportunity for a territory in terms of territorial management and land use planning: it creates services and employment in remote areas, characterized by high unemployment rates and aged populations. Since many European territories are characterized by the presence of natural heritage and archeological areas [37], cycle-tourism could improve its sustainable use. Indeed, the bicycle use is compatible with the preservation of biodiversity and ecosystems. Cycling has positive effects on sustainable tourism, mobility and public well-being. Travelling by bicycle brings new opportunities for employment in rural areas, thus ensuring its contribution to local development. A relevant example of sustainable European tourism product is ‘Eurovelo’, the European cycle route network, i.e. 15 long distances cycle route crossing the continent [38]. The ECO-CICLE project aims to determine the favorable conditions for the development of cycle-tourism in areas characterized by natural heritage. To achieve this goal, the exchange of expertise and information on bicycle-related regional policies (tourism, transport, etc.) and strategies at the European level is a relevant step. This ensures that bicycle use achieves its potential and competence building both in cities and in remote areas to improve cycling, sustainable tourism promotion and the sustainable use of natural heritage in natural protected areas [39, 40]. In the southwest part of the Basilicata region, the local stakeholders who took part in the ECO-CICLE project shared the common agreement to consider cycle-tourism strategic to favor a sustainable local development and to bring benefits to local communities and small and medium-sized enterprises. In the ECO-CICLE project, the need to channel resources has emerged so that cycle-tourism ensures its contribution to local development, drafting a plan consistent with its optimization and based on a common territorial strategy and approach. This allows to avoid funds’ dissemination in local projects unconnected. Furthermore, it is necessary to plan the integrated management of the cycle infrastructure, placing two resources at the center of the planning and design action: people, i.e. residents and travelers, and the territories. Travelers and local communities need to start a new deal

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based on the implementation of social and economic cohesion networks: residents have the opportunity to develop the ability to feel and be a community while travelers are placed in conditions to immersive and authentic experiences supported by local communities. So, the designer of cycle-tourism-related itineraries should take into account the presence of a bottom-up demand. This presupposes the recognition of production chains, the consolidation of citizenship and business networks, through cooperative methods, which allow to face the complexity of current challenges but also taking care of existing natural risks [41–44]. Therefore, the planning, design and development of strategies and policies requires new governance logics, based on systems of rules capable of guiding and supporting development processes at the local scale [45]. The need to draw up an integrated itinerary plan has to include the conditions for the participation of various stakeholders in the phase of projects and networks implementation. In the ECO-CICLE project, the cycle infrastructure management model is aimed at: • contributing to effective models for the construction of integrated strategies for active mobility at the urban and territorial scale; • contributing to governance actions taking place in the Basilicata region also contrasting territorial fragmentation [46, 47]; • forming multi-stakeholder monitoring networks on the case studies of the project (also adopting innovative negotiation techniques [48, 49]; • defining an action plan transferable in other territorial contexts.

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39. Scorza, F., Grecu, V.: Assessing sustainability: research directions and relevant issues. In: Gervasi, O., Murgante, B., Misra, S., Rocha, C.A.M.A., Torre, C., Taniar, D., Apduhan, O. B., Stankova, E., Wang, S. (eds.) Computational Science and Its Applications – ICCSA 2016: 16th International Conference, Beijing, China, July 4-7, 2016, Proceedings, Part I, pp. 642–647. Springer International Publishing, Cham (2016) 40. Dvarioniene, J., Grecu, V., Lai, S., Scorza, F.: Four perspectives of applied sustainability: Research implications and possible integrations. Lect. Notes Comput. Sci. (including Subser. Lect. Notes Artif. Intell. Lect. Notes Bioinformatics). LNCS, vol. 10409, pp. 554–563 (2017) 41. Giorgio, G.A., Ragosta, M., Telesca, V.: Application of a multivariate statistical index on series of weather measurements at local scale. Measur. J. Int. Measur. Confederation 112, 61–66 (2017) 42. Greco, M., Mirauda, D., Squicciarino, G., Telesca, V.: Desertification risk assessment in southern Mediterranean areas. Adv. Geosci. 2, 243–247 (2005) 43. Blasi, M.G., Liuzzi, G., Masiello, G., (…), Telesca, V., Venafra, S.: Surface parameters from SEVIRI observations through a kalman filter approach: Application and evaluation of the scheme in Southern Italy. Tethys J. Mediterr. Meteorol. Climatol. 2016(13), 3–10 (2016) 44. Lay-Ekuakille, A., Telesca, V., Ragosta, M., (…), Kapita Mvemba, P., Kidiamboko, S.: Supervised and characterized smart monitoring network for sensing environmental quantities. IEEE Sens. J. 17(23), 7812–7819 (2017). 7987678 45. Las Casas, G., Scorza, F., Murgante, B.: Razionalità a-priori: Una proposta verso una pianificazione antifragile. Sci. Reg. 18, 329–338 (2019) 46. Scorza, F., Pilogallo, A., Saganeiti, L., Murgante, B., Pontrandolfi, P.: Comparing the territorial performances of renewable energy sources’ plants with an integrated ecosystem services loss assessment: a case study from the Basilicata region (Italy). Sustain. Cities Soc. 56, 102082 (2020) 47. Saganeiti, L., Pilogallo, A., Faruolo, G., Scorza, F., Murgante, B.: Territorial fragmentation and renewable energy source plants: which relationship? Sustain. 12, 1828. 12, 1828 (2020) 48. Campagna, M., Cesare, E.A. Di, Cocco, C.: Integrating Green-Infrastructures Design in Strategic Spatial Planning with Geodesign. Sustain. 12, 1820. 12, 1820 (2020) 49. Moura, A.C.M., Campagna, M.: Co-design: Digital tools for knowledge-building and decision-making in planning and design. DISEGNARECON. 11, ED.1-ED.3 (2018)

Best Practices of Agro-Food Sector in Basilicata Region (Italy): Evidences from INNOVAGRO Project Francesco Scorza1(&) , Beniamino Murgante1 , Angela Pilogallo1 , Lucia Saganeiti1 , Valentina Santarsiero1, Giuseppe Faruolo1, Giovanni Fortunato1, Carmen Izzo1, Rosanna Piro1, and Alessandro Bonifazi2 1

University of Basilicata, Viale dell’Ateneo Lucano 10, 85100 Potenza, Italy {francesco.scorza,beniamino.murgante, angela.pilogallo,lucia.saganeiti, valentina.santarsiero,giuseppe.faruolo, giovanni.fortunato,carmen.izzo, rosanna.piro}@unibas.it 2 Polytechnic University of Bari, Via Amendola 126/b, 70126 Bari, Italy [email protected]

Abstract. The production context linked to the agricultural sector in Basilicata is not very competitive, especially in international contexts. In fact, there are few companies that occupy a good market position beyond the border. The reasons are to be found in the high degree of fragmentation, in the high percentage of small businesses, mainly family-run, and a general low propensity to entrepreneurship. The low aptitude of agricultural producers to form consortia or establish any other formal collaboration is a further factor on which to act in order to improve the competitiveness of their respective sectors. The project “Development of an innovative network for the promotion of agro-food enterprises in the Adriatic-Ionian area” (INNOVAGRO) was born with the aim of enhancing existing virtuous models and proposing innovative solutions for the creation of a Transnational Agro-food Network. The aim is the creation of a platform that integrates ICT technologies and eco-sustainable agricultural practices in order to promote the exchange of positive experiences on an intra-regional scale. This platform could subsequently serve as a support for the implementation of new development strategies based on synergies between the tourism and agro-food production sectors. Part of the project concerned the construction of a “best practice guide” containing examples of existing companies in the project partner countries that stand out for their innovative production of agri-food products and for the promotion of SMEs on international markets. This work illustrates the four best practices selected within the context of the Basilicata region. Keywords: INNOVAGRO


Best practices
Agro-food
Basilicata region

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1 Innovagro Project Overview The territory of Basilicata is characterized by morphological differences, especially in elevation, ranging from sea level to over 2200 m above sea level. The population density of 56 inhabitants per square kilometer is very low compared to the Italian national population (200 inhabitants per square kilometer), thus highlighting a territory where anthropic pressures are decidedly contained [1]. It is a rural territory, largely covered by agricultural activities, with the presence of only two cities Potenza and Matera, and a high number of small municipalities, especially in the inland areas, characterized by low settlement density [2–5]. The total agricultural area is about 489,200 ha (equal to almost 49% of the regional area): 368,726 ha are used for agriculture, of which 57.72% is occupied by arable land and 10.77% by orchards mainly in hilly areas. permanent grassland occupies about 31% of the remaining area, especially in inland mountain areas. More than 2000 hectares are cultivated with broadleaf trees and 30.74 ha are cultivated with energy crops [1]. The forest areas are characterized by a natural environment with endemic species and small plots of land integrated in an agricultural and landscape mosaic. Basilicata’s rural landscape is strongly characterized by the spread of agricultural activities. The useful agricultural area (UAA), in fact, represents more than half of the land area. Consequently, agricultural activities play a significant role in terms of: land management, management of natural resources, environmental care and quality of life [6]. The agricultural sector of the region, in spite of the contraction of employment in the inter-censual period, maintains an incidence on the total number of employed people which is almost double compared to the EU-27 total, confirming the strongly agricultural and rural character of the region [7]. In this context the project “Development of an innovative network for the promotion of agro-food enterprises in the Adriatic-Ionian area” (INNOVAGRO) was born with the aim of enhancing existing virtuous models and proposing innovative solutions for the creation of a Transnational Agro-food Network. The aim is the creation of a platform that integrates ICT technologies and eco-sustainable agricultural practices in order to promote the exchange of positive experiences on an intra-regional scale. This platform could subsequently serve as a support for the implementation of new development strategies based on synergies between the tourism and agro-food production sectors. With regard to the sustainability of the agricultural production sector, some authors [8, 9] suggest the need to reorder priorities on the basis of a hierarchic scale (Fig. 1) that first of all aims at increasing the resilience of productive land as well as facilitating/resolving issues related to the disposal of wastewater from production processes. In the INNOVAGRO project, a “best practice guide” containing examples of existing companies in the project partner countries that stand out for their innovative production of agri-food products and for the promotion of SMEs on international markets was produced. This work illustrates the four best practices selected within the

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Fig. 1. Agricultural by-product, coproduct and waste management hierarchy [8].

context of the Basilicata region highlighting the innovation, transferability and sustainability characters [10, 11].

2 Best Practices in Basilicata Agrofood Sector Part of the project development involved the production of a manual with guidelines and good practices on the innovative production of agro-food products and their promotion on international markets. The existing good practices concern the agro-food sector in the participating countries, focusing mainly on their innovative character. Below there are four existing best practices developed in Basilicata region. The agro-food sector concerning Processing and manufacturing of agricultural products. The selection criteria is not oriented to asses production or process quality in agro-food sector, but consider the relevance of the selected experience on horizontal principles: context based evidences, social innovation in agro-food and extroversion potential. 2.1

The Agri-Ludoteca

The farm Tropiano was founded in 1973 with the main purpose of taking care of plants and fruits that comes from it. In particular, it deals with the production and distribution of apples, pears and high-quality vegetables. The strategic position of the company has always attracted many curious and passionate ornithologists intrigued by the migration of numerous species of birds. In 2016, in fact, the company began to take an interest in teaching, giving rise to the first Agri-ludoteca in the Basilicata region, named

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Melagioco. In 2017 the company was recognized by the local authorities as an Educational Farm, opening its own world, dedicated to research and different types of sustainable agriculture, both schools and universities [12]. The innovative character of this enterprise is based on the principles of ecosustainability of the agro-food sector and therefore organizes educational walks and recreational workshops for school groups and families. Inside the Melagioco Agriludoteca specific spaces have been used to stimulate children’s imagination and desire to get involved. In the area of the workshops you can participate in Agri-laboratories kitchen, agri-laboratories on lost arts or educational activities on recycling, to learn the importance of respect for the environment. For teaching of the basic notions of agricultural world, a flowerbed has been set up where it is possible to observe the life cycle of plants, and various sensory laboratories with the theme “can you recognize what you eat?” developing: touch, sight and smell. The farm is targeted to small and medium enterprises in the area, who want to offer customers quality products, at zero kilometer and affordable prices. The particular case is an excellent example of how to develop alternative solutions for the diffusion of natural products and at the same time educate young and old to build an eco-sustainable world. Therefore, the example is certainly transferable to the places of agricultural production, where companies are open to innovation and diversification with the aim of inclusion and participation of the community. 2.2

Cannabis Sativa L Cultivation

Since its birth the essential Lucanapa’s objective was to protect and improve the environment and not to damage it. Indeed, the producer members respect a regulation that minimizes the environmental impact of agriculture. This is made possible also thanks to the cultivation they have decided to adopt, in fact, Cannabis Sativa L, is a fairly robust plant that can guarantee a good harvest while minimizing the canonical cultivation inputs. It can be used for food, cosmetics, textiles, bio-building and pharmaceuticals. Lucanapa has created a short, ring-shaped supply chain that produces traceable products from production to product packaging [13]. The regulation followed by Lucanapa has several aspects of innovation including: not utilising herbicides and pesticides; not utilising water; the only use of organic fertilizers; the need to have shared storage points in the production areas depending on the concentration of other cultivated fields. Moreover, being characterized by a rapid growth, Cannabis Sativa L cultivation contributes substantially to carbon fixation and therefore to the reduction of CO2 present in the atmosphere. Furthermore, since it is a bio-accumulator it might be utilized also as an instrument of environmental protection and land conservation/restoration, possibly being as well the economic expression of a new informed society. The company contributes, with its product, to the achievement of environmental sustainability objectives regarding carbon emissions. This example is transferable to agricultural production places, where companiesare open to innovation and diversification. The primary objective of Lucanapa is precisely to activate a sustainable supply chain process that foster the economic development, through agricultural activities able at the same time to protect the territory and the environment, improve human living conditions and create additional employment

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opportunities against depopulation and abandonment of the territory. The particular case provides an excellent example of sustainability understood as a principle of solid link between agriculture, the environment and economic development. To this regard it is important to both improve the knowledge, through research and technology exploitation, and raise awareness through information activities. 2.3

Snail Farming

La Chiocciola is a young company engaged in the breeding of the snail helix aspersa muller. The company aims to offer a product with natural raw materials and absolute quality. This happens thanks to the passion, the love of the land and the strong attachment to values. They produce beauty products, sauces and pates from snail slime. The company also carries out planning and consulting activities for new farms. Concerning the innovation, the snail drool is not replicable in the laboratory reason that makes it 100% a natural cure. The Chiocciola feeds the snails with organic vegetables grown exclusively for their diet, raised in a habitat biologically perfect and suitable to enhance the qualities, allowing nature to take its course without altering the regular processes of development. The snails grow in open fields and are mainly fed with field vegetables. The burr extraction is done through the method of manual stimulation that avoids any kind of stress to the snails and saves their lives. This best practice provides an excellent example of how alternative solutions can be developed for the spread of livestock products. The example is transferable to places of agricultural production, where companies are active and want to innovate and diversify. 2.4

Saffron Cultivation

The agricultural cooperative Basilicata Zafferano was founded in 2016, on the initiative of twelve producers, who operate in the municipalities of the Province of Potenza and Matera (Basilicata region, Italy). The cooperative avails itself of the valuable collaboration of the Faculty of Agriculture of the University of Basilicata, which in the last three years has tested the product (saffron) on experimental fields in some municipalities of the Basilicata region. The cooperative aims to create a special niche product and to spread the cultivation of saffron in the Basilicata region, since this cultivation can be practiced throughout the region, and at an altitude of between 400 and 850 m above sea level. The union of saffron producers is intended to meet the need for cooperation and sharing of expertise that the saffron production sector does not have today, highlighting the need to join forces to be able to optimize the production processes and increase the quality, on the one hand, and on the other to join forces to address the current market that requires product quantities and diversification of supply. This specific best practice provides an excellent example of how alternative solutions can be developed for the spread of underdeveloped agricultural products. It also highlights the importance of cooperation between agro-food companies and universities, which helps to improve the knowledge and skills of companies.

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The example is transferable to places of agricultural production, where companiesare open to innovation and diversification.

3 Final Remarks The lack of competitiveness of the agro-food supply chains often lies in the inability to react actively to the stress imposed by other sectors of the economy, often remaining completely outside the proposals made [14, 15]. Focusing on innovation is important because, as already pointed out in another work [16, 17], the primary productive sector can only be an engine of economic development if the actors involved are trained on the basis of the needs and requirements related to innovation and research, and are assisted through new models of agricultural services organization. Moreover, the United Nations Convention to Combat Desertification (UNCCD) [18] also recognizes the role of good agricultural management across the board [19] with respect to other issues such as stopping soil degradation, maintaining or improving ecosystem services, increasing the resilience of land and earth-dependent populations, and seeking synergies with other environmental objectives considering also environmental risks [20–24]. According to previous studies [25–27], Basilicata has a still unexpressed potential to relaunch its agro-food sector. On the other hand, in order to make the primary sector more resilient and competitive, it is essential to diversify products and services creating positive synergies even across different sectors [27–30]. Some works have already highlighted, for example, the virtuosity of the Vulture area which has been able to integrate the attractiveness of the territory with the characterization of its most typical agro-food products [31–33]. The four best practices analyzed point out aspects of innovation, transferability and sustainability that can characterize projects for the relaunch of competitiveness and highlight potential benefits deriving from outcomes as the platform to be developed in the INNOVAGRO project framework. The primary sector of the Basilicata region, penalized by small size of companies, farmers’ ageing, high percentage of companies in morphologically disadvantaged areas, low level of education, could benefit from the implementation of the digital platform able to support small and medium enterprises (SME), through e-incubators, e-business network, and other self-assessment tools. Further expected results are strengthening the links between R&D Institutes, SMEs, and Regional & Local authorities in the field of innovative entrepreneurship and increasing the use of environment– friendly farming practices.

References 1. Istat.it. https://www.istat.it/. Accessed 1 July 2019 2. Saganeiti, L., Favale, A., Pilogallo, A., Scorza, F., Murgante, B.: Assessing urban fragmentation at regional scale using sprinkling indexes. Sustainability 10, 3274 (2018)

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3. Pilogallo, A., Saganeiti, L., Scorza, F., Las Casas, G.: Tourism Attractiveness: Main Components for a Spacial Appraisal of Major Destinations According with Ecosystem Services Approach, pp. 712–724. Springer, Cham (2018) 4. Saganeiti, L., Pilogallo, A., Scorza, F., Mussuto, G., Murgante, B.: Spatial indicators to evaluate urban fragmentation in basilicata region. In: Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics), vol. 10964. LNCS, pp. 100–112 (2018). ISBN 9783319951737 5. Scorza, F., Pilogallo, A., Saganeiti, L., Murgante, B., Pontrandolfi, P.: Comparing the territorial performances of Renewable Energy Sources’ plants with an integrated Ecosystem Services loss assessment: a case study from the Basilicata region (Italy). Sustain, Cities Soc. 56, 102082 (2020) 6. Basilicata Region Programma di Sviluppo Rurale Basilicata 2014-2020, p. 862 (2015) 7. Eurostat Unemployment statistics at regional level. Stat. Explain. 2018, pp. 1–22 (2018) 8. Statuto, D., Frederiksen, P., Picuno, P.: Valorization of agricultural by-products within the “energyscapes”: renewable energy as driving force in modeling rural landscape. Nat. Resour. Res. 28, 111–124 (2019) 9. Las Casas, G., Scorza, F., Murgante, B.: Razionalità a-priori: una proposta verso una pianificazione antifragile. Ital. J. Reg. Sci. 2, 329–338 (2019) 10. Dvarioniene, J., Grecu, V., Lai, S., Scorza, F.: Four perspectives of applied sustainability: research implications and possible integrations. In: Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics). LNCS, vol. 10409, pp. 554–563 (2017). ISBN 9783319624068 11. Scorza, F., Grecu, V.: Assessing Sustainability: Research Directions and Relevant Issues. In: Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics), vol. 9786, pp. 642–647 (2016). ISBN 9783319420844 12. Corsi ricreativi| Tramutola, Pz| Azienda Agricola Tropiano Available online: https://www. aziendaagricolatropiano.it/melagioco. Accessed 31 Jan 2020 13. Home - la filiera corta della canapa in basilicata - Associazione Lucanapa. https://www. lucanapa.com/. Accessed 31 Jan 2020 14. Conto, F., La Sala, P., Papapietro, P.: Organization and structure of the chain in the Integrated Projects of Food Chain in Basilicata region: the effects on the new rural dynamics (2010) 15. Berti, G., Mulligan, C.: Competitiveness of small farms and innovative food supply chains: the role of food hubs in creating sustainable regional and local food systems. Sustainability 8, 616 (2016) 16. Contò, F., Fiore, M., La Sala, P., Papapietro, P.: The role of education, knowledge and human resources for the agricultural development in the perspective of new cap: an hypothesis of change in basilicata. Appl. Stud. Agribus. Commer. 6, 123–129 (2012) 17. Scorza, F., Attolico, A.: Innovations in promoting sustainable development: The local implementation plan designed by the province of Potenza. Lect. Notes Comput. Sci. (including Subser. Lect. Notes Artif. Intell. Lect. Notes Bioinformatics), vol. 9156, pp. 756– 766 (2015) 18. Minelli, S., Erlewein, A., Castillo, V.: Land degradation neutrality and the UNCCD: from political vision to measurable targets. In 2017, pp. 85–104 (2017) 19. Salvia, R.: An iterative approach for knowledge production in the agricultural systems and insights for IS development. Int. J. Agric. Environ. Inf. Syst. 9 20. Giorgio, G.A., Ragosta, M., Telesca, V.: Application of a multivariate statistical index on series of weather measurements at local scale, Measurement: J. Int. Measur. Confederation 112, 61–66 (2017)

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21. Greco, M., Mirauda, D., Squicciarino, G., Telesca, V.: Desertification risk assessment in southern Mediterranean areas. Adv. Geosci. 2, 243–247 (2005) 22. Blasi, M.G., Liuzzi, G., Masiello, G., Serio, C., Telesca, V., Venafra, S.: Surface parameters from SEVIRI observations through a kalman filter approach: Application and evaluation of the scheme in Southern Italy. Tethys J. Mediterr. Meteorol. Climatol. 2016(13), 3–10 (2016) 23. Lay-Ekuakille, A., Telesca, V., Ragosta, M., Giorgio, G.A., Kapita Mvemba, P., Kidiamboko, S.: Supervised and characterized smart monitoring network for sensing environmental quantities. IEEE Sens. J. 17(23), 7812–7819 (2017). 7987678 24. Saganeiti, L.; Pilogallo, A.; Izzo, C.; Piro, R.; Scorza, F.; Murgante, B. Development Strategies of Agro-Food Sector in Basilicata Region (Italy): Evidence from INNOVAGRO Project. In Proceedings of the Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics), LNCS, vol. 11624, pp. 347–356. Springer Verlag (2019) 25. Pilogallo, A., Saganeiti, L., Scorza, F., Murgante, B.: Ecosystem services’ based impact assessment for low carbon transition processes. TeMA - J. L. Use, Mobil. Environ. 12, 127– 138 (2019) 26. Pilogallo, A., Saganeiti, L., Scorza, F., Murgante, B.: Ecosystem Services Approach to Evaluate Renewable Energy Plants Effects, pp. 281–290. Springer, Cham (2019) 27. Sidali, K.L., Spiller, A., Schulze, B.: Food, Agriculture and Tourism: Linking Local Gastronomy and Rural Tourism: Interdisciplinary Perspectives. Springer (2011). ISBN 9783642113611 28. Fang, W.-T.: Rural Tourism. In: Tourism in Emerging Economies, pp. 103–129. Springer, Singapore (2020) 29. Quaranta, G., Citro, E., Salvia, R.: Economic and social sustainable synergies to promote innovations in rural Tourism and local development. Sustainability 8, 668 (2016) 30. Contò, F., La Sala, P., Papapietro, P.: The metapontum agro-food district of quality. In: Agricultural and Environmental Informatics, Governance and Management, pp. 122–151. IGI Global 31. Bencivenga, A., Vollaro, P.D., Forte, F., Giampietro, A.M., Percoco, A.: Food and wine Tourism in basilicata. Agric. Agric. Sci. Procedia 8, 176–185 (2016) 32. Merve Baş, R.A.: Sayı: 41, Mart 2017, s. 400–421 Kırsal Gelişim Planlarında Turizme Yaklaşım: Basılıcata Bölgesi Örneği (2017) 33. Picuno, P., Stanovčić, T., Moric, I., Dimitrijević, A., Sica, C.: The valorization of vernacular farm buildings for an innovative rural tourism. In: Proceedings of the 43rd International Symposium on Agricultural Engineering, Actual Tasks on Agricultural. Engineering. Opatija, Croat. 24–27 February 2015, pp. 807–817 (2015)

RES and Habitat Quality: Ecosystem Services Evidence Based Analysis in Basilicata Area Valeria Muzzillo1(&), Angela Pilogallo1, Lucia Saganeiti1, Valentina Santarsiero1, Beniamino Murgante1, and Alessandro Bonifazi2 1

2

School of Engineering, University of Basilicata, 85100 Potenza, Italy [email protected], {angela.pilogallo,lucia.saganeiti, valentina.santarsiero,beniamino.murgante}@unibas.it DICAR, MITO Lab, Polytechnic University of Bari, Via Orabona, Bari, Italy [email protected]

Abstract. In the field of environmental protection, the reference to ecosystem services (ES) - the benefits that human beings derive, directly or indirectly, from ecosystem functions- is increasingly widespread. The objectives of the new energy strategy try to combine two public interests: Renewable Energy Sources (RES) and the landscape and its cultural, environmental and naturalistic values. However, RES has a spatial impact on the landscape and consequently on ES. This paper analyzes some critical aspects of their spatial mutual relationship considering an area of the Basilicata region including 5 municipalities (Cancellara, Pietragalla, San Chirico Nuovo, Tolve and Vaglio Basilicata) assessing changes in Habitat Quality coming from not-regulated wind farms installation. This represents an approach for the correct planning of renewable technologies, the management of the land use and its ecological, cultural and economic functions, in order to preserve biodiversity and sustainability. Keywords: Ecosystem services


Habitat quality
Renewable energy sources

1 Introduction The Millennium Ecosystem Assessment [1] defines ecosystem services (ES) as the benefits that come from ecosystems. They represent both the goods (food, water, raw materials, building materials), and the set of functions that contribute to carrying out specific process: absorption of pollutants, protection from erosion and floods, regulation of surface water flow and drought, maintaining water quality, disease control, soil formation, etc. ES have a direct and indirect utility for man therefore it is essential, in the context of territorial management and planning policies, to integrate the concept of ES and evaluate the effects that the different land use choices have on them [2]. The energy transition underway in favor of the use of renewable energy sources affected the Basilicata region. The Regional Environmental Energy Plan, approved in 2010, set certain targets for 2020

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in terms of installable power and energy produced in relation to the various types of renewable energy source. Wind energy represents an effective intervention category to face the threat of climate change and to guarantee energy security. The strong diffusion of the wind source and, in particular, of the mini-wind turbines [3] (born above all for the needs of self-production and self-consumption and whose expansion is justified both by the provision of economic incentives and by increasingly simplified authorization paths), is often accompanied by an absence or inadequate programming of guidelines for the correct insertion of the implants in the territory [4, 5]. Since the landscape is considered as the result of interactions over the centuries between natural and anthropic activities, it is recognized that the spread of plants for low-carbon energy production could have a considerable impact on ecosystems services. As regards wind farms, their installation and use represent an important form of landscape transformation, influencing the environment at different spatial and temporal scales developed out of an effective spatial planning system able to allow territorial administration to manage such territorial transformation [6]. This work analyzes some critical issues of the spatial relationship between RES and ES, with particular reference to the impact that the installation of wind farms has in the study area considered. 1.1

The Territorial Assessment Methodology and Main Results

Habitat quality is a relevant component of ES approach. It is suitable to be considered in order to produce spatial assessment and territorial classification according to spatial explicit models implemented in the toolbox provided by InVEST (Integrated Valuation of ES and Tradeoffs) developed by Stanford University within the “Natural Capital Project” [7]. The “Habitat Quality” module allows to compute an index of overall biodiversity which falls into the category of support services or as a regulation service. The concept of habitat referred to in this work is not linked to the presence of a specific species but, in a wider sense, to the comprehensive value of the environment related to the presence of plant and organisms. The study area examined has a total area of approximately 304 km2 and includes the following municipalities in the province of Potenza: Cancellara, Pietragalla, San Chirico Nuovo, Tolve and Vaglio Basilicata. InVEST models use as input land use and cover map maps we derived GeoTopographic DataBase made available by the RSDI Basilicata geoportal in the “DGBT & CTR” section. Two dates had been chosen to prepare the input layers representing the transition from the initial stage on land use (2013) and the current one characterized by the effect of RES installation (2018). The first relates to 2013 and includes relevant layers describing land uses, while the second, relating to 2018, have also been added the wind aggregate classes. In the study area wind farms installation had been mapped [3, 4] and classified according to their power: ranging from 20 kW to 1000 kW ore greater (Table 1).

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V. Muzzillo et al. Table 1. Classification of wind turbine by power. Typology Micro wind turbines Mini wind turbines Medium wind turbines Big wind turbines

Power (kW) P 1000

A buffer with a radius proportional to the installed power has been created around each point element. These polygons were aggregated using the threshold distance of 250 m as a criterion in order to consider the loss of ecosystem functionality even in the areas comprising several wind turbines. The aggregates thus obtained were then classified on the basis of the footprint in the territory into: small (class 1), medium (class 2) and large size (class 3) aggregates. Such components report the transition from original land uses (2013) to the actual one corresponding to an anthropic land uses ore in other word a habitat quality source of degradation. We refer to previous studies for detailed methodological description [8–12]. The outputs of the model consist in two maps generated in output for a current scenario are: (i) quality_out_c which indicates the relative level of habitat quality on the current landscape (Habitat Quality - Q). A higher number indicates a better habitat quality. Areas that are not habitats obtain a quality score of 0. This quality value is determined by means of Eq. 1, is devoid of units and does not refer to any particular measure of biodiversity; Qxj ¼ Hj

Dzxj 1 z Dxj þ k z

! ð1Þ

where parameter z is 2.5. Qxj is equal to 0 if Hj is also null, increases as a function of Hj and decreases as a function of Dxj reaching a maximum value of 1. (ii) deg_sum_out_c representative of the level of degradation of the habitat on the current landscape (Habitat Degradation - D) whose value, for each cell, is calculated by means of Eq. 2. A high score in one cell of the grid indicates that the degradation of the habitat in the considered cell is high compared to the others. Dxj ¼

Yr R X X r¼1 j¼1

!

wr

PR

r¼1

wr

ry irxy bx Sjr

ð2Þ

where y and Yr indicate the cell and the set of grid cells respectively on the raster map of the r-threat. If the sensitivity Sjr = 0 then Dxj is not a function of the r-th threat and therefore will be: Dxj = 0. The model returns a spatial distribution of the quality of the habitats which, in relation to the study area, varies between moderate and high, assuming the lowest

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values only in correspondence with the inhabited centers and the most populated areas. Consistent with the values assigned in the definition of the habitats, the quality is higher in the wooded areas and along the waterways. Following the installation of the wind turbines, there is a decrease in the quality of the habitats in the areas immediately surrounding the wind turbines. Figures 1 and 3 compare the habitat quality for 2013 and 2018 and were obtained by converting the frequency of the pixels belonging to a certain class into the corre-

Fig. 1. Habitat quality 2013.

sponding soil surface, expressed in hectares. Note that the areas characterized by “low” quality values increased from 2013 to 2018. The reduction in quality occurs in the areas that from 2013 to 2018 change their intended use of the land and are classified as “Wind turbine use”. The degradation level of the output maps of 2013 and 2018 was analyzed in a similar way. Four degradation classes: low, moderate, high, very high, have been identified. The classification of the level of degradation is shown in the maps of the Habitat Degradation of 2013 Fig. 2 and 2018 Fig. 4. The areas characterized by “medium” and “very high” degradation values increased from 2013 to 2018. The alteration occurs mainly near areas that from 2013 to 2018 change their intended use of the land and are classified as “Wind turbine use” in the map of land use and coverage 2018. An increase in degradation is visible especially where there is a greater density of class 2 and 3 wind aggregates, therefore those of larger size and power. The graph in Fig. 5 shows the amount of surface area in square kilometers for each degradation class identified in 2013 and 2018. The areas with medium degradation

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Fig. 2. Habitat degradation 2013.

Fig. 3. Habitat quality 2018

increased for about 50 km2 between the two temporal phases. Also, the area classified as Very high degradation increased over time. Complementarily the areas classified as Low and High degradation decreased over time.

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Fig. 4. Habitat degradation 2018.

Fig. 5. Area in km2 for each class of degradation in the two time phases analyzed

2 Conclusion During the last decade, the rural landscape of the Basilicata region has changed significantly due to the continuous increase in the number of installations for the production of energy from renewable sources (see also [13–15]. These transformations, endorsed by an aura of “sustainability” justified by the global need to combat climate change, occurred in the absence of an adequate regulatory framework [16–18] affecting also real estate values [19–23]. The lack of the Regional Landscape Plan and sectoral

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rules aimed at limiting pollution from noise emissions and electromagnetic fields [24] have led to an uncontrolled increase in RES installations. The proposed method can represent a concrete support for a territorial management processes delivering a spatial monitoring system of a relevant territorial value (habitat quality) suitable for transformation projects assessment (ex-post) and scenario building (ex-ante) [25]. Further research aims at implementing an integrated monitoring system spatially explicit in order to reinforce the impacts assessment capacity of public authorities entitled of planning competences.

References 1. Millenium Ecosystem Assessment: Ecosystems and Human Well-Being: Synthesis. Island Press, Washington, DC (2005) 2. ISPRA (Istituto Superiore per la Protezione e la Ricerca Ambientale) Millennium Ecosystem Assessment - Valutazione degli Ecosistemi del Millennio 3. Saganeiti, L., Pilogallo, A., Faruolo, G., Scorza, F., Murgante, B.: Territorial fragmentation and renewable energy source plants: which relationship? Sustainability 2020, 12 (1828) 4. Saganeiti, L., Pilogallo, A., Faruolo, G., Scorza, F., Murgante, B.: Energy landscape fragmentation: basilicata region (Italy) study case. In: Misra, S., et al. (eds.) Computational Science and its Applications – ICCSA 2019, ICCSA 2019. LNCS, vol. 11621. Springer, Cham (2019) 5. Santarsiero, V., Nolè, G., Lanorte, A., Tucci, B., Baldantoni, P., Murgante, B.: Evolution of soil consumption in the municipality of Melfi (Southern Italy) in relation to renewable energy. In: Misra S. et al. (eds) Computational Science and Its Applications – ICCSA 2019, ICCSA 2019. LNCS, vol. 11621. Springer, Cham (2019) 6. Scorza, F., Pilogallo, A., Saganeiti, L., Murgante, B., Pontrandolfi, P.: Comparing the territorial performances of Renewable Energy Sources’ plants with an integrated Ecosystem Services loss assessment: a case study from the Basilicata region (Italy). Sustain. Cities Soc. 56, 102082 (2020). https://doi.org/10.1016/J.SCS.2020.102082 7. Habitat Quality - InVEST 3.6.0 documentation. http://data.naturalcapitalproject.org/nightlybuild/invest-users-guide/html/habitat_quality.html. Accessed 13 Nov 2019 8. Pilogallo, A., Saganeiti, L., Scorza, F., Las Casas, G.: Tourism attractiveness: main components for a spacial appraisal of major destinations according with ecosystem services approach. In: Gervasi, O., et al. (eds.) Computational Science and Its Applications – ICCSA 2018. ICCSA 2018. LNCS, vol. 10964. Springer, Cham (2018) 9. Saganeiti, L., Favale, A., Pilogallo, A., Scorza, F., Murgante, B.: Assessing urban fragmentation at regional scale using sprinkling indexes. Sustainability 10(9), 3274 (2018) 10. Cannas, I., Zoppi, C.: Ecosystem services and the natura 2000 network: a study concerning a green infrastructure based on ecological corridors in the metropolitan city of Cagliari. In: International Conference on Computational Science and Its Applications. Springer, Cham (2017) 11. Lai, S., Leone, F., Zoppi, C.: Municipal masterplans and green infrastructure. An assessment related to the Metropolitan Area of Cagliari, Italy. In: International Conference on Innovation and Urban and Regional Planning INPUT aCAdemy 2019. FedOA Press (Federico II Open Access University Press) (2019) 12. Pilogallo, A., Saganeiti, L., Scorza, F., Murgante, B.: Ecosystem services’ based impact assessment for low carbon transition processes. TeMA - J L Use, Mob. Environ. 12, 127– 138 (2019). https://doi.org/10.6092/1970-9870/6117

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13. Modica, G., Praticò, S., Di Fazio, S.: Abandonment of traditional terraced landscape: a change detection approach (a case study in Costa Viola, Calabria, Italy). L. Degrad. Dev. 28, 2608–2622 (2017). https://doi.org/10.1002/ldr.2824 14. De Luca, G., Silva, J.M.N., Cerasoli, S., Araújo, J., Campos, J., Di Fazio, S., Modica, G.: Object-based land cover classification of Cork Oak Woodlands using UAV imagery and Orfeo ToolBox. Remote Sens. 11, 1238 (2019). https://doi.org/10.3390/rs11101238 15. Séraphin, H., Platania, M., Spencer, P., Modica, G.: Events and Tourism development within a local community: the case of Winchester (UK). Sustainability 10, 3728 (2018). https://doi. org/10.3390/su10103728 16. Scorza, F., Grecu, V.: Assessing sustainability: research directions and relevant issues. In: Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics), vol. 9786, pp. 642–647 (2016). ISBN 9783319420844 17. Las Casas, G., Scorza, F., Murgante, B.: Razionalità a-priori: una proposta verso una pianificazione antifragile. Ital. J. Reg. Sci. 2, 329–338 (2019) 18. Dvarioniene, J., Grecu, V., Lai, S., Scorza, F.: Four perspectives of applied sustainability: research implications and possible integrations. In: Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics). LNCS, vol. 10409, pp. 554–563 (2017). ISBN 9783319624068 19. Manganelli, B., Morano, P., Tajani, F.: House Prices and Rents. The Italian experience. WSEAS Trans. Bus. Econ. 11, 219–226 (2014). art. 19 20. Morano, P., Tajani, F., Locurcio, M.: GIS application and econometric analysis for the verification of the financial feasibility of roof-top wind turbines in the city of Bari (Italy). Renew. Sustain. Energy Rev. 70, 999–1010 (2017) 21. Morano, P., Locurcio, M., Tajani, F., Guarini, M.R.: Fuzzy logic and coherence control in multi-criteria evaluation of urban redevelopment projects. Int. J. Bus. Intell. Data Mining 10(1), 73–93 (2015) 22. Tajani, F., Morano, P.: Concession and lease or sale? a model for the enhancement of public properties in disuse or underutilized. WSEAS Trans. Bus. Econ. 11(74), 787–800 (2014) 23. Torre, C.M., Morano, P., Tajani, F.: Saving soil for sustainable land use, Sustainability 9(3), 1–35 (2017). art. 350 24. PIEAR - Piano di Indirizzo Energetico Ambientale Regionale, Regione Basilicata 25. Las Casas, G., Scorza, F.: Un approccio “context-based” e “valutazione integrata” per il futuro della programmazione operativa regionale in Europa. Lo sviluppo territoriale nell’economia della conoscenza: teorie, attori strategie, Collana Scienze Regionali 41 (2009)

Land Use Change and Habitat Degradation: A Case Study from Tomar (Portugal) Luciana Nolè1(&), Angela Pilogallo1 , Lucia Saganeiti1 , Alessandro Bonifazi3, Valentina Santarsiero1, Luis Santos2, and Beniamino Murgante1 1

University of Basilicata, Viale dell’Ateneo Lucano 10, 85100 Potenza, Italy {luciana.nole,angela.pilogallo,lucia.saganeiti, valentina.santarsiero,beniamino.murgante}@unibas.it 2 Polytechnic Institute of Tomar, Av. Dr. Aurélio Ribeiro 3, Tomar, Portugal [email protected] 3 Polytechnic University of Bari, Via Amendola 126/b, 70126 Bari, Italy [email protected]

Abstract. From the beginning of the 21st century, following major global and European initiatives such as the Millennium Ecosystem Assessment (2005) and The Economics of Ecosystem and Biodiversity (2010), the idea that ecosystem services could be used as a decision support tool, gained considerable importance in several fields: from economy to public policy, from territorial planning to environmental assessment. Defined as the set of goods and services provided by ecosystems for the benefit of humans life quality, they express the potential to overcome traditional and not sufficiently effective approaches of policies and interventions undertaken so far for biodiversity conservation purposes. In urban and territorial planning disciplines, it is therefore necessary testing new tools capable of spatially explaining territorial components that constitute biodiversity hotspots or, specularly, threats to biological diversity persistence and resilience. Taking part to this methodological framework, this work assesses changes in habitat quality, considered as a proxy for biodiversity, in Tomar (Portugal), a study area particularly affected by forest fires-driven degradation phenomena. Results highlight the potential of such tools in explicating the role of different territorial threats on biodiversity conservation and points out the importance of proper natural and semi-natural environments’ management. Keywords: Ecosystem services InVEST
Wild-fires


Habitat quality
Tomar (Portugal)


1 Introduction Ecosystem services’issue (ES) has gained increasing consensus [1, 2] both on the importance of their assessment and on the integration of this approach into natural resources’ management decisions and spatial planning. Since biodiversity is representative of ecosystems’ and functional diversity, the greater it is, the greater are the benefits and the advantages for all organisms. Ecosystem components, processes and functions therefore constitute ES. Sharing the view that, while satisfying human needs, © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1722–1731, 2021. https://doi.org/10.1007/978-3-030-48279-4_163

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protecting habitat quality is a priority in ecosystems management, modelling biodiversity as a function of both anthropogenic and non-anthropogenic origin threats, is useful to support management and policy making system. This new approach allows to better design sustainable and environmental policies [3–5] and deeply understand the interaction among territorial components and relative processes and dynamics [6]. The purpose of this work is to test Habitat Quality InVEST (integrated valuation of ecosystem services and tradeoffs) [7] model in order to describe the spatial distribution of threats to biodiversity in the Tomar (Portugal) study area and to assess habitat degradation over a time period ranging from 2007 to 2015. As highlighted from many authors [8–12], this tool reveals to be useful in assessing the impact of changing in land use/land cover (LULC) or, equally, in appreciating benefits from conservation policies. In order to support decision and policy makers in analyzing time series, a further advantage is the possibility to model past and future scenarios [13]. This work presents the results of an application in the study area of Tomar (Portugal) where the role of fires in relation to changes in habitat degradation was investigated.

2 Study Area Tomar is a Portuguese Municipality with slightly more than 40,000 inhabitants and an extension of about 350 km2, located in the district of Santarém, in the Centro region, subregion Medio Tejo. It is a town on the banks of Nabão river with a historic centre, characterized by a network of narrow streets dominated by a castle-fortress of Templars Knights. As can be seen from Fig. 1, the municipal territory is mainly wooded. Forests are to a large extent the result of policies from the twentieth century onwards, that have characterized changes in land use/land cover all over the Country. Today, 97% of Portuguese woodland is privately owned, resulting very vulnerable to wild fires since the most common kind of trees is eucalyptus, the most easily flammable. This tree species, not autochthonous but imported from Australia since the 1970s, has quickly become the first by extension on national soil, to support the paper industry that was starting to grow more and more in those years [14]. Both large and small properties have been converted into monocultures of eucalyptus, which is the most profitable species due to the speed with which it grows (10 years or even less are enough to have new wood for cellulose extraction) and which is selected and cloned in nurseries, to then be planted. For the recovery of burnt areas and to prevent major new fires, the government has earmarked funds for fuel charge reduction in areas at risk. Furthermore some nongovernmental environmental organizations, have reforested some of the steep areas affected by the fires. As can be seen, the study area is characterized by a low population density and a growth of buildings that has occurred mainly along the road network according to the classic dynamics of sprawl [15]. In rural areas [16], on the other hand, further away from the urban aggregate, settlement component assumes typical characteristics of sprinkling [17–20] with a very low building density (related real estate issues [21–24]) and an evolution difficult to predict as it is not linked to any existing infrastructure.

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Fig. 1. Study area

3 Materials and Methods The tool adopted to analyze how the intensity of human activity influences habitat degradation and to define the effects of ongoing threats is the Habitat Quality model [25, 26]. Belonging to the InVEST suite [7], it is based on the idea that higher HQ corresponds to higher richness of species and vice versa [27], providing as results two different maps: habitat quality and habitat degradation. Habitat degradation, in particular, is a function of the sensitivity of each LULC class to each of defined threat, of their relative weight and depending from the distance and the decay function for each of impact sources. Methodology and consideration about the values used are deeply described in previous works [28, 29]. Values used for running the model are summarized in Table 1 and Table 2. To compute on-board effects, an area with a greater extent was considered by a buffer operation equal to 10 km, the maximum distance from the threat i-th considered. For Tomar’s land use map of 2007, 2010 and 2015, threats were classified into five categories: buildings, road infrastructure, agricultural areas, quarries and fire. These areas have indeed recorded in recent years an increasing number of fires, which constitute not an isolated problem, and which affect the risks of desertification caused by climate change.

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Table 1. Threats summary table Threat Max_Dist Weight Residential areas 10 0.8 Agricultural areas 8 0.5 Fire 6 0.9 Pollution 4 0.5 Roads and railways 1 0.6

Decay Exponential Exponential Linear Linear Exponential

Table 2. Habitat and sensitivity summary table LULC

Habitat

Residential areas

Agricultural areas

Fire

Pollution

Water bodies Residential areas Industrial areas Roads and railways Quarries Urban green and gardens Wind power Vineyards and olive groves Landfill sites Orchards and citrus groves Deciduous forest Coniferous forest Fallow field Forest Vegetable gardens Arable land

1 0

0.8 0

0.4 0

0 0

0.8 0

Roads and railways 0.7 0

0

0

0

0

0

0

0

0

0

0

0

0

0 0

0 0

0 0

0 0

0 0

0 0

0 1

0 0.6

0 0

0 0.8

0 0.8

0 0.7

0 1

0 0.6

0 0

0 0.8

0 0.8

0 0.7

1

1

0.6

0.9

0.9

0.9

1

1

0.6

0.9

0.9

0.9

1 1 1

0.6 1 0.6

0 0.6 0

0.8 0.9 0.8

0.8 0.9 0.8

0.7 0.9 0.7

1

0.6

0

0.8

0.8

0.7

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4 Discussion and Conclusions Degradation values resulting derives from the relationship with adjacent cells and for this reason, the results are expressed in relative terms with respect to present conditions, thus expressing a range from 0 to a maximum equal to 1. The results concerning the time period investigated are represented in Fig. 2. Most of territorial transformations are not of anthropic origin, but rather linked to forest fires. As a threat to biodiversity, this source of impact has not a negligible intensity both because the tree species are characterized by high flammability, and because the high frequency of wild fires can contribute in the medium-long term to desertification processes. Furthermore, this threat is expected to increase because it is indirectly linked to climate changes.

Fig. 2. Degradation maps for the study area over a time period ranging from 2007 to 2015

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At the study area scale, changes in habitat degradation are not clearly visible. In order to highlight where alterations occurred, a difference between habitat degradation maps referred to 2015 and 2007 was calculated (see Fig. 3). It shows a significant decrease in habitat quality occurred in wooded areas between residential settlements. This, therefore, highlights that most vulnerable areas are those where transition from residential to woodland are present, namely where the cumulative effect distribution due to several threats is higher. In order to assess the effectiveness of policies and intervention regarding biological diversity conservation, InVEST Habitat Quality and Degradation proved to be useful in the spatial identification of territorial areas where there is the greatest loss of ES provision. The approach provide a low-accuracy biodiversity proxy but it is useful to compare landswithout having data about flora and fauna populations within the context of the study area.

Fig. 3. Difference in habitat degradation between 2015 and 2007

Some limits and weaknesses of the model regard the accuracy of input data selection and the subjectivity in the attribution of sensitivity values. Regarding the interpretation of final results, it should be remarked that the linear overlapping of the effects linked to different threats, has the drawback of neglecting the interaction which (certainly not linear) between different impact sources which, acting simultaneously, can amplify each other’s effects. On the other hand, however, this simplification allows

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an easy management of such a complex assessment. As highlighted from the authors in previous works [28–31], this kind of spatially explicit evaluation have different advantages. It’s possible to implement it at different planning scales [32, 33] providing appropriate information for a spatial planning and management system [34] which at the same time ensures, the reduction of land consumption [35] taking into account territorial features and their ecosystem functionality [36, 37]. A further advantage is the possibility of building alternative scenarios [38], present or future, in order to balance/compensate the effects of specific land use/transformation policies. Our results while not demonstrating an objective value in the ability to determine impacts and spill-over on time [39], allow to identify areas in which to deepen with field investigations the study of the environmental components (flora, fauna, biodiversity, etc.) potentially degraded by land uses that have been considered as threats in the analysis [40, 41]. With an accurate input parameters calibration, this tool could reveal to be supporting for decision making processes and conservation policies’ design and it may provide a synthetic support for the assessment of different kind of impacts both from natural and anthropic origins.

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Cultural Heritage: Conservation, Enhancement and Management

The Abandoned Railway Heritage: From Problem to Opportunity for the Regeneration of Minor Historic Centres Chiara Amato

, Giulia Bevilacqua(&)

, and Chiara Ravagnan

Department of Planning, Design, Technology of Architecture (PDTA), Sapienza University of Rome, Rome, Italy [email protected]

Abstract. The phenomena of socio-economic polarization, metropolization and intensive exploiting of territorial resources have progressively weakened the relationship between historic centres and territorial context, fostering unsustainable forms of mobility and land use transformations that require new strategies for territorial rebalancing and regeneration. In particular, on the one hand, minor historic centres are nowadays involved in phenomena of abandonment, ageing of the population, declining of local economies that suggest a relaunch of activities and facilities in the framework of sustainability, denying speculative and pollutant touristic development. On the other hand, the heritage of these inner areas, constituted by landmarks of Italian historic masterpieces, need a preservation and valorisation of their identity forms and cultural values within a territorial point of view. In this context, the increasing number of secondary lines characterized by underutilization, result of liberalization processes and unfair mobility policies, have produced enormous social costs in terms of social exclusion, depopulation and weakening economies of widespread historic settlements. The paper focuses on the role of dismissed minor railway networks, at the same time, for enhancement and relaunch of this minor historic centres and territory, with particular reference to railways lines of landscape interest and historic trains, in a broader concept of the notion of cultural heritage. In fact, the abandonment of this mobility networks is recognized as a challenging opportunity for the regeneration of lines, stations, bridges, roadman’s houses, and the innovation of tourist services towards resilience paths, supporting the reflection with an emblematic best practice from the Abruzzo and Molise Regions. Keywords: Resilience


Cultural heritage
Fragile territories

The paragraph 1 is attributable to C. Amato, the paragraph 2 to G. Bevilacqua, the paragraphs 3, 4.1 and 5 to C. Ravagnan and the paragraph 4.2 is attributable to C. Amato and G. Bevilacqua. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1735–1745, 2021. https://doi.org/10.1007/978-3-030-48279-4_164

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1 Territorial Imbalances, Fragility and Inner Areas. The Italian References in the European Context The recurring cyclical nature of the economic crises, the instability of the economic markets, the processes of late industrialization and deindustrialization, climate change and deterioration of ecosystems, have deeply transformed the traditional perspectives of urban development and socio-economic dynamics. Since the second post-war period there has been a strong industrialization of Italian territory, which already produced at the end of the 1980s a territory characterized by a system structured around attraction poles of primary services, causing the actual polarization, congestion, inefficiency and social conflicts. Around these poles of a metropolisized territory [1], a fragmented urban sprawl is linked to the main centres within economic and commuting dynamics, contaminating rural areas with incompatible and hybrid uses. These processes affect the structure of the territory, which presents the pathological features of an enormous proliferation of settlements characterized by widespread fabrics and flows of private multidirectional mobility [2]. The progressive expansion of these settlements around the attraction poles and the corresponding territorial imbalance are fostered by the phenomena of abandonment of the so-called inner areas, defined by the former Italian Public Investment Evaluation Unit as «areas far from the centres that offer essential services such as education, health, mobility, connectivity, and characterized by depopulation and degradation processes» . These areas represent today 61% of the national territory where less than 20% of the Italian population resides (ISTAT 2016), a significantly reduced percentage compared to early decades of the 20th century. These differences are not only attributable to the classic north/south gap, but are linked to many factors inherent the unequal development between city and countryside, between mountain and plain, between coast and hinterland [3]. This network of former territorial centrepieces, after the end of the Second World War was affected by significant phenomena of abandonment. It has progressively declined through the weakening the interactions that for centuries had fed the whole system; transhumance, supply chains, ancient paths, pilgrimages, represented the networks of territorial relationships that had kept local economies alive for centuries and that urban polarization and globalization dynamics have almost deleted. Today the minor historic centres of the inner areas, except in rare cases, present common pathologies, linked to the inability to respond to the needs of contemporary housing and living [4], due to the marginality of these centres in the framework of production flows, services networks and territorial connections. In the last decades, the lack of financial resources in small municipalities, restricted by national and regional policies, absorbed by chronic “emergencies”, has turned these minor urban realities into ghost areas. Rarely, exogenous dynamics have promoted large tourist real estate investments, which had nevertheless little impact on the revitalization of the local economy. It seems therefore necessary to work with the local materials and networks to overturn the erroneous approach that does not consider the inner areas as a resource or an opportunity, but as a problem or a residue concerning peripheral lands, and to react to the progressive marginality, conceiving these places as place of social and productive experimentation, potential protagonists of a cultural and

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economic renaissance. In response to these dynamics, the National Reform Plan adopted a National Strategy for Inner Areas (SNAI). 69 pilot areas were selected, 1.061 Municipalities involved, representing 24.9% of the inner areas, for a total of 2.026.299 inhabitants (15.3% of the population residing in the inner areas, 3.4% of the national population). The aim was to counteract the demographic decline, assessing the conditions of marginality of these scopes and implementing actions to adapt essential services (i.e. health, education and mobility), promoting local development projects. This strategy had the merit of highlighting the issue of inner areas and fostering research paths relating to the phenomena of fragility, triggering a national reflection and placing Italy as the leader of a European debate on “inner peripheries” [5]. At the same time, it stimulated the implementation of partnership actions at all institutional levels and the networking of socio-economical resources, of strategies and initiatives that contributed to enriching the sustainability and resilience goals of the EU Programming 2021–2027.

2 The Cultural Dimension of Territorial and Railway Heritage. State of the Art and Legislative Inputs Within the complex framework of the ongoing policies and strategies, wide-ranging interventions appear necessary to reconnect the scattered and heterogeneous pieces of disciplinary knowledge in a more coherent and complex overview. The main driver of a strategy of resilience to overcome the crisis is certainly the sustainable enhancement of the territorial heritage of these areas, as the set of long-lasting structures produced by the coevolution between the natural environment and human settlements, whose value is recognized for present and future generations [3]. Territory as a cultural landscape, as an expression and outcome of the complexity of nature and culture and therefore as a product of history, a specific sign of local identity, whose components thus become the invariants of places and communities, matrix for a historicized and contextualized evolution [6]. This expansion of meaning does not concern only the formal, civil and symbolic aspects but also the age of belonging of the resources and their location in the contemporary territories, thus representing an expansion of temporal, spatial and meaning interest. The traditional field of analysis of the physical city has in fact extended from the «historic centre» to the complex of «existing city» , to involve the entire «historic territory» , looking for the «widespread and often fragmented network of human tracks» [7]. The passage that led to sanctioning the conceptual extension from “historic centre” to “historic territory” (Carta di Gubbio, 1960, 1990), confirmed by the European Landscape Convention (ELC), has been further innovated with the concept of “historic urban landscape” that UNESCO introduced with the “Vienna Memorandum” in 2005 and which at the end of 2011 was consolidated into a special “Recommendation”. Its field of application concerns the recognition of the quality of an urban landscape whose strength is in the widespread, capillary and lively presence of a heritage that is not only extended to protected historic areas and buildings, but it refers to the physical, geographical and historic context in which it fits, determining a synoptic and organic vision of the heritage that opposes the idea of discontinuous and isolated heritage [8]. In the polycentric territorial system, the small historic centres

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perfectly embody those landscapes of everyday life mentioned by the ELC as territories capable of projecting and «making perceptible values of properly identifiable matrix for the local communities» to be preserved, avoiding homologating interventions that «safeguard stones but not the people and traditional functions» [9]. In this sense, among the territorial landmarks for the rebirth of the most fragile areas, abandoned historic infrastructures play a fundamental role, able to connect and to divide, to bring together or to isolate places, to originate flows, to support activities and economies and therefore, new forms of sociality. In particular, the railway system of our peninsula today constitutes a dense network of “broken wires”, once seen almost as an intrusion into naturalness, now merged into the landscape and structured as important features; in the past a means of economic, social, human connection, which, far from the urban systems of big cities, has continued to make these villages live within a high-quality micro economy. Therefore, the railway lines have assumed a cultural value recognized in an increasingly widespread manner not only “bottom up”, by the communities organized in local associations or stakeholders or by local administrations, but also “top down”, by national laws (such as Law 128/2017) and international organisations, such as UNESCO. Urban-territorial and landscape planning also attribute an increasing role to dismissed railway infrastructures, as frames to mend relationships and create interactions between places and territories. Their linear and capillary character, on the one hand, and their historical-cultural value, on the other, determine, in fact, enormous potential in terms of physical, functional and social restitching of contexts and identity enhancement, starting from their “technical, social and economic history” [10] and from the roots of their past, towards a process of heritage-led regeneration.

3 Resilience Paths. Research Goals and Methodology The economic dynamics and railway policies of the 1990s triggered the divestment of many secondary railway lines, a progressive abandonment (6.000 km on the Italian territory) of the “dry branches” (rami secchi) which took away fragments of territory, local economy and life, in this vicious circle toward decline. In this framework, the relaunch or reuse of abandoned railways is recognized as a main research and experimentation field for inner areas that can combine economic-productive re-boost with sustainable mobility, reconciling conservation of cultural heritage and innovation of touristic activities, loisir and knowledge, itinerant story of the memory of places and dynamic perception of natural and historical landmarks. In this research and experimentation path, disused railway networks are configured as “regeneration matrices” able to counter the progressive weakening of “fragile territories” and the abandonment of minor historic centres, experimenting “resilience paths” through social, economic and environmental changes [11]. The goal of the research is to define guidelines for the regeneration of inner areas, focusing on relaunch and reuse of divested railway lines. The ongoing activity is aimed at deepening best practices that have realized resilient integrated process of revitalization linked to the secondary railway lines in fragile areas characterized by natural landmarks, historic minor centres and widespread heritage. The outcomes of the

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practices can show how the reactivation of the line can foster economic activities, social inclusion and overcome the degradation of brownfields and cultural heritage. In particular, the research methodology pays attention to policies and strategies that overcome the long-standing separation between mobility planning and territorial planning, promoting osmotic approaches between territory, landscape, environment and community that are reflected in new “integrated design categories”. Furthermore, the research is aimed at outlining the main role of partnership-based tools and agreements characterized by joint initiatives that involve public authorities, railway foundations and citizens associations. In coherence with the research methodology, the case study proposed in the following paragraph intends to illustrate the main role of interventions in railways in inner areas, underlining some significant insights through: • the analysis of railways divestment phenomena as significant part of the processes of abandonment and deprivation of inner areas that involve minor historic centres in population and socio-economic decline; • the recognition of new complex design categories – such as touristic railways – in the framework of territorial policies that promotes an osmotic approach between mobility planning and territorial projects, emphasizing historic and natural elements in successful enhancement projects of minor historic centres; • the deepening of partnership-based tools and regeneration projects that involve new public and private stakeholders in multilevel financing and activities management toward a territorial and strategic planning based on mobility issues.

4 The Law 128/2017 and the Transiberiana d’Italia Railway Line. A Way of Sustainability and Inclusion 4.1

The Law 128/2017 for the Enhancement of Touristic Lines

After the institution of the Italian FS Foundation in 2013 and the promotion of the Program called “Binari senza Tempo”1, the Law 128/2017 Establishment of tourist railways in areas of particular naturalistic or archaeological value took a step forward for an integrated approach to minor railway lines between mobility, territorial planning and landscape issues. The law recognizes problems and opportunities linked to secondary railway lines and establishes the Italian system of touristic railways, promoting partnership management forms in favour of lines aimed at enhancing the divested railway heritage - trains, lines, stations, bridges, viaducts, tunnels and underpasses - in contexts of landscape value that affect many inner areas. The law enhances ongoing projects or fosters new tourist services (Cf. Table 1).

1

BST is an initiative launched by the FS Foundation, set up within the FSI Group for the preservation and enhancement of the historic railway heritage. It guarantees a management by RFI, with the aim of recovering spectacular abandoned lines in order to build a “dynamic museum”.

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C. Amato et al. Table 1. Law 128/2017 Touristic Railways

Route

Title

Activation/Divestment/Reactivation Natural & historic heritage

Programs & operators

Sulmona-Isernia (Abruzzo-Molise)

Transiberiana d’Italia

1892/2011/2014

Binari senza tempo (BST), Ass. Le Rotaie, Fondazione FS

Avellino-Rocchetta (Campania, Molise, Puglia) Fano – Urbino (Marche)

Irpinia Express

1934/1986/2016

Cosenza-S. Giovanni F. (Calabria) Sacile –Gemona (Friuli) Palazzolo-Paratico S. (Lombardia) Ceva-Ormea (Piemonte) Mandas-Arbatax (Sardegna)

Ferrovia Valle 1898/1987/service suspended Metauro Ferrovia Silana

1922/1997/2016

Ferr. Pedemontana del Friuli Sebino Express Treno Blu Ferrovia del Tanaro Trenino verde

1914/2012/2018

1876/1966/1994

1883/2012/2016 1893/1997/1997

Isili-Sorgono (Sardegna)

Trenino verde 1889/1997/1997

Sassari-Palau (Sardegna) Macomer-Bosa (Sardegna)

Trenino verde 1931/1997/1997 (part) Trenino verde 1888/1981/1995

Alcantara-Randazzo (Sicilia) CastelvetranoP. Empedocle (Sicilia) Asciano-Monte Antico (Toscana)

/

1959/1985/service suspended

Ferrovia dei Templi

1910/1976/2014

Ferrovia della Val d’Orcia

1865/1994/2014

Civitavecchia-Orte (Lazio)

/

1894/1961/service suspended

Historic centres (HC) Majella Park HC, Conza Lake HC, Metauro River, sea coast HC, Sila Park

HC, Prealpi, Cornino Reserve HC, Oglio Park, Lake of Iseo HC, Tanaro River HC, GennargentuOrosei Park HC, GennargentuOrosei Park HC, Liscia Lake, Sea cost HC, Temo River, Bosa Gulf HC, Etna Park, Sea Cost HC, Sea coast, archeologic sites Val d’Orcia HC, Amiata Park HC, Sea coast

BST, Fondazione FS, Reg. Campania, Ass. In_Loco_Motivi Ass. Ferrovia Valle Metauro (FVM) FC, Reg. Calabria

BST, RFI – Fondazione FS BST, FTI-Ferrovie turistiche italiane BST Fondazione FS ARST (Regione Sardegna) ARST (Regione Sardegna) ARST (Regione Sardegna) ARST (Regione Sardegna) FS Fondazione FS

Ferrovie della Val d’Orcia FS

The main importance of this research and experimentation field is confirmed in 2020 by the Ministry of Cultural Heritage (MIBACT), which has established in 2020 the Year of the Touristic Railway, and introduced new public funding for night train services in the MIBACT Draft Law of February 2020.

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The Transiberiana d’Italia Railway Line

Among the lines promoted by the Law 128/2017, Sulmona-Castel di Sagro-Isernia railway line called the “Transiberiana d’Italia” (in Abruzzo and Molise regions) represents one of the fundamental best practices for regeneration of minor centres in inner areas, a “wire” that links today a unique cultural heritage through a protected natural area, overcoming a divestment phase of the line (Cf Fig. 1). In consistency with the research methodology, it is possible to underline the specificity of the territory and the role of the railway line in the resilience path: • the area crossed by the line is recognized as an Inner area in the SNAI2 and in particular, the plateaus of Abruzzo hosts the second highest station in Italy – Rivisondoli-Pescocostanzo – at an altitude of 1.268 m along a track that reaches the sides of the mountain and supplies several minor historic centres (Pettorano sul Gizio, Monte Giove, Pescocostanzo, Palena, Roccaraso).

Fig. 1. The Transiberiana d’Italia railway line.

The history of this line is similar to that of other abandoned secondary lines. The line was built between 1892 and 1897 with the aim of connecting transversally the Adriatic coast with the Tyrrhenian Sea, in a network related with other minor lines. In the early twentieth century, the importance of the line grew, connecting other isolated places, making minor centres continue to live due to a local microeconomy; this situation persisted until the 1980s, when the social and economic dynamics in this area triggered a sudden depopulation of the centres crossed by the line, with a consequent loss of competitiveness and entrepreneurial dynamism. In 2010 the operation on the section from Castel di Sangro to Carpinone was suspended due to urgent maintenance

2

33 Municipalities, 20.929 Inhabitants, Demographic Variation: −7,83% (ISTAT Census 2011–2017).

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needs of the rolling stock, and the few passengers made Abruzzo region no longer willing to continue the service, permanently suspended in 2011. However, the line remained formally open for the infrastructure manager (RFI), thus allowing the eventual passage of agency trains and occasional tourist services; • the features of the line comply with the characteristic of the “Railway line of natural interest”. In particular, the line offers a “glimpse from the train” on the Majella National Park, along the 76 km line that goes from Sulmona to Roccaraso. The line opens the view and the access to minor historic centres (Cf Fig. 2), whose access is very difficult for their localization, for the land morphology and the climatic conditions. Little-known centres where the tourist line is revitalizing artistic and cultural activities, such as small museums, festivals and architectural tours, as well as artisan traditions still practiced today; a path that reconnects material and immaterial heritage made with new values of sustainability and resilience. The travels of historic convoys within this program also triggered the rehabilitation and reuse of the former RFI stations and of the tollbooths in the municipalities of Cansano, Campo di Giove and Palena, already acquired by the Majella National Park in 2002. In particular, the passenger buildings of Cansano and Palena have been transformed into orientation centres for visiting the Park and temporary places to eat and sell local products during tourist trips; the former caffetteria of Cansano has been used as a bike rental point; the former Palena freight yard building was turned in the garage for ecological means of transport. However, many artefacts along the line are still in a state of decay;

Fig. 2. The historic centre of Pettorano sul Gizio from the Transiberiana d’Italia railway line.

• the reactivation of the line is therefore not a simple tourist route, but a tool for the territorial enhancement, a driver for local-based economies supported by policies, programs, projects and forms of public-private partnership. In particular, in 2014, the non-profit local association Le Rotaie, established in 2006 in Isernia with the aim of promoting railway culture, participated in the “Binari senza tempo” program, but found a really success with the Law 128/2017: the line was counted among the “lines dismissed or in the ongoing divestment process located in areas of particular

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naturalistic or archaeological value”. The new law gave a significant boost to the line which in 2019 counted 84 circulations for tourism journeys, for a total of 31.500 travellers (+49% compared to 2018), revitalizing as well the accommodation and cultural activities in the area, with the contribution of Le Rotaie Association, the collaboration with FS, the Park Authority and the Municipalities. The importance in quantitative terms of the flows also opened a debate on the reopening of the line for a commuter service capable of consolidating a sustainable regeneration of the smaller centres. Due to this success, the institutional debate in Molise have also introduced the idea of a Strategic regional plan for the re-boost of Isernia and Campobasso stations as tourist hubs (Cf Fig. 3).

Fig. 3. The landscape from the Transiberiana d’Italia railway line.

5 Perspectives. Towards a Heritage-Led Regeneration The historical-morphological and landscape perspective for the regeneration of fragile contexts underlines the importance of the role of historic infrastructures in the revitalization of small centres of inner areas (Cf Fig. 4). In this direction, the strategic and multisectoral dimension of the interventions on the network infrastructures highlights key topics: • the testing of integrated approaches – involving different disciplines – to the study of the depopulation and decline of historical territory, recognizing the railway infrastructures as a fundamental part of the territorial palimpsest, a long standing structure for socio-economic activities, a matrix for the connection of the discontinuous and widespread system of minor centres and architectural heritage in inner areas; • the reflection on cultural, economic and social value of mobility infrastructures, and in particular the secondary lines, for the relaunch of minor centres considering

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sustainable tourism as a successful component for regeneration strategies through the fostering of material and immaterial resilient networks; • the experimentation of multilevel institutional partnerships able to put in synergy local and national resources toward Strategic Plans for a sustainable re-boost of inner areas based on accessibility, combining the modernization of the territory (SNAI, municipal funds), and the conservation of heritage (FESR, Foundations and Associations). Moving from the success of the case study of Abruzzo and Molise Regions, the study opens new fields of research and experimentation for the lines that are still dismissed (such as Fano-Urbino, Civitacchia-Orte and Alcantara-Randazzo) in order to provide useful references toward strategic planning and integrated projects of regeneration for minor historic centres.

Fig. 4. The historic train in the station of Rivisondoli-Pescocostanzo.

References 1. Indovina, F.: Dalla città diffusa all’arcipelago metropolitano. FrancoAngeli, Milano (2009) 2. Ricci, L.: Diffusione insediativa, Territorio. Paesaggio. Un progetto per il governo delle trasformazioni territoriali contemporanee. Carocci, Roma (2005) 3. Marchetti, M., Panunzi, S., Pazzagli, R.: Aree interne. Per una rinascita dei territori rurali e montani. Rubettino Editore, Soveria Mannelli (2017) 4. Abbate, G.: La valorizzazione dei centri minori come elemento strategico dello sviluppo del territorio. In: Toppetti, F. (ed.) Paesaggi e città storica, teorie e politiche del progetto. Alinea, Perugia (2011) 5. AA. VV.: Profecy – Processes, Features and Cycles of Inner Peripheries in Europe. Final Report. Espon program EU (2017) 6. Carta, M.: L’armatura culturale del territorio. Il patrimonio culturale come matrice di identità e strumento di sviluppo. FrancoAngeli, Milano (2002) 7. Gasparrini, C.: L’attualità dell’urbanistica. Dal piano al progetto, dal progetto al piano. Etaslibri, Milano (1994) 8. Settis, S.: Italia S.p.A. L’assalto del patrimonio culturale. Einaudi editore, Torino (2002)

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9. Cervellati, P.L.: La sorte dei piccoli centri storici: abbandonati, trasfigurati, turisticizzati. Minori e maltrattati. Bollettino Italia Nostra 445 (2009) 10. Treu, M.C., Peraboni, C.: Le infrastrutture storiche. Una risorsa per il futuro. Maggioli, Milano (2016) 11. Ravagnan, C.: Rigenerare le città e i territori contemporanei. Prospettive e nuovi riferimenti operativi per la sperimentazione. Aracne, Roma (2019)

Valuation Approaches to Assess the Cultural Heritage Francesca Salvo1(&), Marta Dell’Ovo2, Daniela Tavano1, and Leopoldo Sdino2 1

2

Department of Environmental Engineering, University of Calabria, Via Pietro Bucci Cubo 46b, 87036 Rende, Italy [email protected], [email protected] Department of Architecture, Built Environment and Construction Engineering (ABC), Politecnico di Milano, via Bonardi 9, 20133 Milan, Italy {marta.dellovo,leopoldo.sdino}@polimi.it

Abstract. In the literature, the most common methods used to evaluate the market value of cultural heritage are the stated preference (SP) and the revealed preference (RP) methods. Both the methodologies present criticalities given their difficulty in the application, concerning the high level of detail of the questionnaire administered, the consistency between the empirical survey approach and economic theory and the definition of the demand curve close to the reality. Considering these premises and drawing on the experience of the International Valuation Standards (IVS), one of the main reference standards for the real estate valuation, the current papers aims at demonstrating how the market approach and the cost approach can be applied to evaluate the market value of cultural heritage by providing practical guidelines. The two classical methods of real estate valuation have been applied to assess the market value of the ruins of the castle of San Niceto located in the municipality of Motta San Giovanni in the province of Reggio Calabria (Italy). Keywords: Cultural heritage
Valuation approaches
Cost approach
Market approach

1 Introduction The International Valuation Standards (IVS) are one of the main reference standards for the real estate valuation and their adoption shed light on the necessity of transparency and of being supported by robust methodologies in these appraisal processes [1]. When the assessment of the economic value deals with cultural heritage, the approach to apply differs from other properties given by its uniqueness in the market [2, 3] and since holders of tangible and intangible values [4–6]. In fact, the evaluation of cultural heritage can be considered as a complex process connected to the specific nature of these goods [7, 8], which make it particularly difficult to develop a satisfactory theory and appropriate evaluation methodologies [9]. Moreover, the awareness of their relevance within the urban economy since potential attractors in inner cities and part of the cultural capital of cities [10] raised the question how their value can be © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1746–1754, 2021. https://doi.org/10.1007/978-3-030-48279-4_165

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assessed. In this context, the most common methods used are the stated preference (SP) and the revealed preference (RP) methods. The first one bases its evaluation procedure considering the willingness to pay by the support of surveys and direct investigations [11], while the second one allows to consider the indirect costs incurred by using a service [12]. Both the methods present limits and criticalities as the level of detail of the questionnaire administered, the consistency between the empirical survey approach and economic theory and the definition of the demand curve close to the reality [13]. Given these premises, the current research, drawing on the experience of the IVS, aims to demonstrate how the methods indicated from the standards can also be applied for the evaluation of cultural heritage. In detail the paper presents (§2) two evaluation methods consolidated in the literature, the cost approach and the market approach, applied to a selected case study, the castel of San Niceto located in Italy (§3,4). The conclusions (§5) will be devoted at summarizing the experience developed and at drawing future research perspectives.

2 Methodological Approach According to the IVS, the three classical methods of real estate valuation are: the market approach or market comparison approach (MCA), the cost approach and the income approach. Within this context, it has been evaluated more suitable the application of the first two; the income approach has not been applied since it has not been possible to detect information about the profitability of the property. 2.1

Market Approach

Among the procedures based on direct market data collection, the most important is the MCA. This valuation procedure leads to the estimation of the market value of a property based on a comparison with similar, newly-sold properties with known price or rent. The MCA allows the estimation of any type of property, with the condition of a sufficient number of recent and reliable transactions of similar properties belonging to the same market segment as the property to be valued, through which the comparison can be performed. This method consists of a systematic procedure, based on adjustments - monetary corrections to be introduced to the market prices of the properties to be compared, in order to take into account the differences between their real estate characteristics [14, 15]. It’s a very probative method, so that it can be also be implemented in automated valuation methods [16]. 2.2

Cost Approach

The cost approach is an estimation procedure to determine the value of a building by adding the value of the built land to the cost of reconstruction of the building, possibly depreciated. It estimates: the value of the built-up area, the replacement cost or reproduction cost and the depreciation. This method is based on the replacement principle according to which a buyer is not willing to pay for a property a value greater

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than the market value of a building area and the construction cost of a new property with the same technical and functional purpose as the existing one [15]. The use of the cost approach is necessary in the absence of an active market, which does not allow the use of the market comparison method, and when the property to be valued cannot be subject to the income approach.

3 Case Study The property analyzed in this paper consists of the ruins of the castle of San Niceto located in the municipality of Motta San Giovanni in the province of Reggio Calabria (Italy). The castle is a Byzantine fortification built in the first half of the XI century on top of a rocky hill, surrounded by a vast flat area and included in the Aspromonte mountain massif (see Fig. 1).

Fig. 1. Fortification of San Niceto, general overview

The fortification has an overall dimension of is 8.152,00 m2 and is characterized by an elongated shape in order to adapt to the orography of the terrain. The site has a significant archaeological and landscape value given the panorama of the Stretto di Messina and the Sicilian territory and the numerous findings resulted by the excavations.

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In order to proceed with the economic estimation of the property, it has been necessary to carry on a deep survey of the area and of the assets. It showed a partial structural and functional restoration of the property, in detail: • the towers, the entrance portal and the front section of the boundary walls have been consolidated and partially rebuilt, maintaining the original volume, the architectural style and the construction materials; • the main building, has been entirely recovered and rebuilt, with the insertion of modern construction elements integrated with the original structures to ensure the lighting of the interior spaces (see Fig. 2); • a good percentage of the outdoor area has been paved with stone to be used as an event venue. In addition, a photovoltaic system has been built on the western side of the complex, to serve the restored structures in use. The interventions improved also the accessibility, while the remaining parts of the property are still in their original state of abandonment.

Fig. 2. Main building, before and after the restoration

Considering this description, it is clear as the property is complex, since consists of a wide open space plus the ruins of the ancient castle of San Niceto. Moreover, the estimation is closely connected to its historical-artistic-architectural peculiarities, which contribute to its uniqueness and singularity.

4 Application Given these premises, among the three principal valuation approaches, the market approach and the cost approach have been selected and tested since considered the most suitable according to the characteristics of the property under evaluation. In this section the approaches previously defined are going to be tested to the case study selected in order to detect pros and cons from their application.

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Applying the Market Approach

The MCA is divided mainly into the following phases: 1. market analysis, aimed at collecting data on recent contracts for properties similar to the one being estimated; 2. choice of the elements of comparison; 3. preparation of the sales summary grid and technical drawings; 4. analysis of the hedonic prices - adjustments; 5. drafting of the sales adjustment grid; 6. reconciliation. The market analysis is directly related to the property to evaluate. Usually one of the elements of comparison consists in the location, and therefore the proximity of the comparable to the asset. However, in this particular case, given the uniqueness of the castle, the survey area cannot be limited, but may involve the whole national context. In fact, for this specific case study comparable have been detected in different Italian regions such (Comparable A in Piedmont and Comparable B in Umbria). The driver features considered in the sample are: – Sale Price (SPR): measured in €, updated to the appraisal date considering an annual revaluation rate of 1%; – Surface (SUR): total surface measured in sqm; – Maintenance (MAI): maintenance state, measured by score, considering 0 for poor state, 1 for good state, 2 for optimum state; – Historical Architectural and Landscape value (HAL): measured by score, assigned by comparison, considering 1 for the higher level of historical/artistic and landscape quality and 0 for a lower level of appreciation. Table 1 presents data detected for the two comparable selected as the most coherent considering the market segment of the property to estimate.

Table 1. Data detected form the comparable Sale price and real estate feature

Comparable A Comparable B Subject

Sale Price (SPR) € Surface (SUR) sq Outer surface (OSR) sq Maintenance (MAI) point Historical Architectural and Landscape value (HAL)

2,500,000.00 800.00 1,300.00 3 0

1,300,000.00 1,000.00 800.00 1 0

? 416.76 8,340.00 0 1

Once the most important elements of comparison have been identified, it has been possible to proceed with the adjustment, i.e. to estimate the extent to which each factor affects the price of the property [15]. In Table 2 the percentage of influence are defined while Table 3 introduces the sales adjustment grid with the final prices obtained after the comparison and the elaboration of data collected.

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Table 2. Hedonic price table Hedonic prices SUR Outer surface (OSR) sq Maintenance (MAI) point Historical Architectural and Landscape value (HAL)

Comparable A 3,125.00 15.00 400,000.00 0.33  2,500,000 = 825,000.00

Comparable B 1,300.00 15.00 200,000.00 0.33  1,300,000 = 429,000.00

Table 3. Sales adjustment grid (€) Sale price and real estate feature Comparable A Comparable B SPR 2,500,000.00 1,300,000.00 SUR −1,197,625.00 −758,212.00 OSR 105,600.00 117,600.00 MAI −1,200,000.00 −200,000.00 HAL 825,000.00 429,000.00 Correct Price 1,032,975.00 888,388.00

The reconciliation (1) considers the correct prices of the comparable resulted from Table 3 and the most probable market value of the castle of San Niceto has been obtained by calculating their arithmetic average. ð1Þ

4.2

Applying the Cost Approach

This methodology involves the estimation of mainly three parameters: a) value of the area; b) replacement or reproduction cost; c) depreciation. For what concerns the a) value of the area, since the soil has no peculiarities, the estimation can be solved synthetically through the mono-parametric procedure that can be schematized through two basic steps, the determination of the average unit price and the calculation of the market value. In this case, due to constraints on the area, which limit its use, it can be considered as agricultural land and the value can be synthetically calculated from a unit price based on market information (15,00 €/sqm). The b) replacement or reproduction cost can be appraised as the cost of construction with a synthetic or analytical estimation process according to the detail of the information available. In this context, it has not been possible to detect all the architectural characteristics of the castle, therefore it has been necessary to adopt a synthetic estimation. As reference to quantify the unit price for the cost of construction, the Deliberation of the Regional Council of Calabria No. 5792 of 21st November 1997 (by updating the

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value) and the item E.08.10.50b of the Calabria Region Price List 2011 have been considered (i.e. Regional Price List for public and private construction work for appraisal metric computation). The value resulted should be moreover c) depreciated in order to consider the physical and technical obsolescence of the assets under evaluation. Considering the survey carried on and the photographic documentations, basing on a nominal metric judgment, we can assume an average depreciation of 75% that should be implemented to take account of the state of physical obsolescence. The influence of historical-artistic and landscape features can be estimated by the application of incrementing coefficients detected by the literature [17] (Table 4). Table 4. Incrementing coefficients to estimate in incidence of historical-artistic and landscape values [11] Incrementing coefficients Historical values Artistic values Landscape values

Coeff. Max Min 0.10 10% 0 0.20 20% 0 0.03 3% 0

Assuming the maximum incidence (Table 1) to better deal with the characteristics of the buildings, the depreciated reconstruction cost should be increased by 33%. Considering the valuations developed with the cost approach, the most probable market value of the castle of San Niceto is € 904,764.00, value referred to the land and the buildings before the recovery works carried out by the municipal administration in 2011.

5 Conclusions Considering the experience developed, the current paper aims at demonstrating how the market approach and the cost approach can be applied to evaluate the market value of cultural heritage. The literature analyzed detected criticalities and difficulties in applying the SP and the RP methods for real case study. In fact, they are usually employed for academic purposes. In reality, when professionals and technicians are called to assess a property with a historical, architectural and landscape value, the present analysis could give practical and feasible guidelines. In fact, in Italy, the resources available for public policies are always limited, and in particular those allocated to the culture. In detail, analyzing ISTAT data, from 2000 to 2011, there has been a reduction from 0.9% to 0.6% of GDP for expenses in cultural activities, despite the high number of cultural heritage items. In this context, a robust approach to support public administrations is strategic. A transparent and validated assessment of market values, combined with a cost analysis, could, in fact, aid in planning new interventions and in allocating resources.

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Moreover, between the two methodologies applied, the cost approach is recommended when it is not possible to find suitable comparable even if the market approach represents the best solution since reflects the market trends. By the way, considering the two results obtained it is possible to detect how the market values are almost coincident, which validates the outcome. Intangible values carried by the cultural heritage have not been detailed in this application but considered as comparison elements in the market approach. This aspect could be further developed and investigated in future applications and the opinion of the community could be detected to proceed towards participatory choices.

References 1. Acampa, G., Giuffrida, S., Napoli, G.: Appraisals in Italy Identity, contents, prospects. Valori e Valutazioni 20, 13–32 (2018) 2. Mohamad, J., Ismail, S.: Capabilities of revealed preference method for heritage property valuation. Plann. Malaysia J. 17(9), 377–388 (2019) 3. Oppio, A., Bottero, M., Ferretti, V.: Designing adaptive reuse strategies for cultural heritage with choice experiments. In: Appraisal: From Theory to Practice, pp. 303–315. Springer, Cham (2017) 4. Bottero, M., D’Alpaos, C., Oppio, A.: Ranking of adaptive reuse strategies for abandoned industrial heritage in vulnerable contexts: a multiple criteria decision aiding approach. Sustainability 11(3), 785 (2019) 5. Salvo, F., Zupi, M., De Ruggiero, M.: The valorization of public real estate. A first outcome of the experiences in progress and a methodological proposal. Aestimum 43, pp. 135–146 (2016) 6. Barizza, P., Monti, G.: Perdita di valore culturale di beni vincolati: un problema di difficile valutazione economica. In: IF CRASC, pp. 501–509 (2012) 7. Sdino, L., Rosasco, P., Torrieri, F., Oppio, A.: A mass appraisal model based on multicriteria evaluation: an application to the property portfolio of the bank of Italy. In: International Symposium on New Metropolitan Perspectives, pp. 507–516. Springer, Cham (2019) 8. Sdino, L., Rosasco, P., Novi, F., Porcile, G.: The evaluation of actions aimed at enhancing the cultural heritage: The case study of the Colosseum roofing (2018) 9. Sapienza, C.: La Valutazione Economica dei Beni Culturali (2003) 10. Lazrak, F., Nijkamp, P., Rietveld, P., Rouwendal, J.: The market value of cultural heritage in urban areas: an application of spatial hedonic pricing. J. Geogr. Syst. 16(1), 89–114 (2013). https://doi.org/10.1007/s10109-013-0188-1 11. Mazzanti, M.: Valuing cultural heritage in a multi-attribute framework microeconomic perspectives and policy implications. J. Socio-Econ. 32(5), 549–569 (2003) 12. Klamer, A., Zuidhof, P.W.: The values of cultural heritage: merging economic and cultural appraisals. Economics and heritage conservation, pp. 23–61 (1999) 13. Sirchia, G.: (Ed.) La valutazione economica dei beni culturali. Carocci (2000) 14. Tajani, F., Morano, P., Salvo, F., De Ruggiero, M.: Property valuation: the market approach optimised by a weighted appraisal model. J. Property Investment & Finance (2019) 15. Giammaria, V., Bambagioni, G., Simonotti, M.: Codice delle valutazioni immobiliari: Italian property valuation standard (2018)

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16. Ciuna, M., De Ruggiero, M., Salvo, F., Simonotti, M.: Automated procedures based on market comparison approach in Italy. In: d’Amato, M., Kauko, T. (eds.) Advances in Automated Valuation Modeling. SSDC, vol. 86, pp. 381–400. Springer, Cham (2017) 17. Lo Bianco, G.: Estimo. Hoepli, Milano (1981)

Matera European Capital of Culture 2019: A Preliminary City Branding Valuation Vincenzo Del Giudice1, Pierfrancesco De Paola1(&), Fabiana Forte2, and Benedetto Manganelli3 Department of Industrial Engineering, University of Naples “Federico II”, Piazzale Vincenzo Tecchio 80, 80125 Naples, Italy {vincenzo.delgiudice,pierfrancesco.depaola}@unina.it 2 Department of Architecture and Industrial Design, University of Campania “Luigi Vanvitelli”, Via San Lorenzo ad Septimum, 81031 Aversa, Italy [email protected] 3 School of Engineering, University of Basilicata, via dell’Ateneo Lucano 10, 85100 Potenza, Italy [email protected] 1

Abstract. The city of Matera, an UNESCO World Heritage site in Basilicata Region, has been designed in 2015 as European Capital of Culture for the year 2019. It is the first town in the Southern Italian which has been awarded the title. The paper represents a first step of an ongoing research, and aims to quantify the benefits which the title of European Capital of Culture has been able to bring to the city of Matera in the form of a brand. As it is known, in cultural economics, economic impact studies are the most common tools for assessing the economic impact and value of cultural events. The use of Contingent Valuation Method (CVM) in the Matera city branding evaluation has allowed to identify the flows of annual monetary benefits deriving from the potential direct and indirect users, assessing the Willingness to Pay for the enjoyment the territorial resources. The CVM was carried out on two distinct samples, referring to the years 2016 and 2017, in order to confirm the reliability of the results obtained. Keywords: City branding
Contingent Valuation Method of Culture
Cultural heritage


European Capital

1 Introduction In the competitive global scenario, the challenge between cities is to promote themselves, attracting visitors, investors, activities, talented people, as the “creative city” of Landry and Bianchini [1] and Florida [2]. Literature review suggests which it’s possible to recognize several approaches adopted by cities in promoting themselves, as cultural mega events, cultural heritage enhancement, realization of iconic buildings or “new architectural assets” [3, 4]. According with Kavaratzis [5], in order to respond to the demands of competition and attract the desired target groups, place administrators have recognized in marketing theory and practice a valuable ally. In this perspective, city branding is suggested as the © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1755–1764, 2021. https://doi.org/10.1007/978-3-030-48279-4_166

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appropriate way to describe and implement city marketing. As reported by the American Marketing Association, a brand is “a name, term, design, symbol or any other feature that identifies one seller’s good or service as distinct from those of other sellers”. Similarly, territorial or place brand can be defined as “a name and/or a symbol (logo or brand) characterizing, which identifies an area and differentiates it from competing territories, representing the synthesis of the objective, cognitive, values and emotional elements of the supply” [6]. The most relatively recent concept of city branding involves the recognition of a given city at various levels, as well as the way in which political actors work on those factors [7]. It is understood as “the means both for achieving competitive advantage in order to increase inward investments and tourism, and also for achieving community development, reinforcing local identity and the identification of the citizens with their city and activating all social forces to avoid social exclusion and unrest” [5]. Branding strategy should not be considered as a single element of promotion, but should be seen in the light of a more elaborate and complex process, with multidimensional aspects that must be evaluated inside the city promotion plan. Another crucial aspect of this process is the involvement of different stakeholders called to cooperate (public entities, entrepreneurs, promoters, commercial operators, residents, etc.). There is no single way to define and develop a city brand; but it is possible to identify some factors able to change the perception of the city, as: actions of touristic promotion [8], realization of mega events, visual system [9]; culture. Specifically culture, as well as, cultural projects can play an essential role in define and develop a city brand. In this perspective particularly significant is the experience developed with the European Capital of Culture (ECOC), an initiative launched in 1985. According to European Commission [10], it has become one of the most highprofile cultural initiatives in Europe. The cities are selected on the basis of a cultural program that must have a strong European dimension, promote the participation and active involvement of the city’s inhabitants and contribute to the long-term development of the city and its surrounding region. Holding the title of European Capital of Culture is also an excellent opportunity for the cities to change their image, put themselves on the world map, attract more tourists and rethink their development through culture. The title has a long-term impact, not only on culture but also in social and economic terms, both for the city and the region. The European Capital of Culture is a city designated by the European Union for a period of one year during which it is given a chance to showcase its cultural life and cultural development. A number of European cities have used the City of Culture year to transform completely their cultural base and, in doing so, the way in which they are viewed internationally. The city of Matera, an UNESCO World Heritage site in Basilicata Region, has been designed in 2015 as European Capital of Culture for the year 2019. It is the first town in the Southern Italian which has been awarded the title, distinguishes themselves for a strong will to change at local level in an international perspective (other Italian cities awarded this title are Florence 1986, Bologna 2000 and Genoa 2004). Referring to the socio-economic context where the project “Matera 2019” fits, occur highlight the economic delay which always characterize the South of Italy: the starting year of this experience, 2008, coincides with the beginning of the markets’ crisis, a not secondary factor in the evaluation of a candidate coming from one of the regions structurally weaker of Italy.

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Basilicata region, from the beginning of 2008 witnessed the collapse helplessly of the local GDP, decreases of the 13.6% compared with the -12.3% in the South and the national – 8,6%, with an already delicate regional demographic framework: the depopulation of inner areas is particularly severe in this region [11–28]. With the assignment of the title of European Capital of Culture the Italian region which most of all is characterized by a deep infrastructural gap (both for demographic and morphologic reasons), has obtained the opportunity to build from scratch a collective identity. In this perspective the article, which represents a first step of an ongoing research, aims to quantify the benefits which the title of European Capital of Culture has been able to bring to the city of Matera in the form of a brand. As it is known, in cultural economics, economic impact studies have been (and still are) the most common method for assessing the economic impact and value of cultural events. However, in cultural economics no consensus has emerged on the suitability of the impact studies. Above all, the last decades have been characterized by the increasing attention being paid to the Contingent Valuation Method as an appropriate alternative to impact studies [12]. The processing was carried out on two distinct samples, referring to the years 2016 and 2017, in order to confirm the reliability of the results obtained.

2 The Contingent Valuation Model In its original version the CVM was initially proposed by Ciriacy-Wantrup [29] during a series of studies on the positive externalities for nonmarket assets, realizing that these externalities could be deduced from a sample of individuals who undergo a survey concerning the willingness to pay in order to take advantage of public goods and services without prices. This technique was later refined by Hanemann [30, 31], McFadden [32] and Arrow et al. [33]. Since the 90s this technique has had widespread use in U.S. especially, and it was applied to cultural heritage and for World Bank feasibility studies aimed to urban regeneration projects [34]. The CVM’s implementation involves three phases: delimitation of survey area; definition of a statistical sample, representative of “users” population who are interested, directly or not, to historical and cultural resource being evaluated; estimation of average individual WTP or WTA, performed on the sample, based on the monetary amount that user is willing to pay (or is willing to accept) to take advantage of resource (or to give up the resource), as well determination of total WTP or WTA, calculated for entire population of users [29–38]. The preferences expressed by sample interviewed depend, obviously, from simulated scenario and allow to identify the Total Economic Value, the user value or the non-user value of resource. The questionnaire to be submitted to sample population is composed of three parts: a first part relates to interviewee’s awareness about the resource in question; a second part consists in collecting information (expression of WTP or WTA); a third part consisting in gathering information about the socio/economic characteristics of interviewees. The answer mode of interviewees can be different:

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• Open-ended (OE): the interviewee expresses in a completely autonomous mode his willingness to pay (WTP) or to accept (WTA), without receiving any suggestion by interviewer; • Closed-ended (CE): the interviewee can choose his willingness to pay (WTP) or to accept (WTA) in a range of predetermined values (defined by interviewer); • Bidding game (BG): in this case for the interviewee is defined a default value as auction basis; • Dichotomous choice (DC): the interviewer suggests a monetary amount that interviewee can accept or decline with a dichotomous response (yes or no); • Contingent ranking (CR): a list of precompiled answers is submitted to the interviewee that expresses his preferences by ordering the suggested answers in an ordinal or cardinal order; • Stated preference (SP): for the interviewee is given the opportunity to make a tradeoff between a predetermined money amount and all attributes related to a specific choice; • Choice Experiment (CE): it allows to focus on how, changing good’s attributes, may change the willingness to pay by interviewee. Depending on the application of choice models it is possible to relate the WTP (or WTA) with a series of independent variables (such as income Y, education level L and other generic variables defined with a Z term), and therefore: (WTP)i = f(Yi, Li, Zi), (WTA)i = f(Yi, Li, Zi). The area under demand curve represents the consumer surplus. Assuming that E is the generic historical and cultural resource, to which is associated an SE survey area, and PE is the population of nE users for the historical and cultural resource existing in SE area, from PE population we consider to extrapolate a CE sample formed by mE subjects. Then it is determined through interviews, for CE sample, the average individual willingness to pay or to accept [(WTPE)S or (WTAE)S] in order to take advantage or sacrificing the existing resource in SE area. At this point we can consider the following relations: E E E −1 • CV, open-ended: (WTPE)MED = m−1 E (WTP )S, (WTA )MED = mE (WTA )S; E E • CV, close-ended: (WTP )MED = −[1 – G(x)]dx, (WTA )MED = −[1 – G(x)]dx;

Where ½1  GðxÞ ¼ Prob ðSI ¼ 1=xÞ ¼ Prob ðx  WTPÞ or ½1  GðxÞ ¼ Prob ðSI ¼ 1=xÞ ¼ Prob ðx  WTAÞ is the probability that interviewees consent (i.e. respond affirmatively) to the donation x (amount of willingness to pay or accept), and G (x) represents the cumulative frequency distribution of random variable (WTPE or WTAE). In CVM of close-ended type, for Hanemann’s parametric approach (1984), based on maximizing of random utility variation (McFadden, 1976), the probability of an affirmative answer to the donation, similarly, may be stated as follows: Prob ðSI ¼ 1=xÞ ¼ FgðDVÞ. In the last relation, g ¼ ðl0  l1 Þ represents the difference between two random, independent and identically distributed variables, variables in which flows the uncertainty of individual utilities to environmental supply levels lq1 and lq0 (lq1 > lq0); Fη(DV) is the cumulative distribution function of stochastic error, being DV ¼ ðV1  V0 Þ the

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difference between the utilities specified in ηq1 and ηq0. This last function, on the other hand, can be express by following logit model: FgðDV Þ ¼ ½1 þ expðDV Þ1 , where DV presents different formulations in relation to number and types of explanatory variables (economics, social, etc.) for the utility functions considered. Once calculated the average individual WTP or WTA, the total amount of WTP or WTA, related to PE population, can be obtained as follow: WTPE = nE(WTPE)MED and WTAE = nE(WTAE)MED. Or, as a precautionary measure, we can use the relations: WTPE= cnE(WTPE)MED and WTAE= cnE(WTAE)MED, where the term c = ( m0E =mE ) indicates the success rate of interviews, given that m0E is the number of interviewees who provided answers that can be used to conduct the evaluation. The amount of total WTP or WTA, calculated in this way, configures the economic value of historical and cultural resource.

3 Case Study: Matera European Capital of Culture 2019 Matera is one of the oldest centers in the world, and can be considered as the first urban system, after Rome, to enter the UNESCO World Heritage Site, in 1993, after receiving the nickname “National shame” by the politician Palmiro Togliatti in 1948 and the total emptying of the Sassi district, which began in 1953 following the so-called Law “Svuota Sassi”. At the time, Italy could not accept that, in a nation on the threshold of economic progress, a part of its population lived in “caves” without any hygienic standards, in direct contact with animals. Matera has shown a strong spirit of adaptation to the imposed change by showing an innate resilience. The recovery, after years of refusal of the Sassi as part of the city and proposals for the complete demolition of the unhealthy neighborhood, will begin in the late 1980s thanks to laws specifically designed for the neighborhood. The main themes that characterized the development of the city of Matera as European Capital of Culture can be summarized as follows: • Remote future, or which elements of the culture of Matera contain important messages for the future of European citizens, such as the creation of common spaces and practices with futuristic life models; • Roots and paths, in terms of individual spirit of self-entrepreneurship linked to the new professions of culture, tourism and new technologies and to develop a favorable context to attract subjects from other regions, which give new impetus to the local system. • Reflections and connections, understood as the desire to reconnect art and culture with everyday life in order to imagine new models of life, culture and economy. • Continuity and ruptures: the history of Matera has seen in the depopulation of its heart a moment of strong fracture, which could have led to the collapse of the entire urban system. With the award of the title European Capital of Culture, the city aims to include visitors as temporary citizens. • Utopias and dystopias: these two concepts deal with the historical path and are aimed at understanding the boundary line not to be crossed to avoid transforming the territory’s opportunities into dystopias.

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Questionnaire

The questionnaire was submitted to visitors of the main touristic places of Matera in the years 2016 (no. 205) and 2017 (no. 141). The structure of questionnaire was divided in different sections: general information, preferences selection, socio-economic characteristics of interviewee. Initially, the survey questionnaire provided some questions if the interviewee has visited (and how many times in a year) the city of Matera, how many times would he be willing to visit the city in the future, what alternative places are there in the areas surrounding Matera. In the preferences selection were included five questions: the first question, generic, in dichotomous choice format (DC), asks whether the interviewee is in favor or against the introduction of ticket cost; in the second question, in open-ended format (OE), the interviewee freely expresses his choice on WTP without any prompting from interviewer; in dichotomous choice format (DC), the third question asks in the event of introducing a local tax to be able to promote and finance the initiatives linked to the title of European Capital of Culture (the proceeds of which would be entirely donated to these initiatives), if the interviewee is for or against; in the fourth question, in openended format (OE), the interviewee freely expresses how he/she contributed or would have been willing to invest/donate in monetary terms to support Matera’s candidacy as Capital of European Culture; the fifth question concern the amount of money that the interviewee would be willing to pay, in terms of travel cost, to be able to go from the place where he/she lives to the historic center of Matera to be able to visit it. 3.2

Data

Through submission of questionnaire to a random sample in the main touristic places of Matera (346 visitors in total), it was proceeded to data collection for application of CVM. The interviewees, after receiving accurate information and clarifications about the proposed questions, have declared of being favorable to entrance fee for to visit Matera and raise funds (about 53% for year 2016 and about 56% for year 2017). Based on open-ended responses, the unitary WTP is resulted equal to €/visit 3.39 for year 2016 and €/visit 3.77 for year 2017. 3.3

Application of CVM

At first was constructed, starting from open answers, the WTP’s frequencies table expressed by interviewees, with its frequency curve, and it is determined a possible demand curve with reference to the frequencies “cumulated from above” of declared visits (in hypothesis that the person willing to pay a specific amount, he will also be willing to pay for a lower amount). Starting from frequency curve “cumulated from above” was performed a data interpolation for estimation of demand curve. The regressions are carried out with SPSS program. For year 2016, the higher percentage of declared visits is obtained in correspondence of ticket fee below € 1.00 (31.20%), and cumulatively below € 5.00 the percentage is 88.70%. For year 2017, the higher

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percentage of declared visits is obtained in correspondence of ticket fee below € 1.00 (25.60%), and cumulatively below € 5.00 the percentage is 85.90%. For estimation of demand curve were considered the linear or logarithmic regression models, or else: WTP ¼ b0  b1 ðF Þ; WTP ¼ b0  b1 lnðF Þ: The logarithmic model estimation produces an R2 value (indicator of model fit) equal to 0.972 (year 2016) and 0.984 (year 2017), compared to R2 value, relative to linear model, equal to 0.616 (year 2016) and 0.705 (year 2017), indicating that logarithmic model fits better to empirical data and it can represent the actual relationship between declared visits and WTP. In addition, also coefficients are significant. The estimated equation is thus: WTPð2016Þ ¼ 19:393  3:675 lnðF Þ; WTPð2017Þ ¼ 19:518  3:946 lnðF Þ; from which it get that: F ð2016Þ ¼ eð19:393  WTPÞ=3:675 ; F ð2017Þ ¼ eð19:518  WTPÞ=3:946 :

3.4

Results of CVM

From above functions and for a number equal to 205 (year 2016) and 141 (year 2017) declared visits, we define the annual flows (relative to the sample) as the area under demand curve:

The consumer surplus, therefore, is obtained as follows: Year 2016: (€/year 695.65/205 visitors) = €/visit 3.39. Year 2017: (€/year 531.54/141 visitors) = €/visit 3.77. Considering the average number of visitors for Matera (equal to 547.532), we can establish the annual flow of monetary benefits related to potential visitors. Therefore, the annual benefits flow is equal to: Year 2016: (547.532 visitors/year x €/visit 3.39) = €/year 1,856,133.48 Year 2017: (547.532 visitors/year x €/visit 3.77) = €/year 2.064.195,64 These last values are representative of potential tourist exploitation of Matera, and it must be capitalized to be representative of value investigated through CVM. Assuming a Social Discount Rate equal to 5% (based on general indications of Guidelines for Cost-Benefit Analysis predisposed by European Community) we obtain a Total Economic Value (VET) for the city of Matera equal to: VET(2016) = (€/year 1,856,133.48/0.05) = € 37,122,669.60 VET(2017) = (€/year 2.064.195,64/0.05) = € 41,283,912.80

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The two results obtained substantially converge with each other (difference of approximately 10.08%).

4 Conclusions The CVM allows to evaluate nonmarket assets through the simulation of a hypothetical market in which users are asked to declare their WTP or WTA for particular goods granted in use. This is the only method that can explain both the non-user values both the user values for amenities, the amounts of which can’t be ascertained by examining subjective behaviors. The use of CVM in the Matera city branding evaluation has allowed to identify the flows of annual monetary benefits deriving from the potential direct and indirect users, assessing the WTP for the enjoyment the territorial resources. The work led to determination of the flows of annual monetary benefits deriving from the potential direct and indirect users of the local cultural resources, monetary flows that were appropriately discounted in order, precisely, to calculate the investigated value (Total Economic Value equal to € 37,122,669.60 for year 2016 and € 41,283,912.80 for year 2017). In this perspective the article, which represents a first step of an ongoing research, aims to quantify the benefits which the title of European Capital of Culture has been able to bring to the city of Matera in the form of a brand. Future research developments may concern the monitoring over time of the unitary WTP, in order to verify whether the effects of the “European Capital of Culture” brand have consolidated over time for Matera and which economic and social sectors are the main beneficiaries of the initiatives related to it. Acknowledgements. The authors contributed equally to the study.

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9. Govers, R.: Why place branding is not about logos and slogans, Place Branding and Public Diplomacy, vol. 9. Macmillan Publishers (2013) 10. European Commission, Creative Europe. https://ec.europa.eu 11. Anttiroiko, A.: City branding as a response to global intercity competition. Growth Change 46(2), 233–252 (2015) 12. Srakar, A., Vecco, M.: Ex-ante versus ex-post: comparison of the effects of the European Capital of Culture Maribor 2012 on tourism and employment. J. Cultural Econ. 41(2), 197– 214 (2017) 13. Antoniucci, V., Marella, G.: Small town resilience: housing market crisis and urban density in Italy. Land Use Policy 59(31), 580–588 (2016) 14. Saaty, T.L., De Paola, P.: Rethinking design and urban planning for the cities of the future. Buildings 7, 76 (2017) 15. Del Giudice, V., De Paola, P., Forte, F., Manganelli, B.: Real estate appraisals with Bayesian approach and Markov Chain hybrid Monte Carlo method: an application to a central urban area of Naples. Sustainability 9, 2138 (2017) 16. Forte, F., Maffei, L., De Paola, P.: Which future for small towns? Interaction of socioeconomic factors and real estate market in Irpinia. Valori e Valutazioni, 24 (2020). DEI Tipografia del Genio Civile, Roma 17. Spampinato, G., Massimo, D.E., Musarella, C.M., De Paola, P., Malerba, A., Musolino, M.: Carbon sequestration by cork oak forests and raw material to built up post carbon city. In: Smart Innovation, Systems and Technologies, vol. 101, pp. 663–671. Springer (2019) 18. Del Giudice, V., De Paola, P.: Undivided real estate shares: appraisal and interactions with capital markets. Appl. Mech. Materials 584-586, 2522–2527 (2019). Trans Tech Publications Ltd 19. Del Giudice, V., Salvo, F., De Paola, P.: Resampling techniques for real estate appraisals: testing the bootstrap approach. Sustainability 10(9), 3085. MDPI AG (2018) 20. Del Giudice, V., De Paola, P., Torrieri, F., Nijkamp, P.J., Shapira, A.: Real estate investment choices and decision support systems. Sustainability 11(11), 3110 (2019). MDPI AG 21. Acampa, G., Grasso, M., Marino, G., Parisi, C.M.: Tourist flow management: social impact evaluation through social network analysis. Sustainability 12, 731 (2020) 22. Nesticò, A., Maselli, G.: Sustainability indicators for the economic evaluation of tourism investments on islands. J. Clean. Prod. 248, 1 March 2020, Article number 119217 23. Della Spina L., Calabrò F.: Decision support model for conservation, reuse and valorization of the historic cultural heritage. In: Gervasi, O., et al. (eds.) Computational Science and Its Applications – ICCSA 2018. ICCSA 2018. Lecture Notes in Computer Science, vol. 10962. Springer, Cham (2018) 24. Corsi, S., Ruggeri, G., Oppio, A.: Territorial vulnerability and local conflicts. Green Energy and Technology, pp. 113–122. Springer, Cham (2018) 25. Oppio, A., Torrieri, F., Bianconi, M.: Land value capture by urban development agreements: the case of lombardy region (Italy). In: Smart Innovation, Systems and Technologies, vol. 100, pp. 346–353. Springer (2019) 26. Morano, P., Locurcio, M., Tajani, F., Guarini, M.R.: Fuzzy logic and coherence control in multi-criteria evaluation of urban redevelopment projects. Int. J. Bus. Intell. Data Mining 10 (1), 73–93 (2015). Inderscience Enterprises Ltd 27. Morano, P., Tajani, F.: Saving soil and financial feasibility. A model to support the publicprivate partnerships in the regeneration of abandoned areas. Land Use Policy 73, 40–48 (2018) 28. Ciriacy-Wantrup, S.V.: Capital returns from soil conservation practices. J. Farm Econ. 29, 1181–1196 (1947)

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Sustainability Between Smart Materials and Design Methodology (Baghdad City as a Case Study) Emad Al-Jabbari and Maha Haki(&) Department of Architecture, Al -ESRAA University College, Baghdad, Iraq [email protected], [email protected]

Abstract. The paper presents the concept of sustainability from an architectural point of view as energy conservation for future human societies through the use of contemporary design solutions appropriate to the requirements of the community and the spatial environment while The paper deals with the subject of sustainability from a logical point of view and methodology of architectural design and compare it with what is now common use of smart materials technology in solving environmental problems as a solution of environmental sustainability in architecture, the paper will address the city of Baghdad as an application model for this. The paper presents the concept of sustainability from an architectural point of view as energy conservation for future human societies through the use of contemporary design solutions appropriate to the requirements of the community and the spatial environment while avoiding the use of imported advanced technology that leads to waste energy. This contradiction between the use of technology, which is the largest source of energy consumption, and the primary goal of sustainability in energy conservation, pushed the research to address the issue of sustainability by finding design solutions away from the use of modern technology, which is now considered smart materials one of the most important applications currently. Sustainability is the optimal use of the available resources and capabilities, whether human, material, natural, balanced, effective, environmental and urban without wasting the gains of future generations. It was mentioned at the World Conference on Environment, Development and Sustainability. It was formulated (to meet the needs of current people without affecting future generations to meet their future needs) and four goals have been set for them within the OECD framework: 1 Resource Efficiency; 2 - Energy Efficiency; 3 - Environment Compatibility. Integrative organization and curricula. Keywords: Sustainability


Smart building
Smart materials
Technology

1 Introduction: Smart Material and Technology 1.1

Definitions

The formation of the shape is a natural result of the types of techniques used, and the technology is responsible for all form relationships, and the technological capabilities are able to convert a set of ideas into a concrete material and create the final shape and © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1765–1775, 2021. https://doi.org/10.1007/978-3-030-48279-4_167

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consider it a means of communication and transfer of meanings between the architecture and others, as the technology is a way to meet the requirements Functional and expressive simultaneously through the final form. There is a misunderstanding and confusion between vocabulary that has an active and significant role in the design process and in achieving the concept of sustainability such as the design process, smart materials, smart building, sustainable design. And that throughout the ages, the builders were aiming to achieve elements of thermal comfort and safety (Vitruvius trilogy) in different ways and methods. The place had an active and important role in deciding to use specific building materials that differ from one place to another in order to achieve a local expressive and inexpensive architecture Therefore, the research aims to make a comparison between smart and sustainable buildings in terms of requirements and achieving environmental sustainability. There is a difference between smart thinking as a method and smart materials as a product, as traditional buildings that did not rely on smart building materials carried smart solutions, so we find them appropriate in terms of thermography, and here we must differentiate between the design methodology (the method of designing design solutions) and the output as The method used to reach the goal is the methodology for finding design solutions in different ways used to achieve that goal. Design is defined as: a set of logical, technical, and scientific processes that are able to define shapes and organizations and also the processes that can create for human’s spaces in order to be able to carry out the activities they need. As for sustainable design, it is an integration between planning and design, and the design is self-operating when compared to traditional design. Early design decisions have a strong influence on the effectiveness of sustainable design energy on a structural philosophy. And it is not a certain form more than resorting to the familiar forms, it is assumed that the sustainable buildings cost in the construction stage a lot, but they are economical in the operation stage and are not more complicated than the traditional buildings. An integrated design in which each component is part of every larger component is an important component of sustainable design success. We conclude from this that the process of selecting and using building materials, whether traditional or advanced, is one of many or very large processes in the design process. 1.2

Smartness in Building

The idea of intelligence in buildings is not new. Since the beginning of history, man tried to build a shelter for him from ancient times in various forms and nature to protect himself from dangers, using the techniques and building materials around him from the surroundings in which he lives and from that particular era of time. To provide safety and comfort at a certain level [1]. The idea of intelligence in buildings must distinguish it from complementarity and automation in it, that intelligence is often referred to by people when using things or elements that perform automatic functions or by means of control systems, such as to perform ordinary household functions through computer systems such as turning on or turning off the light according to Certain times, and thus are not considered smart due to the lack of logic in the system [2].

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Smart Building: The definitions of smart buildings have varied according to the multiple views of institutions and researchers, as the American Institute of Intelligent Buildings showed the importance of the smart building in providing a productive, effective and economically productive environment, and showed that the ideal building intelligence is in congruence between the solution and The user’s need and adoption of technologies in the building are achieved in accordance with the changes in a satisfactory and inexpensive manner [3]. Whereas, the smart building in Europe is defined according to the British group as the building that achieves an environment that maximizes efficiency for the occupants of the building, as well as enabling efficient management of materials and using the lowest possible cost for its parts and facilities. This building provides a smart, responsive, efficient and supportive environment linked to the needs of the user [4]. And of the economic and functional benefits of the smart architecture: increasing the life of the building, reducing the cost of maintenance, reducing energy consumption, reducing the need for costly adjustments to the structure [4]. As for the Smart Materials, they are known as: They are the materials that have the ability to detect and respond to external influences in a predetermined manner. They are also known as materials that can highlight adapt (highlight) to properties and some characteristics such as reflection, thermal conductivity, external appearance and ventilation as a response to environmental changes. It may be made from a mixture of materials or enhanced [5]. New terminology for material and productions that have the capability of perceiving and processing environmental events and show proper reaction to them. In other word, these materials have the capability to change and are able to reversible change their form, color, and internal energy in response to physical or chemical effects of surrounding [6]. We conclude from all the above definitions that the use of smart materials was not directly addressed. On the contrary, the above definitions emphasize relying on a correct methodology for finding solutions and not relying on building materials (which may be expensive and difficult to maintain) to produce a comfortable and efficient building. Also, smart materials are not necessarily related to advanced technology, but rather achieve technology appropriate for a place in an era. 1.3

Technology

The word Greek origin, consisting of two syllables, the first syllable: Techno, which means craft, skill or art, while the second syllable: Logy, and it means science or study, hence the word technology means the science of the ability to perform and apply technology is as old as the scientific achievement, as technology Man knew it before the advent of civilization [7]. Certainly, technology preceded the sciences - where the Neanderthal began to lay out his simple tools without working their machine and the nature and secrets of the materials he used. He distinguished people from ancient times by making machines and tools [7]. Technology: is the set of accumulated and available knowledge, expertise, material, organizational, administrative and moral means and tools used to perform a function in

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the field of daily life to satisfy the material and moral needs, whether they are at the level of the individual or society [8]. Many believe that the productive process is the thought, the tool, and the need, and some view architecture in this perspective as a process in which the need, thought, and social technology interact on the one hand and the primary materials on the other hand, i.e. it has expanded the side of the tool to include the physical and spiritual parts [8]. The current architectural models inherited from previous eras demonstrate that there is a proven relationship between the technological development available in each era and the shape, components, and environment in which architecture is in that era. Some innovative architects take advantage of the capabilities provided by the development to reach an architecture that reflects the needs of the times and the spirit of technology that is available in it [8]. From the foregoing, we conclude that smart materials: they are efficient, low maintenance materials that are related to technology in a specific age and are not necessarily advanced with advanced technology. Accordingly, the building materials used in traditional and heritage architecture are smart materials within this concept and the old traditional buildings are smart buildings that meet the human need to achieve sustainability and its requirements as the bricks as an important traditional local building [9]. So we will address the traditional architecture and its most important manifestations to achieve the goal of research in making a comparison between smart and sustainable buildings and to clarify the difference between sustainable architecture using smart materials with advanced technological technologies and sustainable architecture through following a design methodology using materials and technology available for all time.

2 Traditional and Heritage Architecture In the traditional architecture, a lot of architectural values and characteristics emerged, which were reflected in various aspects of economic, social, technological, natural, and climatic life. And they reflected the civilizational identity of the region and the place. Among these advantages: 1. The organic expression of the architectural elements: It is a reflection of the architectural functions on the architectural formations spontaneously and automatically through the use of local materials and their natural state without introducing additions or modifications that change the state of the material used in the construction, whether construction or building materials [10]. 2. Shaded spaces: The hot nature of the atmosphere affects the outer spaces, as strong sunlight prevents the exploitation of such open spaces in the practice of various activities unless they are all or parts of them by buildings or tree rows. Therefore, the designer has created shaded areas to accommodate the hot environment in addition to their suitability for the human scale and simple means of transportation in these heritage areas (see Fig. 1) [10].

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Fig. 1. A figure showing the inner courtyard and its relationship to outer space.

3. Responding to climatic conditions: Addressing climatic conditions is a product of architectural features that are reflected in the architectural elements and that perform the appropriate purpose for them. Among the elements used in the treatment of climatic conditions are the interior yard, lobsters (Mashrabiyas), (Rawashin) (details of the windows in the oriental traditional buildings) and broken entrances. The inner courtyard is considered an architectural solution suitable for adapting the air according to the region (see Fig. 2). Also, the use of air clamps to direct the air inside the building and its adaptation and benefit from it as a natural factor by moistening it from dust and impurities. In addition to increasing the thickness of the walls to achieve the appropriate thermal insulation, as well as The use of (Mashrabiyas) provides a state of privacy in addition to reducing the heat entering as well as reducing the glare of the sun (see Fig. 3) [10].

Bad floor shades

Good floor shades

Fig. 2. Underrated urban environment. Built environment

Fig. 3. A footpath in the shadow with a wall facing North. A pedestrian walkway in the shade

1. Facade shading: In traditional heritage buildings, people resorted to following solutions for shading corridors. Covering methods differed according to the different corridors, streets, and building materials available. They also resorted to other architectural treatments, and they cast more shadows on street floors and building facades as well. Make projections on the facades of buildings overlooking them by

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overlapping projections. These overlays project to cast shadows on the facades of the building itself and on the street floor that overlooks it. Also, if there are some prominent architectural elements, such as (Mashrabiya), for example, more shadows will be cast. Also, these external projections of buildings on both sides of the street gradually increase from the lower floors to the upper floors (see Fig. 4), and this increases the width of the sector at the road level from the upper width of the sector, which helps in the movement of air and regenerates it from the bottom up [10].

Fig. 4. The graduation in the elevations gives falling shades on the elevation that reduce exposure to the sun

We conclude from the above that traditional architecture sincerely expresses the job and the natural, social and cultural environment, and has been able to reach sound architectural solutions to achieve protection from severe weather factors in addition to using local materials available in the environment and appropriate technologies for the age to achieve rationalization of energy consumption And preserve the environment.

3 Case Study/Practical Method - Results and Conclusion The research will address important features of traditional architecture in Baghdad/Iraq and the Vatican/Italy to clarify aspects of the research that have been discussed. 3.1

Al Qashla/Baghdad/Iraq

The first to build this place in 1850 AD. The construction is completed in 1871. The building consists of a two-faced clock tower, with a height of about 23 m, the length of the building 160 m and its width, 25 m. It overlooks a green garden overlooking the Tigris River. The (Qashla) building was used as the seat of government, departments, and ministries in the Iraqi state. The building of (Qashla) was considered historical and heritage in 1989 (see Table 1) [11].

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Table 1. The first elected sample (Al Qashla Building). Practical description Climate treatments and interfaces

Analysis and clarification 1. Control the lighting process in the blanks by using wooden windows, which are used as an appropriate way to facilitate use comfortably and safely and reduce the intensity of direct sunlight, which organizes the lighting and staging process in vacuum lighting 2. The presence of hallways that provide shadows and light areas that help in gradation of heat and lighting distribution 3. Using different projections that prevent direct sunlight entry

Clarification

Role of facade in preventing direct sunlight

Details of hallways Achieve thermal comfort

Extent of response to the job

1. Using building materials that have excellent thermal insulation 2. Increasing the thickness of the walls to achieve thermal comfort 3. The presence of different climate treatments that achieve thermal comfort at the level of facades and at the level of space design 1. It was designed on the basis of an administrative job, as it was the seat of the government at that time, then it became the headquarters of a number of ministries and government headquarters 2. The building continues to fulfill the position on which it was established 3. Achieving durability, as evidenced by the long-term preservation of the building 4. The ability of the building to accommodate a large number of citizens and visitors

The thickness of walls

Designed on administrative job

(continued)

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Practical description Achieving sustainability through design

Protection from the direct and indirect impact of heat

3.2

Analysis and clarification

Clarification

Use of technologies and technology available at that time and the building’s success in achieving sustainability through: 1. Using economically low cost local building materials (bricks) 2. It does not affect the environment due to the lack of toxicity of the building materials used 3. Rationalizing energy consumption by reusing materials and their durability and not requiring permanent maintenance Natural building materials have a role in reducing the high temperatures in the region due to their harmony with the environment and their compatibility with the characteristics of the region, which adapts it from a long time

Building materials (bricks)

The role of natural materials in reducing heat

St. Peter’s Church/Vatican/Italy

On April 18, 1506, construction work began on the Basilica of St. Peter’s, and was built on the ruins of a small church of the same name, which is the largest Christian church in Europe. For a century, the cathedral was built in its present form. The most prominent architectural landmark in the building is the large dome designed by Michelangelo. This dome was erected at a height of 120 m (see Table 2) [12].

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Table 2. Selected sample (St. Peter’s Church). Practical description Climate treatments and interfaces

Achieve thermal comfort

Extent of response to the job

Analysis and clarification 1. The presence of balconies that give large areas to enjoy the sunlight 2. The presence of corridors that provide isolation areas that help in gradation of heat and distribution of light 3. The large number of windows that allow direct sunlight to enter and benefit from light and heat entering the building, in addition to achieving its role in achieving design purposes for the sanctity of the place 1. Using building materials that have excellent thermal insulation 2. Increasing the thickness of the walls to achieve thermal comfort 3. The presence of different climate treatments that achieve thermal comfort at the level of facades and at the level of space design 1. It was designed on the basis of a religious and administrative function, as this church was the seat of the Pope who runs the Vatican State at that time and is still in spite of the passage of hundreds of years 2. The building continues to fulfill the position on which it was established 3. Achieving durability, as evidenced by the long-term preservation of the building 4. The ability of the building to accommodate a large number of citizens and visitors

Clarification

The balconies windows

Details & thickness of the wall

Designed on the basis of a religious and administrative function

(continued)

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Practical description Achieving sustainability through design

Protection from the direct and indirect impact of heat

Analysis and clarification Use of technologies and technology available at that time and the building’s success in achieving sustainability through: 1. Using economically low cost local building materials (Stone) 2. It does not affect the environment due to the lack of toxicity of the building materials used 3. Rationalizing energy consumption by reusing materials and their durability and not requiring permanent maintenance Natural building materials have a role in mitigating the effect of lower temperatures in the region due to their harmony with the environment and their compatibility with the characteristics of the region, which they adapt from a long time ago

Clarification

Details of the use of local building materials (Stone)

4 Conclusions 1. Heritage buildings are not seen as not smart and unsustainable, as the proposed solutions in that period are identical to the sustainability specifications and standards today, considering that technology is a logical mechanism to achieve a goal and this is what happened with the two elected examples of analysis without misunderstanding when referring to Cutting edge technology. 2. It is not necessary to use advanced technology to achieve sustainability, as it is possible to use local materials while developing them to achieve smart and sustainable buildings through the adoption of sustainable design principles. 3. Rationalizing energy consumption and improving user health through the use of available local. 4. There is a need to transfer the technology of the world and see the fields of knowledge and technology because of the quantitative and qualitative transformations, especially in the fields of technological revolution, with the employment of modern technology without departing from the local spirit that makes architecture an art of historical and cultural value.

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References 1. BP Statistical Review of World Energy, June 2003, Retrieved Aug. 05, (2003). For more information, p. 9 (2014). http://www.bp.com/content/dam/bp/pdf/Energy-economics/ statistical-review-2014/BPstatistical-review-of-world-energy-full-report.pdf 2. Fox, M., Kemp, M.: Interactive Architecture. Princeton, p. 62. Architectural Press, New York (2009) 3. So, A.T.P., Chan, W.L.: Intelligent Building Systems. Springer Science & Business Media. pp. 2–3 (1999) 4. Choi, D.: Will you rent an office in an intelligent building? The IT Magazine, May 14–20 (1995) 5. Kroner, W.M.: An intelligent and responsive architecture. Automation in Construction (2000) 6. Malekzadeh, B., Reza Nili, H.: Architecture Building Sustainability Regarding Smart Materials, Department of Art and Architectural, Islamic Azad University, Hamedan, Iran, p. 463 (2014) 7. Al-Assam, A.A.: Philosophical Rasat, a family magazine issued by the Department of Philosophical Studies at the House of Wisdom, Philosophy and Technology, p. 109 (2003) 8. Al-hamd ullah, R., Allah, N.: Technology and Form: The Impact of Modern Technology in the Form of Habitat, Master Thesis, pp. 1–6 (1997) 9. Torroja, E.: Philosophy of structure. Berkeley and Los Angeles: University of California press, p. 28 (1962) 10. Abu, A.: Nayef bin Nael Abdul Rahman. Sustainable Development in Traditional Architecture in the Kingdom of Saudi Arabia. Master thesis, pp. 87–101 (2011) 11. Darraji, S.I.: Qishla Baghdad, History, Planning, Buildings, University of Baghdad, Center for the Revival of Arab Scientific Heritage, 20–24 (2018) 12. Wikipedia. https://ar.wikipedia.org/wiki/‫ﻛﺎﺗﺪﺭﺍﺋﻴﺔ_ﺍﻟﻘﺪﻳﺲ_ﺑﻄﺮﺱ‬. Accessed 21 Dec 2019

Dynamics of North Italian Historic Centers and Their Meaning for the Urban Structure Ezio Micelli1(&) and Paola Pellegrini2 1

2

Università IUAV di Venezia, 30135 Venice, Italy [email protected] Xi’an Jiaotong - Liverpool University, Suzhou 215123, China

Abstract. The paper investigated the role of the historic centers in the cities and presents the findings of the analysis of statistical data on population, housing and economic activities in 15 historic centers of small and medium size cities in Northern Italy. Between 1991 and 2011 a significant shrinkage of population and high rate of vacancy of housing units is found in the centers, what used to be the core of the Italian culture and where heritage is mostly concentrated. The paper compares these indicators with the same ones elaborated for Milan, the largest city in Northern Italy and discovers different trends: the centre is less underutilized and the shrinkage of population is not a character of the centre only. Milan performs much better than the small and medium cases also for the great growth of economic activities between 1991 and 2011, despite the 2008 economic crisis. The dynamics of the historical centers can reveal wider urban transformations and concur to describe the changes in the urban structure of the Country. The radically different phenomena presented by the paper allow to advance the hypothesis that size matters and resources are neither equally distributed nor achievable – as the idea of the urban structure as an network long proposed by geographer, planners and economic researches – but get concentrated in large metropolitan places. Keywords: Urban dynamics


Historic centre
Urban structure

1 Introduction The town planning culture in Italy has considered the historic centers as a solved issue for almost 3 decades now. The long and fertile season of cultural and technical production, in fact, started in the post II World War period was able to refine and consolidate a solid critical and technical apparatus. This remarkable output, recognized internationally, had a side effect, because both scholars and city officials believed the mission was accomplished and any further study was not needed [1]. Such position is unjustified if the economic and social data related to the oldest parts of our cities are analyzed. These data show how the historical centers suffer from a decline of the functions that characterized these central urban parts for centuries and how therefore they require renewed attention in relation to the dynamics of the contemporary city. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1776–1785, 2021. https://doi.org/10.1007/978-3-030-48279-4_168

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The main purpose of the paper is to investigate the role of the historic centers in the cities they are part of. The paper is organized in four parts. The theme is first addressed reading both the rich tradition of studies for the historic centre that has characterized our country and considering the latest researches on the subject. The second paragraph explains how 16 cities in Northern Italy were analyzed with Census data in the historical centers and the other parts of the city. The third paragraph focuses on the dynamics of three main variables under investigation: population, housing, economic activities. The fourth paragraph interprets the data and proposes a reading of the evolution of historic centers in the wider framework of the country’s territorial relations, because the phenomena that distinguish the centre can contribute to the explanation of phenomena concerning the evolution of the Italian cities.

2 Background. The Historic Centre: Past Attention, Abandonment and Different Settlement Preferences The historic centers contributed greatly to define the identity of the Italian culture, because they have long been the core of Italian economic and political power and consequently they were the place where culture and art concentrated. Playing the role of a spatial device between the individual and society [2], in the oldest part of the Italian cities the variety of urban developments was represented, preserving collective identity and memory over the centuries [3]. Similarly over the centuries the historical and functional importance of the old centers was expressed in an equally important public and private, cultural and technical investment to enrich and preserve it. In the last century, since the 1950s, the historic centers are the object of careful reflection on their physical transformations. With the Gubbio Charter [4], the urban planning discourse put at the centre of the disciplinary debate the oldest parts of the city, which seemed to be the most fragile and threatened urban part, and in the following decades this attention and effort became political and administrative commitment and control tools. Over the years the themes of the conservation of the historical centers against speculation and decay became the subject of an important set of technical literature and regulations, which consolidated categories of interpretation and intervention across the whole Italy. The historic centre is considered not only for defining careful physical transformations, but also as a relevant actor in the social processes: in the 70 s, the Plan for the Historic Centre of the city of Bologna made an important synthesis between conservation strategies and attention to the on-going progress: the Plan promotes social progress by protecting the residence in the centre against the dominant phenomena of tertiarisation [5]. Since the 90s, after the years of experimentation first and normalization then, ancient centers do not seem to deserve the attention of the cultural and scientific world [6] in the hypothesis – unverified – that the related problems are solved and that other aspects of the evolution of the inhabited territories – mostly dispersion and suburbs and land consumption – represent more challenging objects of investigation. Some recent researches have highlighted how the historic centers have new conditions and new problems [7]. ANCSA in collaboration with CRESME highlighted a

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progressive abandonment of the centers throughout the Country in the last Census decade (2001–2011) and some differences among regions and cities [8]. Other researches have focused their attention on Northern Italy taking into consideration small and medium size cities with cartographic tools in a longer time frame, 1991–2011 [9–13]. The picture that emerges from these studies shows the abandonment of a significant percentage of housing units, the loss of business and the massive outflow of administrative activities from the historic centre in favor of more accessible locations. The demographic and economic decline of the centers can be given different interpretations. It can be considered a result of new preferences of residents and economic operators: modern living conditions meet the needs of demand better than the old centers, which represent a not satisfactory choice for housing and work activities because of the way they are built and managed: the functionality of urban heritage appears limited because of the modest endowment of spaces, the obsolescence of the buildings, the complex accessibility. If this dissatisfaction was true, then all historic centers should record analogue decreases in residence and economic activities regardless of size and rank city under consideration. In other words consumer preferences, new demand priorities and a wide range of opportunities would cause the abandonment of the oldest areas of the city. A second reading of the phenomenon links the abandonment of historic centers to the dynamics of Italian cities in the age of globalization and considers the historical centre as a privileged observation place where social and economic phenomena of cities are mostly evident. The research has tested these two interpretations focusing on three indicators – population, housing and economic activities – and on two sets of cities: the small and medium ones compared with the largest city in Northern Italy, Milan.

3 Data. The Census Data for a Long Term View The investigation on the ancient and central parts of our cities started from elaborating and mapping the Census Data available of the last three Censuses, 1991–2001–2011 [13], in the hypothesis that only in the long run it is possible to grasp the evolution of urban phenomena without cyclical elements distorting the reading of data and their interpretation. Relevant and available data about population, housing, economic activities were analyzed in 15 cities in 6 regions of the whole Northern Italy – Lombardy, Veneto, Friuli Venezia Giulia, the Autonomous Province of Trento, Piedmont, Emilia Romagna – to obtain a reliable restitution of the dynamics of a large and homogeneous part of the country [15, 16].1 The last Census data are not recent, but they are the only ones available and directly comparable with the previous Censuses and all can be mapped.

1

The authors are available to provide the entire ISTAT data set used (available online on the website of the Institute) and the methods of their geo-referencing. The cities we considered are the following: Udine, Pordenone, Treviso, Vicenza, Trento, Ferrara, Modena, Ravenna, Parma, Cremona, Brescia, Bergamo, Pavia, Novara, Alessandria, Milano.

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The research analyses 15 cities with the same administrative rank, Capoluogo di Provincia, and a population between 50,000 e 200,000 inhabitants, which can be considered small-medium size cities. The ones analyzed are a very representative sample of the reality, because they are 40% of the cities in the same range of population in Census 2011 in the Regions considered (see Table 1). The research divided the municipal area into three areas in order to compare if and how the phenomena considered differ among areas with different heritage value: – the historic centre; to ensure the homogeneity of the main object of investigation, the ancient centre was defined as the area inside the last circle of the defensive walls; – the Restricted Traffic Area - RTA, which is often a portion of the historic centre; the research brought particular attention to the administrative choices about mobility and parking because they often constitute a significant restriction of accessibility and a crucial aspect of settlement choices. – the rest of the municipal territory. The first investigated variable was population: the overall number, the distribution according to age and education, the number of foreigners, the families. The second variable was housing with particular attention to occupied and unoccupied units, time of construction, percentage of renting. The study finally examined the economic activities and public institutions in the cities, their local units and the number of employees were collected. The results of the small and medium size cities in the period 1991–2011 were compared with the ones of the largest city in Northern Italy, Milan, which was analyzed following the same method and considering the same parameters of the smaller cities in order to understand if phenomena change when the size changes.

Table 1. The data related to population and housing units occupation in the 15 cases and Milan. Total number of Small and medium cities Data on population Population in the municipality in 2011 Population in RTA in 2011 Variation % referred to 1991 Population in the rest of the centre in 2011 Variation % referred to 1991 Population in the rest of the municipality in 2011

Average % of 15, without max. and min. values

1.731.382

1.242.123

75.845 −4,48 91.872

5.751 −9,92 61.085

−8,96 1.563.665

Milano

−17,69 1.175.287 (continued)

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Variation % referred to 1991 Data on housing units Unoccupied units in RTA in 2011 % of unoccupied units in 2011 % of unoccupied units in 1991 Unoccupied units in the rest of the centre in 2011 % of unoccupied units in 2011 % of unoccupied units in 1991 Unoccupied units in the rest of the municipality in 2011 % of unoccupied units in 2011 % of unoccupied units in 1991

Average % of 15, without max. and min. values 1,61

16.870

Milano

− 4,16

198 30,22

6,36

19,57

18,97

12.795

3.495 22,90

10,62

13,29

15,83

121.608

34.853 13,42

5,74

7,89

9,54

4 Analysis. Dynamics of Population, Houses Occupation and Enterprises The analysis of geo-referenced Census data allows to highlight the overall evolution of historic centers in the small and medium size cities over twenty years between 1991 and 2011: the demographic decline, the progressive abandonment of companies and public institutions, the high percentage of un-used housing units. The meaning of these results is the centre has a less significant institutional and economic role and is not functionally central as it used to be. These trends are homogeneous in the 15 cities, but differ in Milan, which shows a completely different pattern. In fact (see Fig. 1 and 2): – in Milan the historic center suffers from a demographic decline between 1991 and 2011 and performs like the rest of the city; in the small and medium towns, instead, the demographic decline happens in the centre but not in the rest of the municipality; – the percentage of unoccupied housing is similar in the small and medium size cities and in Milan in 1991, but twenty years later the trends differ. In small and medium towns unoccupied housing increases significantly and reach the average percentage

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of 30% in the RTA in 2011, more than double the percentage in the rest of the territory. In Milan the percentage drops: 6.4% in RTA and 5.74% in the rest of the territory; values in the different urban parts are similar;

Fig. 1. Population variations in the different parts of the city, comparison between the small and medium size cases and Milan.

– the number of enterprises grew everywhere, but in Milan they boomed +113% while in small and medium cities the growth is limited to +8%; the number of the employees performs similarly (see Table 2); – the number of foreigners grew dramatically everywhere, but in Milan the percentage of foreigners in the historic centre is lower than the one in small and medium size cities, where foreigners are more concentrated than in the rest of the municipality. These data show how in Milan the historic centre performs like the rest of the territory or better and the utilization of the housing stock improved between 1991 and 2011, while in the small and medium size cities the historic centre performs worst than the rest and the housing stock is less utilized. The research hypothesis is therefore the demographic and economic decline of the historic centers is differentiated according to the dimensional rank of the city. This hypothesis, supported by quantitative findings, would mean only the city capable of attracting a large variety of human and material resources can face the economic and social transformations the country has known in the recent decades.

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Fig. 2. Unoccupied housing units in the different parts of the city, comparison between the small and medium size cases and Milan.

5 Discussion. Size Matters: A Interpretation of the Decline of the Historic Centers These quantitative findings allow some tentative conclusions about the complex ongoing phenomena. In particular, the evolution of the private sector in the heart of cities allows some interpretations (see Table 2). The development of economic enterprises, by number and by employees, seems to favor the large centre, undoubtedly better equipped in tangible and intangible resources for competing in the globalized world. The trend of concentrating the managerial functions of tertiary activities like banks and insurance companies in economic hubs such as Milan – which is a consolidated trend in Europe – leaves little chances of tertiary and financial development to the small and medium cities. The phenomena related to the economic enterprises are consistent with the ones of population and unoccupied housing units: the unoccupied urban heritage is minimal in the historic centre of Milan due to a constant reuse by the tertiary sector of what the residence leaves for economic convenience or choice. Different is the case of the smaller cities where, on the contrary, in the absence of operators interested in taking over, the assets are left available to the residence that often finds the location in the central areas less appealing than areas where mobility and accessibility is easier. In fact in the historic centers of most small and medium cities the residents are slowly but

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Table 2. The enterprises and employees in the small and medium size cases and Milan.

Enterprises (unità locali alle imprese) 2011 1991 difference 11-91 Variation % referred to 1991 Density of enterprises in 1991 (units/ha) Density of enterprises in 2011 (units/ha) Employees 2011 1991 Difference 1191 Variance % referred to 1991

Average % of small and medium cities, in the historic centres

Average % of small and Milano, medium cities, in the rest historic of the municipality centre

Milano, rest of municipality

3.127 2.900 227

7.922 5.475 2.448

45.427 21.351 24.076

141.096 87.653 53.443

8,07

44,36

112,76

60,97

17,43

0,66

28,54

5,03

18,52

0,97

60,73

8,09

8.286,20 10.028,10 1.741,90

30.252,30 27.537,20 2.715,10

183.348 590.223 150.069 499.129 33.279,00 91.094,00

18,11

8,38

22,18

18,25

constantly leaving the centre, the demand is declining while the offer has increased due to additions and subdivisions of the existing units. The result in the small cities is a fragmented real estate market where the values of some urban areas have sharply decreased and are affordable to the low-income population, including mostly immigrants (a well-known example of this selective process are the areas next to the rail stations in the historic centre). In Milan instead the pressure and demand for units maintain or increase the real estate values and prestige of the core of the city – not necessarily its identity –, which low-income population can absolutely not afford. The paper has investigated the role of the historic centers in the cities and the findings show how historical centers can reveal wider urban transformations and

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concur to describe the urban structure of the Country. The findings show that size matters – within the limits of an investigation limited to only one large city and not extended to the whole Country – and can help to explain the differentiated trends in the recent development of historic centers of Italian cities. The findings also allow to say probably resources are neither equally distributed nor achievable but get concentrated in the large metropolitan places of the Country - in particular in Milan in the North. The medium and small Italian cities may no longer be in a system of relations of complementarity and synergy long proposed by geographer, planners and economic researches with the powerful metaphor of networks and nodes, which describes complementarity relationships among places of different size, such as the Italian cities and towns [17–21]. To state the relations among territories are changing, size matters, and the metaphor of the network is not an entirely proper interpretation anymore because it should be substituted by that of an increasing hierarchy, more research has to be done: – the cities “in the middle”, meaning the ones larger than 200,000 inhabitants, but smaller than 500,000, should be investigated to understand if they perform differently than the smaller cities and the big one; – the cities of south of Italy and the ones located in the center of the country should be investigated to understand if they perform like the ones located in the northern regions; – the indicators such as the pro capite income and the economic wealth of the different cities should be investigated to understand if large cities are wealthier; – the changes in the real estate values of the units to understand if the paths is different in cities of different population sizes; – the exceptional cases in small and medium size cities should be further investigated to understand the specific reason why some centers of perform better than others in small and medium size cities.

References 1. Dario Franceschini, the Italian Minister of Arts, Heritage and Tourism, The relation at the opening of the Italian Pavilion of the Biennale di Architettura di Venezia 2016, Venezia. http://www.takingcare.it/conferenza-stampa-4-aprile/. Accessed 10 Dec 2019 2. Settis, S.: Se Venezia muore, p. 98. Einaudi, Torino (2014) 3. Albrecht, B., Magrin, A.: Esportare il centro storico. Guaraldi, Rimini (2015) 4. ANCSA: Salvaguardia e risanamento dei centri storico-artistici, Atti del convegno nazionale per la Salvaguardia e il Risanamento dei Centri Storici (Gubbio, 17-19 settembre 1960), ANCSA, Gubbio (1960) 5. Cervellati, P.L.: La città bella. Il Mulino, Bologna (1991) 6. Bandarin, F.: Per una nuova visione del centro storico. ANCSA, Centri storici e futuro del Paese. Indagine nazionale sulla situazione dei Centri Storici, pp. 8–9. ANCSA, Roma (2017) 7. Bonfantini, B.: Tra abbandono ed estrazione: sul futuro di centri e territori storici. Territorio 87, 189–192 (2018) 8. ANCSA and CRESME: Centri storici e futuro del Paese. Indagine nazionale sulla situazione dei Centri Storici. ANCSA, Roma (2017)

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9. Micelli, E., Pellegrini, P.: Vuoto al centro. Impiego e abbandono del patrimonio dei centri antichi italiani. Territorio 82 (4), 12–21 (2017) 10. Micelli, E., Pellegrini, P.: Wasting heritage. The slow abandonment of the Italian Historic Centers. J. Cult. Heritage 31, 180–188 (2018) 11. Pellegrini, P., Micelli, E.: Paradoxes of the Italian historic centres between underutilisation and planning policies for sustainability. Sustainability 11(9), 2614 (2019) 12. Mangialardo, A., Micelli, E.: Condannati al riuso. Mercato immobiliare e forme della riqualificazione edilizia e urbana. Aestimum 74, 129–146 (2019) 13. Valier, A.: Le architetture del fallimento. Strategie e tecniche per il riusto dei progetti incompiuti. Territorio 87, 113–121 14. The data archive of ISTAT. http://dati.istat.it/. Accessed 12 Jan 2020 15. Berta, G. (ed.): La questione settentrionale, economia e società in trasformazione. Annali della Fondazione Feltrinelli, Milano (2008) 16. Perulli, P.: Nord. Una città-regione globale. Il Mulino, Bologna (2012) 17. Clementi, A., Dematteis, G., Palermo, P.C.: Le forme del territorio italiano. Laterza, Bari (1996) 18. Contato, A., (ed.): Policentrismo reticolare. Teorie, approcci e modelli per lo sviluppo territorial. Angeli, Milano (2019) 19. Centro studi e piani economici del Ministero del bilancio e della programmazione economica: Le proiezioni territoriali del progetto 80: ricerca e modelli di base. Atel, Roma, vol. 1–3 (1971) 20. Coscetta, P., Sanfilippo, M.: Mille borghi Cento città Un Paese. Libro Bianco sull’Italia delle origini, Minerva, Roma (2014) 21. Carta, M.: L’Italia davanti alla sfida dei super-organismi metropolitani e degli arcipelaghi territoriali. In: Carta, M., La Greca, P.: Cambiamenti dell’urbanistica, pp. 9–19, Donzelli, Roma (2017)

Cultural Heritage Social Value and Community Mapping Francesca Torrieri1 , Alessandra Oppio2 and Marco Rossitti2(&) 1

,

Università degli Studi di Napoli Federico II, Piazzale Vincenzo Tecchio 80, 80125 Naples, Italy 2 Politecnico di Milano, Via Bonardi 3, 20133 Milan, Italy [email protected]

Abstract. In the light of the growing awareness of the importance of assessing cultural heritage social value and of community involvement in heritage-based planning processes, the paper hints an innovative and people-based approach, which attempts to base the process of appraisal of cultural heritage social value on a wide-spread participatory tool: community mapping. The paper moves from a review of the steps made by estimative theory in assessing cultural heritage social value, with a view to understanding what the current state of art is, what main issues can be pinpointed and, thus, how to enhance existing theories on this matter. Later, it focuses on community mapping, with the aim of understanding which benefits can stem from a participatory process based on this tool. Finally, the opportunity of applying community maps as a key element in the assessment of the social values of cultural heritage and its possible implications are discussed. Keywords: Cultural heritage


Social value
Community mapping

1 Introduction The serious consequences of an ineffective urban growth have led Decision Makers to pay close attention to the definition of new urban policies, in order to deal with these issues and to enhance urban sustainability. These goals can be achieved only through an optimization of cities’ existing resources [1] due to the lack of funding that affects public institution and the need to trace land use back to sustainable levels. This kind of approach leads to place great importance on cultural heritage [2], which represents one of the main sources of Italian historical cities and village, whilst it is often in a critical conservation state. The definition of effective heritage-based strategies and projects cannot overlook the different value dimensions related to cultural heritage: each cultural asset is endowed with a value that exceeds its use value, depending on the significance and the sense that a community assign to it [3]. The importance of this social value of cultural heritage has been recognized and emphasized by the international debate in the preservation field: the Italian Commissione Franceschini documents (1967) identifies cultural heritage as “material testament having civilizing values” [4]; the European Landscape Convention (2000) defines landscape as a portion of territory, © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1786–1795, 2021. https://doi.org/10.1007/978-3-030-48279-4_169

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as it is perceived by communities [5], thus meaning that assessing heritage values cannot be considered only as an objective process, but is strongly dependent on the relationship intercurrent between people and places; Faro Convention (2005) broadens this vision of cultural heritage, by focusing on its “ascribed values”, rather than on its material features [6]. Furthermore, in the planning cultural debate, the importance of creative and participatory activities in the decision-making process has been universally acknowledged [7]. In the light of this awareness, the paper hints an innovative and people-based approach, which attempts to base the process of appraisal of cultural heritage social value on a wide-spread participatory tool: community mapping. The paper moves from a review of the steps made by estimative theory in assessing cultural heritage social value, with a view to understanding what the current state of art is, what main issues can be pinpointed and, thus, how to enhance existing theories on this matter. Later, it focuses on community mapping, with the aim of understanding which benefits can stem from a participatory process based on this tool. Finally, the opportunity of applying community maps as starting points for assessing the social values of cultural heritage and its possible implications are discussed.

2 Cultural Heritage Social Value In the last forty years, estimative theory has shown a growing interest in the attempt of assessing the complex social value of cultural heritage, thus resulting in the necessity of identifying what its social value is and how it can be appraised. The Complex Social Value (CSV) theory recognizes that cultural heritage value stems from the combination of its economic values and its intrinsic/cultural values (e.g., historical, symbolical, social, aesthetical), which can be deduced from the role that the resource plays in a certain cultural, institutional or social context [8, 9]. As affirmed by the literature [10], economic values can be subdivided into use-values (i.e., the benefits that are enjoyed by the subjects that directly experience the cultural good) and non-use values (i.e., the value that is attributed to a cultural good by a subject, even if he/she has not directly experienced that good yet or she/he will never experience it). However, as underlined by Throsby, it is likely that some elements of the cultural value of the asset cannot reasonably be expressed in financial terms, whilst they are important for decision-making [11]. In fact, “heritage decision making is constantly faced with the long-term implications of strategies for conservation, upgrading, and adaptive reuse of buildings and sites” [12]. In this view, the “social use value” of an asset can be considered as sum of a “particular value”, linked to the utility stemming from owning it, and a “widespread value”, expressive of the benefits that a community can get from the existence of a specific asset [13]. The estimative interpretation of this “social use value” proposes four different approaches, which must be selected with reference to the legal status of the considered asset [14]. In this perspective the concept of Social complex value differs from the ones concerning the Total Economic Value for appraising the value of environmental assets. This value stems from the sum of “use-related value” and a “useindependent value”, that can in turn be broken up in different rates (“indirect use value”, “option value” and the “existence value”) [15]. These first reflections point out

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that there is an “intrinsic value” of a cultural resource, which is independent from its utility, but is related to its symbolic meaning, its architectural features and its role in the historical development of a place [16]. The definition of this intrinsic value is essential for a complex and effective evaluation of cultural assets [17], thus paying close attention to the relationship existing between a community and the built environment. Some authors affirm that, not only the points of view of experts, decision-makers and economic stakeholders should be considered in redevelopment projects, but also the opinions of citizens [18]. The spread of multi-criteria methods, in order to assess and compare alternative solutions in spatial decision-making process [19], has led to the effort of considering the “social dimension” of the alternatives in their implementation. The application of the Contingent Valuation Method (CVM) and the Community Impact Evaluation (CIE) to decisions on preservation projects can be considered some of the first attempts in this sense. The Contingent Valuation Method (CVM) aims at verifying the community grade of consensus with reference to different preservation and regeneration project hypothesis. This objective is pursued by collecting complex value judgements from an exhaustive sample through personal interviews or questionnaires and, then, by expressing them in monetary terms (willingness to pay/willingness to accept) [20]. On the other hand, the Community Impact Evaluation (CIE) allows to carry out an analysis of the impacts of a project on a community, by considering all the different sectors of relevant stakeholders [21]. Furthermore, the intention of involving the social dimension as relevant in planning processes has led, in estimative applications, to the implementation of equity analysis [22] as complementary to multi-criteria analysis for the evaluation and ranking of planning alternatives. The equity analysis, indeed, tries to capture the “social value” of alternative solutions, by asking to selected actors to express their judgement about the quality of each alternative. By the means of a calculation process, in which stakeholders’ quality judgements are considered as fuzzy sets, it allows to understand communities’ preferences and to investigate possible alliances or conflicts among stakeholders [23]. In this context community mapping can represent a useful tool to investigate the perception of the complex social value of cultural heritage through the interpretation of the local community. The communitymaps can be integrated with spatial multicriteria analysis and equity analysis in order to estimate value function considering the different points of community involved in the process and stimulate a bottom up approach for the valorisation of cultural heritage assets. In the next paragraph the basic principles of community mapping will be presented, considering the main applications to different context and the potentiality in respect to cultural heritage.

3 Community Mapping 3.1

What a Community Map Is?

A community map is a narrative device of the connections between places and people through the means of a language clear to all: drawing. It is a special form of representation, based on a participatory process, that engages inhabitants in an identity

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auto-representation and local value recognition exercise [24]. Its main goal is to express the values and resources of a territory through the interpretation that a community gives to it. Each community map is related to a unique participatory experience. For this reason, it isn’t possible to define a standard procedure at is basis. However, the analysis of previous experiences in community mapping illustrates that there are some features, phases and issues, which are common to the whole experiences [25]: 1. Proposal: It usually comes from a local entity, as a public administration, an ecomuseum or a local professional. The possible origins of the proposal point out that community mapping is not considered only as a drawing exercise, but as an effective mean to tackle planning issues. 2. Project dissemination: Several meetings are usually arranged in order to explain the contents and the objectives of the projects, as well as the importance of the involvement of the largest number of inhabitants. This activity is usually supported by an exhaustive awareness-raising and information campaign, which can be based both on public notices and private notices (posters, brochures, letter-invitation, questionnaires). This approach allows the participatory process to deal with the issue of considering the whole interests related the proposal. 3. Definition of the intervention area. A critical issue in this phase lies in the definition of the area size: if the area is too wide, it can cause troubles in pinpointing some shared key-values of a place; if it is too small, the project can be ineffective in triggering a virtuous process of transformation of places. 4. Formation of working groups, which are made up of a variable number of people (from 10 to 30). In this phase, a facilitator is usually selected, in order to ensure that all interests are heard. The right implementation of this step is essential in minimizing conflicts between different stakeholders and in increasing the confidence of the local community towards the participatory process. 5. Drawing of the maps: Community maps do not need to be represented with reference to drawing conventions, whilst it is desirable to have a geodetic cartography with few details as starting point. The balance between the community freedom of expression and the clarity of representation can be a critical point, when community mapping is conceived as basis for planning regulatory tool. 6. Presentation of the results: Public meeting are arranged to present progresses in the process of community maps creation. It is important to consider this phase as another “working phase” aimed at highlighting some key elements, which have been dismissed in the drawing exercise. 3.2

Applications of Community Mapping

This participatory toll has been firstly applied in some British experiences, as the Common Ground one. Common Ground is an environmentalist association, that in the ’80s started a process of creation of some “parish maps” with the aim of enhancing the quality of every-day places, by inspiring a new dialogue between nature and man [26]. The world “parish” reveals a first sign of fracture with the traditional planning, since the territorial scope is not referred to administrative boundaries, but rather to a local dimension. This dimension, indeed, is characterized by the relationship between people

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and places, in which everyone can identify its “space of life”. In the following years, “parish maps” methodology has been tested in different ways. In the Italian context it has been mainly applied to some Eco-museum experiences under the name of “community mapping”, with a view to representing territorial values, traditions and knowledge, interpreted by a community as a key element for local identity [27]. Community maps have been also used in Montespertoli, a small municipality in Tuscany Region, as supportive tool for the newsroom of the Town Plan. The municipality territory has been divided into five districts, which have started different participatory processes, aiming at creating community maps as basis for a “District Statute”, a list of rules for future transformations [28]. In the international context, another interesting and innovative application of community maps to planning issues deals with the assessment of community risk perception and exposition, in order to guide risk mitigation and prevention policies [29]. The table below (Table 1) displays several applications of community mapping in Italian and international context. These study cases are selected in order to reconstruct a timeline of the development of this participatory tool and to clarify to which extent community mapping has been applied to various thematic fields.

Table 1. Applications of community mapping to different contexts Year 1985

Promoters Common ground (no profit association) Mountain community “Valle Strura di Demonte”

Place of application Several parishes in the UK

2003

Mountain community “Valli Chisone e Germanasca”

Regional Eco-museum of Mines and Val Germanasca (Torino, Italy)

2003

Mountain community “Alta e Basse Valle Elvo”

Eco-museum Valle Elvo e Serra (Biella, Italy)

2003

Coordinators of the pilot project for the eco-musem

Eco-museum of Orvieto Landscape (Terni, Italy)

2002

Pastoralism Ecomusem (Cuneo, Italy)

Reasons • Identifying community perception of what is endowed with value in their territory • Defining the elements which make an eco-museum a unique place in the perception of the local community • Reflecting on the “sense of belonging” of people to places • Making people aware of the eco-museum reality • Assessing the “sense of belonging” of the community to their place • Encouraging the territorial valorization • Producing a drawing agenda of the natural and cultural transformation sign in the Ecomuseum environment • Gaining a whole knowledge of the eco-museum heritage in the community perception (continued)

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Table 1. (continued) Year 2004

Promoters Mountain community “Casentino”

Place of application Eco-museum of the Casentino (Arezzo, Italy)

2004

University of Third Age - Park Authority “Panevaggio Pale di San Martino” IRES Piemonte – Politecnico di Torino – Piemonte Region University of Firenze – Municipality of Montespertoli

Eco-museum of Vanoi (Trento, Italy)

2004

2008

Reasons • Examining in depth the community perception of their “place of life” • Promoting a participatory process with effective results on places • Highlighting the peculiarities and qualities of the temporal structure of life in the Vanoi area

Municipality of Chiomonte (Torino, Italy)

• Rediscovering the local landscape values with a participatory approach

Municipality of Montespertoli (Firenze, Italy)

• Creating some tools as support for the writing of a Territorial Statute, in order to guide transformation rules in the new planning document • Assessing community risk perception and exposition

Communities of Universidad Chametla and Progreso Autónoma (Mexico) Metropolitana Unidad Cuajimalpa * All these study cases are described by literature contributions listed in the “References” 2014

4 Assessing Cultural Heritage Social Value: A Possible Innovative Approach The synthetic excursus of the theoretical approaches aimed at evaluating the social value of cultural heritage points out that there is a strong awareness about the existence of intrinsic values of cultural assets. This category of values goes beyond the logics of the market and deals with intangible features, as the historical and the social value [30]. Similarly, the evolution of the concept of cultural heritage shows progressive changes and enrichment towards the inclusion of universal as well as more subjective values [31]. Starting from the Burra Charter, international charters and resolutions on cultural heritage suggest to understand the place as well as its cultural significance, including the plurality and diversity of meanings to people, before making decisions about its future and to involve the communities, along with experts and public administrations [32]. The introduction of present and future generations into decisions, as well as the call for robust choices based on a multidimensional approach make the principles of cultural heritage preservation very close to the notion of sustainable development

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(WCED, 1987) (Throsby, 2005). The explicit recognition of the existence of multiple interdependent values within the policy making and the achievement of a good balance among them is one of the most difficult challenges in making preservation decisions. Finally, since the Krakow Charter it is widely acknowledged that each community, by means of its collective memory and consciousness of its past, is responsible for the identification as well as the management of its heritage. Individual elements of this heritage are bearers of many values, which may change in time. The various specific values in the elements characterize the specificity of each heritage. From this process of change, each community develops an awareness and consciousness of a need to look after their own common heritage values. Therefore, the acknowledged importance of community involvement in cultural heritage preservation decisions [33] has led to assign an increasing space to community engagement in the most recent evaluation methodologies. However, achieving a comprehensive understanding and evaluation of the social values associated with cultural heritage is still an open issue. The weaknesses of monetary methods have been pointed out by many scholars [34–40]. Especially Saarikoski by comparing alternative evaluation frameworks, considers Multi-Criteria Decision Analysis as the most adequate for articulating values and calls for hybrid methodologies to combine monetary valuation and MCDA in fruitful ways. In this light, the introduction of community maps in the process of cultural heritage social value assessment could allow local communities to play a key role in it and to coconstruct and join a deep knowledge of the factors on which this social value depends. More specifically, a participatory and community mapping-based process can allow first to pinpoint the relevant factors contributing to a cultural asset social value in the community perception. Secondly, community value maps related to these factors can be used as basis for the construction of place-based empirical value functions. Furthermore, in the development of multicriteria analysis for supporting complex decisions about heritage-based preservation alternatives, the maps produced by communities can be employed as a benchmark for the evaluation of the alternatives. This aim can be pursued by measuring the distance occurring between an alternative and the community vision, with reference to the selected criteria.

5 Conclusions The paper hints a possible innovative approach to the assessment of cultural heritage social value, based on a strong community involvement by the means of community mapping. This tool, widely used in several planning experiences dealing with the built environment, has not been specifically applied to projects or plans on cultural heritage, whilst it can be effective in understanding the complex system of intangible value held by a cultural asset. In this sense, community maps can be used both for the construction of place-based social value functions and as support for the evaluations of different alternatives through multi-criteria methods. The main advantage stemming from this approach lies in the opportunity of acquiring a whole knowledge of cultural heritage social value in the local perception and using it as a key element for evaluation processes. Furthermore, this kind of approach can contribute to stimulate a participatory bottom-up approach in order to reach the consensus and to reduce conflicts during

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the process to support the choice of the most satisfactory solution for the valorization of local cultural assets. The suggested methodology can be applied to a study case, in order to test its effectiveness and its exportability to other contexts.

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18. Torrieri, F., Fumo, M., Michele, S., Ausiello, G.: An integrated decision support system for the sustainable reuse of the former monastery of “ritiro del carmine” in Campania region. Sustainability 11(19) (2019) https://doi.org/10.3390/su11195244 19. Fusco Girard, L., Nijkamp, P.: Le valutazioni per lo sviluppo sostenibile della città e del territorio, 3rd edn. Franco Angeli Editore, Milano (1997) 20. Mattia, S., Bianchi, R.: L’applicazione della contingent valuation nella conservazione e riuso dei beni immobiliari culturali. Atti del XXIV Incontro di studio, pp. 301–326. Firenze University Press, Firenze (1994) 21. Giordano, G.: La valutazione di alternative nel recupero del Borgo medievale di Maratea. In: Fusco Girard, L., Nijkamp, P. (eds.) Le valutazioni per lo sviluppo sostenibile della città e del territorio, pp. 288–318. Franco Angeli Editore, Milano (1997) 22. Munda, G.: Multicriteria Evaluation in a Fuzzy environment: Theory and application in ecological economics. Phisica Verlag, Heidelberg (1995) 23. Stanganelli, M., Torrieri, F., Gerundo, C., Rossitti, M.: An integrated strategic-performative planning methodology towards enhancing the sustainable decisional regeneration of fragile territories. Sustainable Cities and Society, 53 (2020). https://doi.org/10.1016/j.scs.2019. 101920 24. Madau, C.: “Le mappe di comunità”: esperienze di cartografia partecipata per lo sviluppo locale. Atti ASITA, pp. 541–548 (2018) 25. Summa, A: La percezione sociale del paesaggio: le mappe di comunità. In: XII Conferenza Nazionale Società degli Urbanisti “Il progetto dell’urbanistica per il paesaggio”. Bari (2009) 26. Turchi, A.: Dalle Parish Maps britanniche alle Mappe di Comunità italiane: semplice trasposizione o differente interpretazione? (2015) 27. Clifford, S., Maggi, M., Murtas, D.: Genius Loci. Perché, quando e come realizzare una mappa di comunità. 1st edn. Grafica Esse, Torino (2006) 28. Magnaghi, A.: Montesperoli: Le mappe di comunità per lo statuto del territorio, 1st edn. Alinea Editrice, Firenze (2010) 29. Cruz Bello, G.M., Alfie, M.: Environmental perceptions: participatory methodologies for the assessment of Social Vulnerability to floods in two communities in Mexico. In: Antronico, L., Marincioni, F. (eds.) Natural Hazards and Disaster Risk Reduction Policies, pp. 16–35. Sileno Editore, Cosenza (2018) 30. Di Matteo, G.: Il valore intrinseco dei beni culturali. In: De Simone, L. (ed): Le rotte dei misteri. La cultura mediterranea da Dioniso al Crocifisso, pp. 375–382. Edizioni Feeria, Firenze (2008) 31. Vecco, M.: A definition of cultural heritage: from the tangible to the intangible. J. Cultural Heritage 11(3), 321–324 (2010). https://doi.org/10.1016/j.culher.2010.01.006 32. ICOMOS Australia: Charter for the Conservation of Places of Cultural Significance (1999) 33. Ronchi, A.T.: Il coinvolgimento delle comunità locali nella conservazione del patrimonio costruito. 1st edn. Politecnico di Milano, Milano (2012) 34. Sagoff, M.: Aggregation and deliberation in valuing environmental public goods: a look beyond contingent pricing. Ecol. Econ. 24(2–3), 213–230 (1998). https://doi.org/10.1016/ S0921-8009(97)00144-4 35. Spash, C.: Deliberative monetary valuation (DMV): issues in combining economic and political processes to value environmental change. Ecol. Econ. 63, 690–699 (2007). https:// doi.org/10.1016/j.ecolecon.2007.02.014 36. Vatn, A.: An institutional analysis of methods for environmental appraisal. Ecol. Econ. 68, 2207–2215 (2009). https://doi.org/10.1016/j.ecolecon.2009.04.005 37. Gómez-Baggethun, E., Ruiz-Pérez, M.: Economic valuation and the commodification of ecosystem services. Progress Phys. Geograp. Earth Environ. 35, 613–628 (2011). https://doi. org/10.1177/0309133311421708

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Rural Landscape Heritage in the Inner Areas as Repository of Culture Francesca Vigotti(&) Department of Architecture and Urban Studies, Politecnico di Milano, Milan, Italy [email protected]

Abstract. Rural landscape as heritage represents the relationship between social, cultural and biological systems. As a productive and complex heritage, rural landscape encompasses a multitude of structural elements and the connections between them. The success of latest approaches for the preservation and development of rural heritage sets in the active participation of communities that have created, maintained and inhabited these sites over time and in the delineation of adaptive site-specific management plans. In Italy, the progressive depopulation and the abandonment of traditional rural practices are considered among the main vulnerability factors of the historical rural landscape. The research systematizes data for the selection of sites and areas according to the National Register of Historical Rural Landscapes and to the National Strategy for Inner Areas (SNAI). The association between the data in the sites examined has allowed to understand correspondences and differences among vulnerabilities and potentialities as identified by the National Strategy for Inner Areas and by the National Register of Historical Rural Landscapes. The investigation identifies which of the sites recognized as rural heritage are set in areas considered as far from basic services to citizenship and which actions have been addressed. Therefore, fragilities and potentialities of the rural landscape in the Inner Areas are set at the center of the research. Keywords: Historical rural landscape


Inner areas
Heritage
Communities

1 Introduction Landscape, without any adjectivization, has been identified as a “repository of culture” [1]. In the Italian context, the investigations concerning rural landscape as heritage have pointed out how heterogenous and rich in diversity it is. This variety is reflected, at least partially, in what was defined as an immense and inestimable palimpsest, encompassing traditional knowledges and inclinations applied towards specific transformations and use of land [2]. Going beyond such a comprehensive definition, rural landscape has even been described as “(…) a form of widen architecture (…) structured by changing elements (…) capable to realize a space made on human scale, modelled following human needs, following a procedure that reminds closely the construction of cities (…)” [3]. As a palimpsest, rural landscape holds traces that might be vanished in time but have certainly contributed to the structure of a site as it is lived, inhabited, maintained and perceived today [4]. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1796–1805, 2021. https://doi.org/10.1007/978-3-030-48279-4_170

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To preserve this heritage with specific actions, in 2012 Italian authorities established the National Observatory of Rural Landscape (Osservatorio Nazionale del Paesaggio Rurale Storico). At the same time, it was introduced the National Register of Historical Rural Landscapes (Registro Nazionale dei Paesaggi Rurali Storici) [5]. The National Observatory collects the candidacies from stakeholders on the national territory. The Ministry of Agriculture identifies and catalogues in the Register traditional rural landscapes of historical interest, related traditional practices and knowledge, basing on significance, integrity and vulnerability [5]. In the process of identification of rural heritage sites as listed in the National Register, it is possible to trace the path already outlined on the international level by the GIAHS (Globally Important Agricultural Heritage Sites) program, promoted by FAO: in fact, reference is made to the “great heritage of rural landscapes built over the millennia that are linked to traditional agricultural practices. Complex systems based on ingenious and diversified techniques” [6]. As of rural landscape, the same richness in heterogeneity appears in the so-called Inner Areas of Italy [7]. However, this uniqueness must deal with the weakness derived from the lack of services that has led, at least in part, to the phenomena of abandonment and depopulation. As noted in literature [8] the Inner Areas should be perceived as a resource, rather than as “places that don’t matter” [9]. Rural landscape heritage sites set in the Inner Areas, strong of being a multidimensional and resilient process, can therefore be “advantaged” in recognizing themselves as a possible driving force for sustainable development, supported by the presence of multifaceted resources [7]. Given this background, the paper investigates the contact points of the analysis and the indications proposed by the National Strategy for Inner Areas (SNAI) and National Observatory of Rural Landscape, which have both led to the identification of areas and sites to set at the center of each strategy: on the one hand, the 72 ‘project areas’ as identified by the SNAI [10]; on the other, the 13 sites listed in the National Register of Historical Rural Landscapes [11].

2 The Selection of the Areas. An Overview of Indicators by the National Strategy for Inner Areas and by the National Observatory of Rural Landscape A shared aspect between the National Observatory of Rural Landscape and the National Strategy for Inner Areas is the participatory approach. Such method starts already from the phase of identification of the sites and areas encompassed by the two initiatives and continues throughout the whole process, up to the monitoring phase. The identification of sites and areas is fostered by both the initiatives through the development of a set of indicators. These indicators concern a wide collection of domains; among those, some are present in the phases of investigation and selection both, although declined and interpreted following the framework peculiar to each scheme. In the context of the National Observatory of Rural Landscape, 13 historical rural landscapes have been selected to be inscribed in the National Register (as of December

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2019). The sites listed are part of a wider collection of rural heritages scattered across the country: the result of a research project that has led to the structure of the National Catalogue of Rural Heritage Sites, which counts 123 presences in the list [12]. Concerning indicators, a first set was applied at the beginning of 2018 to the 123 sites listed in the Catalogue. The indicators were adopted to define “homogenous clusters of landscape” and to identify among those a group of landscapes that could be “representative” of each cluster, as follows: • • • •

Total area of the site identified (HA); Geographical location (North; Center; South and Islands); Altitude band; Surface area subjected to landscape and monumental constraints (Italian national law 1497/39 and 431/85), expressed in percentage; • Surface area as protected areas (on the national and international level), expressed in percentage. The selection done has allowed to identify 10 rural landscapes as “representative” of the different type of landscape [13]. These sites, along with the ten historical rural landscapes listed in the Register as of 2018, were further investigated by adding criteria to assess significance and integrity of landscape mosaics1. The index of landscape integrity is returned divided by slots (from I to VI, where VI is represented by the maximum level of integrity). Due to the intrinsic dynamism of the landscape, this restitution of the data is structured not to return an effective measure of integrity, since it would be difficult to determine, but rather an esteem concerning the conservation of the historical landscape related to changes in land use [13]. To the selected sites were applied further indicators on the municipal level [13]; among them, the most represented age class of the tenant is significant for the purpose of the presented research. The indicator expresses how much the generational exchange is fundamental, on the one hand, to keep farming activities updated; on the other, to assure the continuity of traditional cultivations, which implicitly entails also their “conservation”. Besides, this indicator allows also to set another reflection on how demographic dynamics are related to the possible progressive losing of traditional knowledge and skills, part of the intangible heritage of a site. As we will see, the monitoring of social vulnerability in the sites listed in the National Register of Historical Rural Landscapes is assessed through the application of demographic indicators, useful to interpret how the dynamics of population de-growth and ageing are impacting on the conservation and development of the sites. The table of indicators adopted by the National Strategy for Inner Areas to identify the so-called “Aree Progetto” (project areas) [14] contains information and data that might be overlapped to the one present in the grid as proposed by the National Observatory of Rural Landscape. Even though they share some common points in terms of the “nature” of the data, it is interesting how information are then interpreted and declined following the two different strategies.

1

The term “integrity” is hereby intended in reference with the documents by National Rural Network: “integrity” is defined as the present percentage of use of land considered as “historical” [13].

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The grid of SNAI indicators is used during the discussion with the focus groups and updated when necessary. The need to promote a debate among all local actors and to monitor the effective reachability of the results expected in itinere is considered a prerequisite for the success of the policies. Moreover, it is assumed that the external public entity must not rigidly constrain the design process; instead, the public entity should be inclined to adapt it on the basis of the resources and responses of the place where the project is implemented [7]. The matrix of indicators as proposed by the SNAI is divided in different sections. The interesting point of the SNAI matrix lies in the diversification of the data proposed. These data return the “general framework” of the state of the arts regarding the situation examined. The matrix includes demographic data (population divided per age; percentage of foreign population); indicators on digital divide; two different sections dedicated to primary services to population (healthcare and education); rate of accessibility. Besides the macro group of data concerning economic indicators, the first set presents a sort of “general introduction” to the area analyzed: it includes the classification of municipalities following the SNAI, the number of residents and the surface of the area analyzed. Then, two articulated parts of the matrix, which are the one over this paper focuses the attention, examine the agricultural sector and heritage in a broader sense. In the analysis of the sets of indicators concerning agriculture, it can be noticed how heterogeneous the data are. Composed by 20 voices, the section includes not only geographical data (e.g. Percentage of Agricultural Surface in Use as of 2010 and its variation between 1982 and 2010 – date of the last agricultural census performed by the Italian National Institute of Statistics), but also information returning evidences that might be useful when reading these areas as “cultural repositories”. On the one hand, the surface that is under protection (%); on the other, the incidence of companies that process Protected Geographical Indication and/or Protected Designation of Origin productions. Furthermore, the percentage of forest surface over the total might be read as a possible consequence of abandonment. All the data highlighted here, if interpreted as to understand the dynamics affecting rural heritage sites, might constitute a spotlight over such phenomena.

3 The Abandonment Process as Vulnerability of the Historical Rural Landscapes in the Inner Areas As expressed by the overview between the sets of indicators proposed by the SNAI and by the National Observatory of Rural Landscape, progressive depopulation is considered among the main vulnerability factors of the Italian historical rural landscape. It might have as consequences the abandonment of cultivation activities and, progressively, of the sites as a whole. In the context of the 20 traditional rural landscapes as mentioned before, the National Observatory of Rural Landscape performed a SWOT analysis on ten selected sites (8 representative traditional landscapes out of the total of 123 set in the Catalogue and 2 sites listed in the Register) [13].

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Before delineating the main outcomes of the SWOT, the definition of “Traditional rural landscape of historical interest” as defined by the D.M. 17010 should be recalled, with a specific reference on which elements compose this heritage: “(…) They include cultivation systems, artefacts and settlements, for agricultural, forestry and pastoral use, which show characteristics of traditionality or historical interest” [5]. Since the definition states “artefacts and settlements” among the other components of this heritage, from the SWOT analysis elaborated on the so-called “representative” rural landscapes emerges an aspect regarding buildings that is of great interest. Built environment is in fact categorized, in a dualistic perspective, as a threat or a weakness at the same time. The “threat” is identified as the rapid increase of urbanization and the relatively “newer” built evidences (that comprise also rural artefacts of recent realization), considered as a menace to the context of the sites examined. On the contrary, the “weakness” is defined in the process of abandonment of traditional rural buildings [13]. In this context, the different acceptations that the built environment holds are interesting, also in terms of “significance”. Abandoned historical buildings and settlements are perceived as a weakness. Abandonment of built heritage is interpreted as an emergency that sets at risk one of the components that define a site as “traditional rural landscape of historical interest” On the contrary, recent urbanization is considered as an element that might compromise the “significance” of a site, since change in land use threatens its peculiarities [13]. In this framework, the mitigation actions towards the vulnerabilities as identified move in the direction to contrast abandonment. Recovering the unused and abandoned built heritage is proposed as a possible action to contrast, on the one hand, the tangible risk of losing peculiar elements that constitute part of the identity of a place; on the other, such approach could mitigate the eventuality of soil consumption derived by the rise of new buildings. The causes of abandonment should therefore be investigated. To do so, is necessary a cross-reading between the information that can be retrieved from the indicators provided by SNAI and by the National Observatory of Rural Landscape together, so as to assess how “consistent” is the impact of depopulation over sites examined. A first step in the aforementioned cross-cut analysis is the creation of a matrix that systematizes, in the 123 sites individuated in the Catalogue, the data related to the localization of the traditional rural landscapes identified within the 72 SNAI project areas. The last column of the matrix is represented by the listing of the site examined in the National Register of Historical Rural Landscapes. The sites matching the first two criteria are 28; of those, two are recognized in the National Register, as shown by Table 1: the Paesaggi Silvo Pastorali di Moscheta (Tuscany) and the Vigneti Tradizionali del Mandrolisai (Sardinia).

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Table 1. Historical rural landscapes in the Inner Areas Name of the site as of the Catalogue of National Historical Rural Landscapes Campi aperti della Baronia di Carapelle Piana del Fucino ad Ortucchio Piana del Bergamotto Rimboschimenti storici del bacino del Sele Foresta di Ampezzo e la Vallata del Lumiei Prati e pascoli alberati del formaggio di Santo Stefano Orti e castagneti irrigui terrazzati dell’Alta Valle Sturla Terrazze a noccioleto del Tigullio Val Muggiasca Altopiano di Macereto Tratturi dell’Alto Molise Pascoli arborati del Roccaverano Policolture storiche della Valle Uzzone Cerreta monumentale di Valle Ragusa Terrazzamenti garganici Oasi agrumaria garganica Oliveti delle Serre Salentine Vigneti tradizionali del Mandrolisai Castagneti monumentali dello Scesta Paesaggi silvo-pastorali di Moscheta Abetine del monastero di Vallombrosa Campi a farro di Monteleone di Spoleto Piani di Castelluccio di Norcia Rupe di Orvieto

Name of the Project Area as of the National Strategy for Inner Areas Subequana

Listed in the National Register of Historical Rural Landscapes (Y/N) N

Valle Roveto Grecanica Alta Irpinia

N N N

Alta Carnia

N

Antola - Tigullio

N

Antola - Tigullio

N

Antola - Tigullio

N

Alto Lago di Como e Valli di N Lario Nuovo Maceratese N Alto Medio Sannio N Val Bormida N Val Bormida

N

Gargano

N

Gargano Gargano Sud Salento Gennargentu - Mandrolisai

N N N Y

Garfagnana

N

Mugello - Bisenzio Valdisieve Mugello - Bisenzio Valdisieve Val Nerina

Y N N

Val Nerina/Nuovo Maceratese N Sud-Ovest N (continued)

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Name of the site as of the Catalogue of National Historical Rural Landscapes Poggi di Baschi Pascoli alti delle Dame de Challant Viticoltura eroica della media Dora Baltea Frassineti da manna

Name of the Project Area as of the National Strategy for Inner Areas Sud-Ovest Bassa Valle

Listed in the National Register of Historical Rural Landscapes (Y/N) N N

Bassa Valle

N

Madonie

N

By examining the data returned from the indicators provided by SNAI for each of the project-areas taken into account (Mugello - Bisenzio - Valdisieve; Gennargentu – Mandrolisai) [15, 16] and the candidacy dossier of the two sites as listed in the National Register [17, 18], demographic degrowth and abandonment emerge as main vulnerabilities. Especially in the case of the traditional vineyards of Mandrolisai, both the process of depopulation and of the expansion of forest have been identified as a threat to the historical rural landscape: these two aspects have led to the identification of the area as “Area with general development issues” (based on demographic density and forestation areas) [18, 19]. As mentioned before, the analysis of data related to the demographic de-growth must be read together with data concerning the number of operators actively involved in the agricultural sector and the information concerning the age of agricultural tenants. The systematization of such data returns a general picture of a progressive and rapid abandonment of agricultural practices. Besides endangering the cultivation activities, the loss of these practices might lead to collateral effects, such as a progressive damage of built evidences caused by the lack of maintenance [18]. The same can be assumed in relation with intangible heritage related to traditional knowledge, which is disappearing.

4 Mitigation of Vulnerabilities: A Review of Guidelines Applied to Historical Rural Landscapes The guidelines for the conservation and valorization of rural landscapes as heritage as elaborated by the National Observatory of Rural Landscape have been structured specifically for this heritage; besides, the guidelines are instrumental so as to better address the actions that authorities might apply over the sites examined [13]. The documents drawn up by the National Observatory of Rural Landscape recognize the need to develop a common strategy for historic rural landscapes on the Italian territory; it is highlighted how the rural landscape makes a contribution to the quality of life. It is interesting that among the “good practices” as identified by the National Observatory of Rural Landscape are also comprised “intervention related to the

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construction of new landscapes (…) able to integrate within the existing landscape by creating new relationship between elements of its history” and “management models (…) finalized to guide and harmonize transformations derived from social, economic and environmental development processes in a sustainable development perspective” [13]. These affirmations sustain the idea of an approach not aimed to a crystallization of these sites, but that rather evokes the necessity of transformations. This recalls the critic affirmation by P.J. Howard in regards of what can be assumed as an “excess of safeguard” of historical rural landscape as it is a “historical artefact that is in danger; designing new landscapes for the future (…) is often to be tolerated as necessity not welcomed for its own sake” [1]. In the context of the National Observatory of Rural Landscape, the actions to recover traditional built elements in abandonment is not proposed exclusively with tourism aims, but above all to favor the consolidation of a community that inhabits permanently these places. This aspect differs from the approach within the National Strategy for Inner Areas as already outlined, since it is still only partially explored [8], as confirmed also by the grouping of indicators concerning tourism and heritage. Yet, the well-being of communities that inhabit and maintain traditional rural landscapes in the inner areas must be placed at the center of the priorities to foster a sustainable development of such significant “repositories of culture”. The abandonment of these sites is in fact caused not only by large-scale economic dynamics, but also, on a local scale, by the distance from primary services (health, education, accessibility). The framework of actions proposed by the National Observatory of Rural Landscape welcomes not only a “place based” and “site specific” approach, but rather takes the horizon of a “people-based” and “community-centered” one as well. Every action is specific for the rural heritage investigated, which can be triggered through a proactive participation of local stakeholders. From the “good practices” in the guidelines emerges clearly the inclusion of the “collectivity” through specific actions, besides the involvement of local and municipal administrations in the management and safeguard of rural heritage sites. “Good practices” are defined in the papers of the National Rural Network accordingly with the ISPRA description [20], towards an approach based on participation and sharing of values so as to ensure a sustainable development. The practice of “taking care” would be difficult, if not impossible, without the activation of the community and its effective “empowerment” in the process. “Taking care” does not imply a musealization of a site, but a constant research and activation for a dynamic conservation of the place, through policies that can adapt to the needs and be adaptable if necessary.

5 Final Remarks The systematization and associated reading of data collected by the SNAI and by the National Observatory of Rural Landscape highlights the main critical issues in coping with the different necessities that insist on the analyzed areas. On the one hand, the needs of the communities who live, recognize themselves and find economic support from the sites examined; on the other, the requirements related to the protection and management of a heritage structured by many components.

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The shifting towards “place based” [21] but also “people based” practices is therefore necessary so as to overcome the limited success obtained by the “sectoral” development policies applied over time. The lack of a cross-sectoral vision might have led to an extension in the phenomena examined, especially in areas where the relationship between the different components is crucial for development. Within this context is central to understand and interpret how relationships, which form the base of rural landscapes, are already dynamic and therefore impossible to crystallize. Even in the case of the “places that remain” these are themselves the result of transformations or transitions, concluded or still in progress. Care is a continuous act that must necessarily be constant: from the first instances that rise from the need to “recover” a site, to preservation actions in the perspective of possible and inevitable further developments. At the same time, abandonment is a process recognized as strongly related with the dynamics of population de-growth. Thus, an upstream and wider counteraction is necessary: this is mainly represented by the structure of conditions that result in a sustainable model that encourage to “persist”. In this sense, sustainability must not be intended only on the economical aspect, but most in the social realm. In this framework the information that can be resumed from the data returned in the analysis of SNAI indicators is of great importance, also to understand if the strategies applied in the project areas analyzed are efficient in improving the quality of life of the inhabitants. The contribution here presented is part of a wider investigation: it might represent a suggestion for further research, by addressing the necessity to integrate existing evaluation methodologies. Through the association of these data, the investigation aims to present a critical reading of the state of the art that can be deduced from the documents within the two initiatives. Thus, the research sets the centrality on the different conception of the characteristics mentioned in the framework of the rural landscape as heritage. The recognition of rural heritage in sites located in inner areas has the potential to rise the attention over sites subject to the phenomena of abandonment not only of agricultural and production activities, but also concerning the complex and multifaceted components that structure them. Acknowledgment. The author wants to express her gratitude to Fondazione Fratelli Confalonieri (Milan) for the support to her research.

References 1. Howard, P.J.: An introduction to Landscape. Ashgate, Farnham (2011) 2. Cersosimo, D., Ferrara, A.R., Nisticò, R.: L’Italia dei pieni e dei vuoti. In: De Rossi, A. (ed.) Riabitare l’Italia. Le aree interne tra abbandoni e riconquiste, pp. 21–50. Donzelli Editore, Roma (2018) 3. Ferrara, G.: L’architettura del paesaggio italiano, 2nd edn. Marsilio, Venice (2017) 4. ISMEA, Mipaaf, Linee guida per la conservazione e valorizzazione del paesaggio rurale storico (2018) 5. Decreto del Ministro n: 17070 del 19 novembre 2012 - Osservatorio Nazionale del Paesaggio Rurale, https://www.politicheagricole.it/flex/cm/pages/ServeAttachment.php/L/ IT/D/9%252Ff%252F8%252FD.a17c677602d6caacde19/P/BLOB%3AID%3D5832/E/pdf. Accessed 29 Jan 2020

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6. ISMEA, Mipaaf, Alcune buone pratiche relative a significativi paesaggi rurali storici (2018) 7. Barca, F., Carrosio, G., Lucatelli, S.: Le aree interne da luogo di disuguaglianza a opportunità per il Paese: teoria, dati, politica. In: Paolazzi, L., Gargiulo, T., Sylos Labini, M. (eds.) Le sostenibili carte dell’Italia, pp. 167–186. Venice, Marsilio (2018) 8. Oteri, A.M.: Architetture in territori fragili. Criticità e nuove prospettive per la cura del patrimonio costruito. ArcHistoR 11, 168–205 (2019) 9. I luoghi che non contano tornano al centro del dibattito, Forum Disuguaglianze Diversità. https://www.forumdisuguaglianzediversita.org/luoghi-che-non-contano-al-centro-deldibattito/. Accessed 29 Jan 2020 10. Formez, IFEL, ANCI: L’associazionismo intercomunale nelle aree interne (2019) 11. Elenco dei siti iscritti al Registro. https://www.reterurale.it/flex/cm/pages/ServeBLOB.php/ L/IT/IDPagina/17423. Accessed 29 Jan 2020 12. Agnoletti, M., Emanueli, F., Corrieri, F., Venturi, M., Santoro, A.: Monitoring rural landscapes. The case of Italy. Sustainability 11(21), 1–19 (2019) 13. ISMEA, Mipaaf, Documento propedeutico alle linee guida per il mantenimento dei paesaggi rurali storici: misure di salvaguardia e buone pratiche (2018) 14. Indicatori per la “Diagnosi aperta” delle aree-progetto: indicatori utilizzati durante l’istruttoria. http://old2018.agenziacoesione.gov.it/it/arint/OpenAreeInterne/index.html. Accessed 29 Jan 2020 15. Indicatori per la “Diagnosi aperta” delle aree-progetto, Regione Sardegna. http://old2018. agenziacoesione.gov.it/opencms/export/sites/dps/it/documentazione/Aree_interne/Open_ Aree_Interne/CSV_KIT/Aggiornamento_2016_2017_Griglia_Sardegna_Ufficiale.csv. Accessed 29 Jan 2020 16. Indicatori per la “Diagnosi aperta” delle aree-progetto, Regione Toscana. http://old2018. agenziacoesione.gov.it/opencms/export/sites/dps/it/documentazione/Aree_interne/Open_ Aree_Interne/CSV_KIT/Aggiornamento_2016_2017_Griglia_Toscana_Ufficiale.csv. Accessed 29 Jan 2020 17. Unione Montana dei Comuni del Mugello, Registro Nazionale dei Paesaggi Rurali Storici, Dossier di candidatura – I paesaggi silvo-pastorali di Moscheta. http://www.reterurale.it/ downloads/dossier_definitivi/3.%20Moscheta.zip. Accessed 29 Jan 2020 18. Dettori, S., Cillara, M., Deplano, G., Falqui, A., Filigheddu, M.R., Lai, L., Muru, D., Schirru, M.S.: Paesaggio policolturale del Mandrolisai: i vigneti di Atzara e Sorgono: Dossier di candidatura al Registro Nazionale dei Paesaggi Rurali Storici. https://www. reterurale.it/downloads/Dossier_PolicolturaAtzara-Sorgono_Agosto.zip. Accessed 29 Jan 2020 19. Regione Autonoma della Sardegna, Assessorato dell’agricoltura e riforma agro-pastorale: Programma di Sviluppo Rurale 2014–2020 – Elenco Comuni A – B – C – D. http://polaris. crea.gov.it/psr_2014_2020/Regioni/SARDEGNA/MIS.%206/SOTTOMIS.%206.4_2017/ OPERAZIONE%206.4.1_2017/SAR_M6.4.1_2017_PSR_ALLEGATO_5_Comuni_ ABCD.pdf. Accessed 29 Jan 2020 20. ISMEA, Mipaaf, Linee guida per la certificazione dei paesaggi rurali storici: la metodologia seguita e gli indicatori (2018) 21. Lucatelli, S., Storti, D.: La strategia nazionale aree interne e lo sviluppo rurale. Scelte operate e criticità incontrate in vista del post 2020. AgriRegioni Europa 15(56), 1–9 (2019)

Taking Action Towards the Enhancement of Mining Heritage in Romania Oana Cristina Ţiganea(&) Politecnico di Milano, Dastu - Via Bonardi 14, Milan, Italy [email protected] Abstract. In the last 10–15 years, a variety of bottom-up initiatives have emerged in Romania as a result of civic action, focusing on the safeguarding and enhancement of the cultural heritage despite the lack of legal support and an appropriate national strategy in the field. From the multitude of these initiatives, this article will focus on several developed in the former mining areas which, due to the standardized industrial production, display similar territorial and built environment features. Moreover, these case studies were considered during the 1945–1989 period as representing a particular urban typology, that of small sized mono-industrial towns, which in the socialist urban theory was considered the base of an evenly distributed urban network, with all its economic, social and cultural implications. During the post-1989 political and economic shifts, while facing the deindustrialisation process, these towns passed through similar shrinking phenomena, proving to be extremely vulnerable to the challenges of deindustrialization. Therefore, this article will illustrate the cases of several former mining towns such as Baia Sprie, Anina and Petrila from the perspective of recent civil society initiatives directed towards the post-industrial revitalisation through the enhancement of the cultural heritage. Keywords: Post-industrial towns
Mining heritage
Enhancement
Economic revival
Cultural entrepreneurship
Romania

1 A Potential National Strategy for Territorial Revitalisation Through the Enhancement of Unused Built Heritage in Romania In April 2016, the Romanian government initiated a national-level debate on the issue of the communities’ unused built heritage as a trigger for future sustainable economic revitalization [1]. At the event were invited to attend and to contribute actors from both the private and the public sector, already involved in various projects focusing on the enhancement of cultural heritage at local level [2]. This represented a first attempt in the post-1989 context to draft a macro-territorial strategy of economic, social and cultural revitalisation. During the event, the necessity to direct the attention towards the unused built heritage was stressed, which was understood at a larger territorial scale as the abandoned built environment with potential heritage value. More specifically, it mentioned and exemplified the functional flexibility that post-industrial spaces, as well © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1806–1818, 2021. https://doi.org/10.1007/978-3-030-48279-4_171

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as former military structures could sustain, especially in relation with creative industries developed spontaneously in the Romanian economic context of the last years. The initiative remained unique on the Romanian contemporary scene and, unfortunately, due to the political instability that followed, it failed to result in an official drafting of a national strategy or manifesto. However, this event implied the official institutional recognition of such a necessity followed by the debate and discussions between the representatives of the civil society and those of the government. Still, it resulted in the first territorial survey of the grass-root initiatives focusing on the overall economic and socio-cultural benefits that the capitalization of the built environment of heritage value can create locally and regionally. During the same year, the project Shrinking Cities in Romania coordinated by architect Ilinca Păun-Constantinescu (UAUIM Bucharest) enlarged this territorial survey of the bottom-up Romanian initiatives and presented them together with an overall image of urban shrinking phenomena in Romania as part of the national exhibition hosted by the National Museum of Contemporary Art in Bucharest [3]. From these initiatives, this article will mention those developed in the former mining areas which due to the standardized industrial production flux are characterized by similar territorial and built environment features, displaying the same shrinking phenomena during the deindustrialization process generated by the post-1989 political and economic transformations. Moreover, these case studies were considered during the 1945–1989 period as a particular urban typology, that of small sized mono-industrial towns which during the socialist industrialisation and urbanisation process was perceived as the base in the development of an evenly distributed urban network, with all its economic, social and cultural implications [4]. With the collapse of the centralised socialist system in 1989, these territorial units proved to be among the most vulnerable during the transition process towards a capitalist economy and a democratic society. Currently, they present a wide derelict post-industrial territory, with shrinking communities traumatised from an economic, social and cultural perspective, and with a wide unused built environment. The article will focus on the initiatives developed in Baia Sprie - a former nonferrous ore mine from Maramureş mining basin; Anina - a former coal mine from Banat Highlands mining basin; and Petrila - a former coal mine from Jiu Valley mining basin [5]. The three settlements are located in the same geo-political area and belong to three different mining basins and industrial areas, which have passed through similar industrialisation and deindustrialisation phases under the same political, economic and cultural context. The three identified initiatives have been developed in a bottom-up system at the initiative of various NGOs interested in the protection, study and enhancement of cultural heritage with the direct involvement of the local communities, as a direct response to various internal or external threats to the survival of built environment (Fig. 1).

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Fig. 1. Romanian map dating 1976, with the territorial distribution of the population in base of the number of inhabitants per settlement. In red are indicated the three former mining towns: Anina, Petrila and Baia Sprie. Source: Sandru L., 1976, Fig. 135.

2 The Legacy of the Mining Activity on Romanian Territory: An Overall View On the territory of Romania, one can find tangible and intangible traces of the mining activity grouped at regional level in 41 mining basins, with the largest concentration in the centre (Transylvania), south-west (Banat region) and north-west (Maramureş and Bihor regions). Traces of the mining activity, especially in the case of precious metal elements such as gold and silver dates from Roman times (such as the case of Roşia Montană or Brad mines in Transylvania); iron ore, copper and lead are connected with the first technological developments in the field of metallurgy dating back to the early 14th century (such as the case of Baia Sprie mine), while coal mining exploitation is directly linked with the mid-18th and 19th century wave of industrialisation and technological development of the iron and steel industries (such as the case of Anina or Petrila) [6]. The 20th century came with intense territorial changes conditioned not only by the technological upgrades, but also by the political shifts that had a major impact on the Romanian mining territory, especially if taken in consideration the period 1945–1989 when the industry was centralised and planned based on the socialist system’s economic objectives. Moreover, the intense industrialisation process occurring during the 1945–1989 or ‘hyper-industrialisation’ as it is called in the specialised literature, marked the country’s passage from an agrarian economic profile to an industrial one [7]. This process occurred initially during the late 1940s and early 1950s, through a technological overlapping of the existing industrial infrastructure with the new ones followed by further expansion of the industry at national level. This process coincided with the state’s concern for the creation of an industrial and agricultural base on which

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to build ‘an advanced socialist society’ [8]. Later on, starting with the 1968 administrative reorganisation of the Romanian territory, the preoccupation was directed towards the creation of a more evenly distributed industrial network, directly connected to the urban one: urbanization through industrialisation and vice versa. In all this, mining industry played a strategic role due to its direct connection and interconnection with the heavy industry, considered as the top priority in the development of the socialist economy and society [9]. Starting from the late 1960s a new territorial reality started to be promoted by the regime, that of the small size mono-industrial towns. Throughout the communist period, this urban typology was promoted as the ideal urban form, embodying the best the goal of industrial productivity [10]. A graph from the late 1970s indicates that the highest index of urban viability was to be found in towns with a high concentration of industry and a relatively low population (up to 20,000 inhabitants) [11]. Such cases were also the mining settlements from all functioning mining basins at the time, even though few of them have been actually built from scratch during the socialist period [12]. What occurred in the mining sector, just like in the other industrial branches was the technological upgrade of the existing industrial facilities, with an overlapping of the new urban functions and servitudes on the existing built environment. In case of the production structures such as the shafts, the mining galleries or the preparation areas there can be observed a true archeological stratigraphy of the technological upgrade and production improvements, that one can associate with each industrialization phase. In what concerns the settlements, they represent a good illustration of the 19th and 20th century history of urban planning and architectural trends due to the overlapping and juxtaposition of the various residential areas, always a priority for the mining company during the different industrialization phases. To this, one can add the various social and cultural functions that appeared as a result of the communities’ necessity or the planning priorities, depending on the period of reference. In all three cases – Baia Sprie, Anina and Petrila - mining activities developed underground thus generating a dual reality: one manifested tangibly aboveground in the settlement itself composed from the residential areas and a variety of social and cultural facilities and another one, manifested underground – the miners’ working place. The physical connection between the two realms are the vertical openings such as shafts or raises used for the industrial flux, working flux as well as ventilation and water control, while the intangible connection was the miner himself. Since they started operating, the three mining settlements developed following the principle of industrial and economic efficiency. In these cases, it was intended to directly link at territorial level the mine with its miners, the shaft with the miners’ colonies. Thus, the territorial, but moreover, the social and cultural concept of colony appears manifested in all three cases, finding different tangible manifestations in base of the industrialization period that marked their transformation: the colony composed of individual dwellings surrounded by the agricultural and forestry domains during the early 19th century, the colony formed from the first solutions of collective dwellings experimented during the early 20th century, and the colony of the recent past that became the presentday neighborhoods. All had a direct physical link with the shaft (the mine) either distributed at territorial level among the colonies as in case of Anina and Baia Sprie, or transformed and enlarged in one single industrial site as in case of Petrila (Fig. 2).

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Fig. 2. Anina. Source: Andreea Ionescu, Anina, Mine of Ideas, 2016 Edition

The closing of the mining activity in Romania occurred in various phases that coincided with the gradual closing of the heavy industry and the shift toward the import of raw materials. This process reached a peak in 2006, while the effective end of the mining activity at national level occurred just one year later [13]. This process affected Baia Sprie non-ferrous ore mine and Anina coal mine, while Petrila coal mine remained active until 2016, when the last extraction was documented [14]. However, the closing of the three above mentioned cases, just like the other 16 collieries subject of closing in 2006, has not been backed up by a long term revitalisation strategy. Only short-term initiatives coordinated mainly by local administrations, owners of the derelict industrial sites, towards the territorial reclaim understood uniquely through actions of dismantling, demolition and scrap recycling. These procedures were already applied in other cases where the large industrial sites faced a sudden closing of their production lines and where the local administrations saw an opportunity of financial gain. In most of these cases, the tabula rasa approach towards the derelict industries occurred at a faster pace than the studies developed in the field and the site’s patrimonial acknowledgement. Cases worth of being mentioned are Hunedoara Steelworks, that have progressively been demolished and scrap recycled during 1999–2013, Călan Steelworks completely demolished and scrap recycled during 2010–2013, Reşiţa Mociur mechanic plant demolished in 2015, Alba Iulia heatproof brick factory demolished in 2013, together with many other derelict industries found on Romanian territory. A similar case is Baia Sprie, where immediately after the mine’s closing its major tangible industrial elements disappeared. What was left behind are the traces of the long mining activity that marked the landscape and few derelict industrial buildings connected to the preparation sector of the ore. In the case of Anina, three out of eleven shafts remained on its mining territory mainly due to the local administration actions directed towards their safeguarding such as in case of Shaft n. 1, listed and protected as Historical Monument and subject of a

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functional reconversion. However, Anina’s case can be considered a privileged one on the Romanian context since its heritage value was officially acknowledged before the mine’s closure [15]. Thus, in 2007, on Anina’s territory were already listed a wide variety of 49 historical monuments and sites i.e., industrial buildings, monumental buildings of social and cultural functions, residential areas of the workers’ colonies and railway infrastructure elements. Starting with 2014, local authorities have been talking more and more about economic and regional revitalization through cultural tourism and enhancing the industrial and natural heritage. The focus of future efforts will be the transformation of Shaft n. 1 into a coal mining museum supported by EU funding [16]. In case of Petrila, the prospective of a potential closing and further demolition of the production facilities triggered the reaction of the civil society starting with 2011, before the effective closing of the mine which occurred in 2016. The continuous actions taken towards maintaining and preserving Petrila mine determined its official recognition and listing as historical monument in 2015, a process that encumbered partially the local administration plans of demolition. In this particular case, the acknowledgment of the mine’s heritage value was understood and applied as a direct survival strategy by the actors involved in Petrila initiative.

3 Initiatives for the Enhancement of the Mining Heritage in Romania: Baia Sprie (2009–2014), Anina (2014–2018) and Petrila (2011 - Ongoing) Once the mining activity was closed, the first elements that were abandoned and demolished were the industrial facilities - the shafts and the industrial sites developed in direct connection with them, followed closely by the residential ones due to the various waves of migration, as the local communities faced the deindustrialization process. Thirty years after the end of the communist regime in Romania, the industry is still largely perceived as a result of the intensive territorial urbanisation and systematisation processed imposed by the centralised socialist system. The documentation of this process could not keep up with the disappearance of these relics, while significant economic, social and cultural changes were taking place. However, in the latest 10–15 years, it appears that the few initiatives of the civil society that focused on the postindustrial revitalisation did manage to attract more public interest. Moreover, these initiatives successfully introduced in the revitalisation debate a narrative focused on the patrimonial acknowledgement of the industrial sites followed by their enhancement. 3.1

Baia Sprie Greencreation Workshop (2009–2014)

Baia Sprie is one of the oldest mining areas in Romania, located in north-west part of the Maramureş mining basin. Its mining activity is documented starting with the 14th century and involved mainly non-ferrous ores such as gold, silver, lead, copper and zinc. Its activity was directly linked to the establishment of the first mint plant in the area during the 17th century, at Baia Mare. During its latest industrialisation phases of the 20th century, the mine was providing raw materials for the non-ferrous metallurgic site constructed and developed in Baia Mare, the largest urban settlement from Maramureş region [6].

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In 2009, local architect Edmund Futo organised the first edition of Greencreation Workshop, with the support of local administration. This first edition was aimed at studying the technological flow of materials and people during the mining activity, establishing the main connection between this and the environmental landmarks of the landscape with an interdisciplinary support. It was followed by other annual editions of the workshop with the involvement of local artisans and generating small local interventions within the landscape. On the occasion of the workshop organized in 2012, NOD (Networking with Ordinary Design) project was born, providing the participants with the opportunity of making creative design experiments outside academia in order to identify effective solutions and responses to the problems of the community generated by the deindustrialisation process. The initiative ended in 2014 with one last workshop dedicated to the experimental photography. The project managed to attract local and regional attention on the issue of the postmining landscape understood and perceived as a main resource within a potential revitalisation strategy. However, the project was not further supported by the local administration or by any other major actor in the area. Lacking funding, the initiative ended in 2014. The project managed to generate a series of tools directed towards the drafting of a territorial revitalisation strategy through the enhancement of the local and regional patrimonial values [17] (Fig. 3).

Fig. 3. Territorial recording of Baia Sprie mining landscape with the marking of the main objectives of interest for the development of a touristic path. Source: tabaradecreatie.blogspot.ro (last accessed 2020/03/2).

3.2

Anina, Mine of Ideas Cultural Project (2014–2018)

The industrial history of Anina began in 1773 when Austrian colonists from the Austro-Hungarian Empire established the first workers’ settlement in Steyrer-Dorf (the village of the people from Styria), later Steierdorf. They came here as logging workers specialized in making lump charcoal, which was needed to fuel the ferrous and nonferrous foundries in Oravița, Ciclova, and Sasca. Pit coal—of one of the highest calorific values in Europe—was accidentally discovered here in 1790, with direct

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consequences on the industrial development of the area and the community. So in addition to mining, the iron and steel industry also developed (Anina Ironworks, the Bolt and Screw Factory), as well as logging, construction materials, energy (the thermoelectric plant, Crivina thermal power station), railroad infrastructure (Anina Oravița railway), commerce, and tourism. New waves of settlers (Germans, Austrians, Czechs, and Slovaks) were brought here when the systematic mining for pit coal started, between 1855 and 1920, whereas Romanian workers (from Maramureș, Moldova, and Transylvania) were settled here during the socialist era, at the peak of the town’s territorial and industrial growth. During the post-war industrial boom, Anina was upgraded to town status as it fit the criteria for a small mono-industrial town with a population of 14,063 in 1966 [18]. Almost all of its residents were settled here, and many of them were only passing through Anina. Before the mine closed in 2007, Anina enjoyed official recognition for its heritage value, with forty-nine heritage sites included in the List of Historic Monuments and Sites. Starting with 2012, local authorities have been talking more and more about economic and regional revitalization through cultural tourism and enhancing the industrial and natural heritage. The focus of future efforts will be the transformation of Shaft 1 into a coal mining museum supported by EU funding. It is in this context that four editions of Anina, Mine of Ideas cultural project were held in Anina during 2014– 2018 [19]. Beyond the idea of a simple coal mining museum, the project addressed the issue of Anina’s entire postindustrial landscape by using explorative and experimental approaches to the interdisciplinary study of industrial legacy. Additional efforts were made to raise awareness among the members of the local community about the need to conserve and preserve the built environment, with a view to further promote and enhance Anina’s cultural landscape. Recognizing Anina’s postindustrial landscape as cultural heritage brings with it the added need to define a general intervention strategy for the area’s sustainable transformation. However, the local community seems to be utterly overcame by pessimism, and shows no signs of long-term thinking supported by local entrepreneurship aimed at achieving economic, social, and cultural revitalization. Despite the fact that the local administration managed to attract EU funding for the Shaft no. 1 reconversion in museum, this initiative is blocked for the moment due to bureaucratic complications and the lack of specialized personnel in the local administrative offices (Fig. 4). 3.3

Start-Up Petrila/Planet Petrila (2011–Ongoing)

Petrila initially developed as a workers’ colony located near the oldest colliery in the area of Jiu Valley mining basin in 1859, when the entire industrialisation process was developed under the Austro-Hungarian administration. Following a similar development pattern to Anina, Petrila attracted people from all over the empire during 1859– 1920, contributing to its ethnical and cultural diversity and growth. Petrila grew exponentially during the socialist period, as the entire area of Jiu Valley mining basin became of interest for the authorities in the planned economy strategy [20]. As previously mentioned, the initiatives in Petrila appeared before the mine’s closing, as a form of protest of the local artist Ion Barbu to the overall strategy of demolition. Starting with 2011, many Romanian cultural associations were involved in

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Fig. 4. Presentation of Anina, Mine of Ideas cultural project at the National Architecture Biennale (Romania), 2018 Edition: (left) industrial landscape recording methods and description of the project’s activities; (right) various proposals concerning the conservation and enhancement of the industrial heritage. Source: Anina, Mine of Ideas, 2014–2018.

the initiatives directed towards the mine safeguarding, managing to attract also the attention of foreign institutes in Romania such as the German Embassy in Bucharest, all mobilised to find an overall sustainable solution for the future of Jiu Valley mining basin. Besides multi-disciplinary studies developed by the specialists involved in the project that contributed to the official acknowledgement of Petrila’s heritage values, Ion Barbu developed a continuous artistic activity focused on heritage values, managing to involve the local community constantly but also to attract other artists in the area such as the cinematographer Andrei Dăscălescu. Associated with the initiatives from Petrila are a series of projects such as Shrinking Cities in Romania (exhibition and publication), where Petrila plays a central role (coordinator Ilinca Păun-Constantinescu); Planeta Petrila the photographic project and documentary that captures the last mining days in Petrila together with Ion Barbu’s initiative (direction Andrei Dăscălescu) and through which Petrila gained international recognition, and lately, Valea Jiului Implicată (Ro)/Jiu Valley Involved (En) a consortium of regional NGOs and institutions involved in the territorial revitalisation strategy of the entire Jiu Valley mining basin [21] (Fig. 5).

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Fig. 5. Planeta Petrila, the documentary and Ion Barbu, the artist. Source: https://www. facebook.com/PlanetaPetrila/ (last accessed 2020/03/2).

4 A Glimpse Towards the Future In all three cases the initiative came from the members of the civil society, initially from members of the local communities who managed to involve different specialists in the field of cultural heritage, urban planning and/or territorial governance from Romania and abroad. Consequently, their presence and activity on the different sites attracted the interest of various local and regional actors interested in the topic and in the site’s promotion and potential for reconversion potential rather than its demolition and scraping. Moreover, in all cases the local community was involved in various cultural initiatives in order to stress the necessity of a placed-based initiative that could generate solutions for solving the community’s problems through cultural entrepreneurship developed in former industrial spaces. For example, in case of Petrila, the artist Ion Barbu starting to use the public space for making art contributing also to the founding of several cultural establishments such as Ion D. Sîrbu House, Mother’s Museum and Centre POMPAdou. The last one was established through the reconversion of a former pomp factory into an art centre where a festival of contemporary underground theatre was initiated in 2015 together with the development of other social gatherings of the community. All of these initiatives contributed to the creation of several brands specific for Petrila. [22] In case of Baia Sprie, the touristic path that was connecting different objectives of the industrial landscape was systematized and marked trough experimental design objects of urban furniture created during the workshop organized in 2013. In Anina, through the collaboration of various visual artists a series of video-mapping events projected in the urban space were organised, while other buildings such as the railway station or the former theatre were used for photographic exhibitions and movie projections. All these events represented an occasion to invite the local communities to participate in the debate concerning the future of their place, but also to stimulate to a certain extent the creativity in relation to the potential use and re-use of derelict industries. From all the three cases discussed in this article, Petrila certainly remains the one that received most public attention, and which became known at national level. This is due to the fact that the main promotor is the artist Ion Barbu, member of the local community, a well-

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known Romanian political cartoonist and activist for the preservation of the local mining identity, that has developed numerous performing acts that managed to generates disputes, debates and attracts interest. Another common aspect to all three activities is the predisposition towards a touristic promotion of the former mining areas for both their cultural attractiveness in terms of cultural heritage (mining legacy) and environmental features. However, in all three cases there are significant deficiencies in services and infrastructure that could sustain this touristic potential development. This aspect raises further questions on the use of built environment and its potential reconversion. Despite the current success or (the lack of) of these initiative and of their impact in the territory, it is important to emphasize that a new generation of artists and young specialists starts to manifest interest in the heritage value of former industrial sites and their re-use/re-cycle potential. Moreover, the narrative of the patrimonial value starts to be present in various territorial proposals of post-industrial revitalisation. However, as shown until now, without direct resources and support from the local administrations – the main owners of these industrial sites, the initiatives risk to end prematurely and disappear together with the site itself. On the other hand, as demonstrated in case of Petrila, if the local community manages to put enough pressure on the local authorities, a common ground for action can be found. Still, such goals are difficult to be achieved given the state of material poverty of the local community, and in the absence of sustained support from the government and central agencies.

References 1. Revitalizare comunitară şi impact de dezvoltare economică inovatoare prin valorificarea patrimoniului comunitar nefolosit (Ro)/Community revitalization and economic innovative development through the enhancement of the communities’ unused heritage (En), Victoria Palace Romanian Government, 15th–16th April 2016. Press released: shorturl.at/dgGU4. The author was invited to attend the conference due to her research interests on industrial heritage in Romania (the topic of her PhD). Thus, the information presented and analyzed is based on the materials provided at the conference by the organizing committee, although these were never printed and presented in a form available to the public. Accessed 27 Jan 2020 2. The initiative was coordinated by the Chancellery of the Prime Minister (Prime minister Dacian Cioloş, leading the technocrat government during 2015–2016) in collaboration with the Romanian Ministry of Economy, Commerce and Business Environment; Ministry of Culture and Ministry for the Public Consultation and Civic Dialogue. To these, several other ministries were involved in the initiative together with representatives of the Romanian civic society well known nationally for their involvement in the cultural heritage enhancement such as ±PLUSMINUS cultural association, nod makerspace, Arheologie industrială, Fabrica de pensule, Zeppelin 3. Păun-Constantinescu, I.: Shrinking Cities in Romania (Vol. 1 Research and Analysis, Vol. 2 Responses and Interventions), 1st edn. DOM Publishers, Berlin, MNAC, Bucharest (2019) 4. Ioanid, R.: Urbanizarea în România. Implicații socio-economice, Ed. Stiințifică și Enciclopedică, Bucharest, p. 13 (1978)

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5. For this study the project Save Roşia Montană was not taken into consideration due to the complex dynamics generated by the conflicting interests between the intention to re-open the gold extraction and the listing as UNESCO world heritage. The case of Roşia Montană differs from the Baia Sprie, Anina and Petrila due to the political and international implications and it would require an entire dedicated analysis. Besides the above mentioned projects, other Romanian initiatives oriented on the protection and enhancement of the mining heritage at territorial level and involving directly the local communities were not identified. However, in Romania, there are different initiatives focusing on specific former industrial buildings, but these are rather punctual interventions and do not appear mentioned or included in this study 6. Wollman, V.: Patrimoniul preindustrial şi industrial în România, vol. 1, 1st edn. Honterius, Sibiu (2010) 7. Tismăneanu, V.: Stalinism for All Seasons: A Political History of Romanian Communism, 1st edn. University of California Press (2003) 8. Ronnas, P.: Urbanization in Romania. A geography of social and economic change since independence, Ph.D. thesis, The Economic Research Institute - Stockholm School of Economics, p. 16 (1984) 9. The soviet Cult-of-Steel and its consequences on the Romanian economic plans are detailed in Tismăneanu V, pp. 107–135 (2003) 10. Gusti, G.: Forme noi de asezare: studiu prospectiv de sistematizare macroteritoriala, Ed. Tehnica, Bucharest (1974) 11. Cucu, V.: Oraşele din RS România. Probleme de geografie economică (summary of the doctoral thesis), Alexandru Ioan Cuza University, Iaşi, p. 23 (1977) 12. Stei/Dr. Petru Groza is such a case of a new mining town, built in the proximity of a uranium mine (Baiţa, Bihor region) during 1951–1953. But even in this case, the building of the new urban settlement was chosen near an existing village 13. Hotărâre nr. 1008 din 2006 privind aprobarea închiderii definitive şi monitorizării factorilor de mediu postînchiderea unor mine şi cariere, etapa a IX-a (RO), Decision n. 1008 from 2006 concerning the definitive closing and monitoring of certain mines and quarries, 9th phase (En) 14. Planet Petrila documentary directed by Andrei Dăscălescu, HBO Europe Documentaries production. https://www.facebook.com/watch/?v=520700768270778. Accessed 30 Jan 2020 15. The List of Historical Monuments 1992, Caraş-Severin County. http://www.cimec.ro/ Monumente/Lista-Monumentelor-Istorice.htm#nota. Consulted 2 Mar 2020 16. Program operational regional – POR 2014–2020, Fonduri structurale – Axa prioritară 5: Imbunătăţirea mediului urban şi consevarea, protecţia şi valorificarea durabilă a patrimoniului cultural (Ro). https://www.fonduri-structurale.ro/program-operational/1/programuloperational-regional. Accessed 30 Jan 2020 17. For further details concerning the project. http://tabaradecreatie.blogspot.com/. Accessed 30 Jan 2020 18. Source: National Institute of Statistics; Tempo online database. 19. Tiganea, O., Paşcu, G.: Anina, Mine of Ideas: coordinator 2014 – 2017 editions arch. Marius Barbieri and arch. Oana Tiganea, coordinator for the 2018 edition arch. In this particular project, the author participated directly in the drafting, organization and implementation of the project. Further details concerning the project can be obtained from the main publications of the project. https://issuu.com/asociatiaalbaverde/docs/anina_mine_of_ideas___2014_. https://issuu.com/asociatiaalbaverde/docs/00_mina_de_idei_anina___2017. https://issuu.com/ asociatiaalbaverde/docs/mina_de_idei_anina___vizita_in_comu. Accessed 30 Jan 2020

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20. Sucală, C.: Petrila: a former mining town resisting through art. In: Păun-Constantinescu, I. (ed.) Shrinking Cities in Romania, vol. 2, pp. 16–19 (2019) 21. Valea Jiului Implicată. https://www.valeajiuluiimplicata.org/membri/. Accessed 30 Jan 2020 22. Interview with Ion Barbu, artist. In: Păun-Constantinescu, I. (ed.) Shrinking Cities in Romania, vol. 2, pp. 22–31 (2019)

The Antifragile Potential of Line Tourism: Towards a Multimethodological Evaluation Model for Italian Inner Areas Cultural Heritage Catherine Dezio1(&), Marta Dell’Ovo2, and Alessandra Oppio1 1

2

Department of Architecture and Urban Studies (DAStU), Politecnico di Milano, via Bonardi 3, 20133 Milan, Italy [email protected] Department of Architecture, Built Environment and Construction Engineering (ABC), Politecnico di Milano, via Bonardi 9, 20133 Milan, Italy

Abstract. More than 60% of Italy is occupied by inner areas in continuous depopulation. It is a continuous abandonment which has led to the constant aging of towns and to devastating effects on the hydrogeological system but also to the risk of loss of local identities. In this heritage at risk, we can be able to find one of the cornerstones of a territorial rebirth. Slow tourism can be the appropriate action for a place-based strategy that is able to adequately enhance this widespread heritage. It is no coincidence that the theme of the recovery of public assets along slow tourism lines is increasingly relevant in the inner areas. In this sense, our research question focuses to imagine an antifragile tourism model that, starting from potential unused resources of territorial capital, can act to minimize fragility and maximize attractiveness. To do that, we suggest the use of an hybrid methodological approach based on the combined use of Geographic Information Systems and Multicriteria Analysis, in order to support the decision process to identify disused buildings suitable for adaptive reuse. What is challenging is to find out balanced reuse strategies, able to bring benefits both to the most attractive sites as well as to the most fragile ones according to the line perspective. In this paper, we present the first steps of an integrated model for the valorization of disused buildings, enhancing the regenerative capacity of slow tourism. Keywords: Heritage


Slow tourism
Antifragility model

1 An Introduction to Fragility Italy is a country of villages, where the 70% of Italian municipalities can be defined as “small” (i.e. with less than 5,000 inhabitants, according to the official definition of National Association of Italian Municipalities), and cover the 54% of territory [1–3]. Furthermore, according to the National Strategy of Inner Areas, more than 60% of the Italian territory is occupied by inner areas, defined as “areas significantly distant from the centres offering essential services, but rich in important environmental and cultural resources and highly diversified by nature” [4]. The scarce offer of services (education, © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1819–1829, 2021. https://doi.org/10.1007/978-3-030-48279-4_172

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mobility and health care), accessibility and job places is the effect of a series of different dynamics that have determined the uneven development between city and countryside, mountains and plain, coast and hinterland [5, 6]. The effects to these inner areas are depopulation, emigration, social and productive rarefaction, abandonment of the land. Already in 1961, the Italian agrarian economist Emilio Sereni had understood the extent of this transformation by speaking of “a prelude to the disintegration of the agricultural landscape” (Sereni 1961). That gives us the idea that it is not only a physical phenomenon, but also a cultural result of a descending story of places, people, memories. It is a continuous abandonment, a silent and latent phenomenon, which has led to the constant aging of towns and villages, to devastating effects on the hydrogeological system but also to the risk of loss of local identities. In this heritage at risk, we can be able to find one of the cornerstones of the territorial rebirth of a vast part of our country. In this sense, we see the abandonment as not a final state, but as an intrinsic opportunity for a second beginning. Coherent to this concept, the main objective of [4] is the reversal of the demographic trend of these territories and it is pursued through two classes of actions: (i) the first focuses on adjusting the offer of essential services, so that means the preconditions for the territorial development; (ii) the second aims to implement interventions in favor of local development, focused to generate labor demand through the re-use and enhancement of territorial capital. Precisely in this last class of actions there are tools that solicit the enhancement of resources through quality actions with low environmental impact. This is an approach that is particularly present in the European context and in line with the traditional objectives of cohesion policies. The merit of the described approach known as the place-based expression or “place-oriented development” is to pay attention to the aspects of territorial rebalancing but by distancing oneself from traditional aid interventions to crisis areas. The different forms of sustainable tourism (slow tourism, green tourism, rural tourism, ecotourism, etc.) can be the appropriate action for this type of strategy.

2 The Regenerative Potential from Tourism After the Rio de Janeiro World Conference on Environment and Development held in 1992, three international organizations, the World Tourism and Travel Council (WTTC), the World Tourism Organization (WTO) and the Earth Council elaborated “Agenda 21 for the tourism industry: towards a sustainable development”, which establishes some fundamental principles: tourism must contribute to the conservation and restoration of the earth’s ecosystems; travel and tourism must be based on sustainable consumption patterns and production; tourism development must recognize and support the identity, culture and interests of local populations. Recently, the historic agreement among world leaders at the United Nations in 2015 on a universal 2030 Agenda for sustainable Development committed all countries to pursue a set of 17 Sustainable Development Goals (SDGs) [7] that would lead to a better future for all. The bold agenda sets out a global framework to end extreme poverty, fight inequality and injustice, and fix climate change until 2030. Tourism has

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the potential to contribute, directly or indirectly to all of the goals. In particular, it has been included as targets in Goals 8, 12 and 14 on inclusive and sustainable economic growth, sustainable consumption and production (SCP) and the sustainable use of oceans and marine resources, respectively. The achievement of the 2030 Agenda is a landmark that provides a unique opportunity for governments to create a favourable policy foundation, not only from the point of view of potential development, but even before for the ability to repair fragility. Sustainable tourism has been experiencing particular success in recent years. More and more people wish to practice a form of holiday using slowness, in the various known ways: on foot, by bike, on horseback or mule, in kayaks, with small boats or with a combination of these ones. Given also that hundreds of thousands of practitioners of these activities need a range of services (currently in the precarious and discontinuous Italian territory), which incorporate a very varied range of occupations and which require spaces suitable for size, security and accessibility, sustainable tourism could be a power regenerative engine on the economic, social, cultural and environmental level, through the reuse of the different resources of territorial capital. Furthermore, activation of these sustainable tourisms do not require substantial investment efforts, but promises good economic stability and durability, low environmental impact and high cultural performance. It is no coincidence that the theme of the recovery of public assets along slow tourism lines such as cycle routes or paths, for example, is increasingly relevant precisely in the territories of the inner areas. Proof of this are the many initiatives in Europe, but also some recent and initial Italian experiences1. In this sense, our research question focuses to imagine an antifragile tourism model that, starting from potential unused resources of territorial capital (tangible and intangible), can act to minimize fragility (or vulnerability) and maximize attractiveness. To do that, the purpose of the contribution is to propose a hybrid methodological approach based on the combined evaluation of the attractiveness and the vulnerability of the territory crossed by slow lines, developed by the use of Multicriteria Analysis (MCA) in the Geographic Information Systems (G.I.S.) domain, in order to support the identification of disused buildings suitable for adaptive reuse. By the definition of a set of spatial criteria and utility functions, the multi-methodological approach can be used by the stakeholders involved in the valorization process – in different ways according to the different role they play – i) to support the selection of the assets to be reused according to the location features (potentials and weaknesses); ii) to evaluate how much the punctual intervention on an asset is able to boost synergies with the surroundings sites; iii) to provide a sound basis for evaluating the impacts of the valorization interventions across a multidimensional perspective [8]. What is challenging is to find out balanced reuse strategies, able to bring benefits both to the most attractive sites as well as to the most fragile ones according to the line perspective, that is quite different from a punctual intervention as well from a network of valorization actions [9–11]. 1

Experiences such as the announcement promoted by the State Property Agency in 2017, “Valore Paese – Cammini e Percorsi” or the Atlante Digitale dei Cammini (2017) or the Sistema nazionale ciclovie turistiche (2016) or the great commitment of a historical association such as CAI with Sentiero Italia and today with Pedala Italia.

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This paper, inspired by an urgent need in the context of fragile areas, proposing itself as a highly original and replicable contribution, both theoretically and operationally, presents the first steps of an integrated model for the valorization of disused buildings, that uses the regenerative capacity of slow tourism.

3 The Model The proposed methodological approach is a multi-dimensional analytical framework, divided into four main steps. The first phase is related to the analysis of territorial strengths, in order to provide both the overall and the partial attractiveness maps. The second phase aims at developing a territorial analysis to detect weaknesses and to provide vulnerability maps. The third phase is focused on the analysis of the intrinsic features of a portfolio of public cultural assets, in order to point out their state of conservation, their potential to be reused, the cost of the interventions needed to adapt the existing buildings to new functions. On the basis of this broad knowledge, the fourth phase will be addressed to select among all the potential interventions, those who will be able to minimize the criticalities, maximize the strengths, to be consistent to the slow tourism requirements and objectives, as well as to respect the budget constraints. According to the current development of the research, this paper will focus on the description of the two first steps of the abovementioned evaluation process. They consist in structuring the problem and the decision-making framework, by defining the objectives to be achieved in the context under evaluation and the definition of an appropriate set of spatial criteria to be subsequently measured. In fact, once the set of criteria has been framed, it is possible to go on with the available data collection (Source Maps) and to start the geo-processing operational phase. GIS data are strictly related to the selected indicators, as they allow to understand how the sub-criteria are going to be measured. The geo-processing operations are related to the type of information required, as well as to the selected indicators. Through these geo-processing operations, Source Maps are transformed into Criterion Maps, that show specific information as interval, classes or ranges [11, 12] and their aggregation allows to obtain Value maps able to highlights the attitude of the territory to meet the requirements of each criterion under evaluation. 3.1

How to Measure Territorial Attractiveness

Since this first phase is aimed to define an attractiveness index for the territories crossed by cycling and walking itineraries, the problem definition phase has been based on 1) a literature review on the topic, 2) the research of similar case studies and 3) the analysis of the outputs of a public inquiry carried out in 2017 by the Agenzia del Demanio2. More in detail, the literature review has been based on Scopus database investigation by using different combination of keywords as bicycle paths/trails, tourism, territorial

2

https://www.agenziademanio.it/export/sites/demanio/download/schedeapprofondimento/REPORTSHORT_CAMMINI-E-PERCORSI-da-5.0.pdf.

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attractiveness, evaluation. Table 1 shows that, among the evaluation methodologies used to solve decision problems mainly related to the relationship between territorial potentials, tourism attractiveness and the design of slow mobility routes, MCA combined with GIS is the most frequently used. For what concerns the case studies, six European itineraries have been selected and examined with the aim of detecting common drivers able to impact on territorial attractiveness. The choice has been addressed towards cross-regional trails in order to point out their specific features. Finally, by the mean of a questionnaire the public inquiry has allowed to explore the interests of 24.632 slow paths potential users and to underline their preferences and priorities about services, activities and interest sites along the trail. Despite the multiple choice survey questions, that restrict the answers’ spectrum, some interesting insights have emerged. The Fig. 1 points out that most of the preferences, both for Italian and international potential users converge on natural and cultural resources, as well as on local traditions’ experience (Table 2). Table 1. Literature review Title

Authors

Year

Decision problem

Methodology

Case study

Criteria

Designing optimal routes for cycle-tourists

[13]

2014

Provision of bycicle path to connect touristic places

Integer linear programming model

Trebon region, South Bohemia

Points of interest: natural, cultural, infrastructure services

Rural landscape and cultural routes: a multicriteria spatial classification method tested on an Italian case study

[14]

2015

Identification of landscaped nearby via Franchigena to evaluate tangible and intangible value

MCA and GIS

Emilia Romagna, Italy

Protected natural areas, areas of high natural and ecological value, agricultural land use, historical values, springs and fountains, hospitality, urban density, infrastructure density, railway station density, landscape fragmentation,

Assessment of the territorial suitability for the creation of the greenways networks: Methodological application in the Sicilian landscape context

[15]

2017

Development of methodology to identify infrastructure systems to support greenways networks

MCA and GIS

Sicily, Italy

Natural-environmental resources, historical-cultural resources, commercial activities, infrastructures

Landscape as Driver to Build Regeneration Strategies in Inner Areas. A Critical Literature Review

[16]

2018

Regeneration of peripheric areas based on the connection of territorial stakeholders

Cultural mapping

No

Environmental, cultural, symbolic and historical values

Multicriteria Evaluation of Tourism Potential in the Central Highlands of Vietnam: Combining Geographic Information System (GIS), Analytic Hierarchy Process (AHP) and Principal Component Analysis (PCA)

[17]

2018

Assessment of economic values concerning touristic resources

MCA and GIS

Vietnam

Internal tourism criteria: aesthetic and artistic value, entertainment value, historicalcultural value, scientific value, biodiversity, size of the tourist destination and tourist seasonality. External tourist criteria: connection with other tourist sites, accessibility, distance from tourist attractions to the centre, quality of accommodation, quality of catering, and quality of service work

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Cycle route

Km Subject of particular interest

Description

Elbe Radweg

750 Naturalisticcultural

Camino Francés

738 Naturalisticcultural

Tour de Manche

727 Historicalcultural

Cycle route BerlinCopenaghen

707 Naturalisticcultural

Véloroute des Deux-Mers

685 Naturalisticcultural

Via Claudia Augusta

655 Historicalcultural

The cycle route is located in Germany and follows the course of the Elbe river, through rocky landscapes, meadows and large forests on the Riviera, national parks and nature reserves, but also reaches historical and cultural destinations The Camino Francés, the French section of the Camino de Santiago, goes from Saint Jean Pied de Port, in France, and gets to northern Spain. Characterized by historical tradition, the Jacobean route allows you to visit shrines and historical assets, and to get to know hospitality, food and local customs The Tour de Manche crosses different coastal landscapes of France and it is part of the Eurovéloroute 4 cycle and pedestrian route. It is a safe and completely signposted route, in which phases alternate on small roads and greenways that allow you to visit natural sites of exceptional beauty and interest The cycle route crosses Germany and Sweden connecting the two capitals. Thanks to this itinerary you can observe unspoiled nature and cultural treasures, but also discover history of the lake region. Along the way you can visit ancient villages, historic buildings of architectural and cultural interest The Véloroute des deux-mers connects the Atlantic Ocean to the Mediterranean Sea, crossing France and running along the side channel of the Garonne and the Canal du Midi. It is an ecological route, characterized by the diversity of the landscapes crossed The Via Claudia Augusta retraces the ancient Roman road from the plains of the Po river and from the Adriatic Sea to the Danube river. It is a symbolic route that crosses three nations with an enormous variety of landscape and traditions, beauties of art and food and wine specialties, in the name of an ecologically compatible tourism

Italians

Attending wellness centres

Participating in cultural events

Buying typical products of local handicrafts

Participating in food and wine events

Practicing sport activity

Visiting places of historicalartistic interest

Tasting typical local products

Visiting places of naturalistic interest

14000 12000 10000 8000 6000 4000 2000 0

Foreigners

Fig. 1. Results of public inquiry launched by Agenzia del Demanio in 2017.

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By combining the outputs of literature review, case studies research and public inquiry a comprehensive set of criteria have been defined (Table 3) that has addressed the definition of a framework for evaluating the territorial attractiveness. Table 3. Comprehensive framework based on literature review, case study research and Public inquiry Criteria

Sub-criteria

Literature review

Case study research

Public inquiry

Final set of criteria

Natural resources

Parks and protected areas Natural areas Biodiversity High ecological value areas Landscape sight platforms Rivers and lakes Cultural Heritage Landscape Natural springs and fountains Local tradition and events Services Restaurants Hospitality High quality wine-yards Connectivity Interchange nodes Services for cyclists Local communities participation

•

•

•

•

•

•

• •

•

• •

Historical-cultural resources

Socio-economic resources

•

• • •

• •

• •

•

•

•

• • •

•

• •

•

•

•

• • • •

• •

The decision three presented in Table 4 is the result the above mentioned analysis.

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C. Dezio et al. Table 4. Set of criteria

Criteria

Sub-criteria

Natural resources Parks and protected areas Natural areas HistoricalCultural cultural resources heritage Landscape

Socio-economic resources

Hospitality

High quality wine-yards Connectivity Interchange nodes

3.2

Description The criterion considers protected areas aimed to preserve ecosystems at national, regional and supra-municipal levels The criterion considers protected areas that are part of the European ecological network Natura 2000 The criterion considers the architectural assets that represent the historical and cultural heritage The criterion considers archaeological sites, i.e. places where traces of human activities from the past are preserved, as well as the panoramic points present in the territory and the navigable waterfronts The criterion considers the accommodations network, consisting of room rentals, farmhouses, hotels, B&B, camping, country houses, guest houses and hostels The criterion considers the areas of fine vineyards, i.e. the areas devoted to the cultivation and production of DOC, DOCG and IGP wines The criterion considers the connectivity of the routes with other cycle paths and hiking networks The criterion considers railway stations and riverside ports, which allow connections with other transport systems

How to Measure Territorial Vulnerability

Together with the analysis of the territorial attractiveness, it has been developed the analysis of the territorial vulnerability aimed at assessing the weaknesses. Vulnerability can be described both as the exposure of elements to adverse impacts [18] and as the measure of the damage [19] or as a combination of the exposure and the resistance [18, 20]. Following the selection of 38 Scopus articles concerning the combination between “composite index” and “vulnerability”, several criteria have been pinpointed, that concern 4 different components of territorial capital. The Fig. 2 shows the distribution of the indicators selected for the different territorial capital classes. According to the literature review and in order to result in a territorial vulnerability value, the following criteria have been analysed. By processing and aggregating the results obtained under the risk and the socio-economic perspective, it is possible to understand which assets are located in a more fragile context and could be at risk: – Environmental Risk analysis: • Flood and Hydrological risk: given the presence of rivers, it is crucial to know the areas where the hydrogeological or flood risk could occur. The determination of the risk class derives from the assessment of the hazards, connected to the different types of instability, socio-economic and infrastructural vulnerability of the areas potentially subjected to damage as a result of the occurrence of instability phenomena (Fig. 3).

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Fig. 2. Distribution of the indicators selected for the different territorial capital classes

Fig. 3. Vulnerability map related to the Flood and Hydrological risk. Legend: R1 - moderate, marginal social and economic damage; R2 - medium, minor damage to buildings and infrastructure; R3 - high, people’s safety issues and damage to buildings; R4 - possible loss of human life and serious damage to buildings and infrastructure (Source: ISTAT, 2017 and Rapporto Idrogeologico ISPRA, 2018).

• Seismic Risk: equally important is the knowledge of seismic risk and of the damages to which the territory could be subjected, in order to understand how to reduce them. – Demographic Vulnerability: • Population density. • Age of the population. • Education. – Economic Vulnerability: the analysis has been focused on economic activities in order to point out the most developed sectors and to understand whether a municipality can guarantee work for most residents, or whether they are forced to become commuters.

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4 Major Conclusions and Further Developments According to the idea that slow tourism can play a regenerative role for Italian inner areas, since it provides people with extensive outdoor recreational and with significant historical heritage and cultural values, the preliminary stages of this research have proposed a multimethodological model for mapping strengths and vulnerabilities according to a cross-regional scale of analysis. The value maps, resulted by the aggregation of the criteria analyzed and thanks to the combined use of the MCA in the GIS domain, are considered as preliminary to the further steps of the research, that will be addressed to the prioritization and the selection of a portfolio of interventions on cultural heritage along slow tourism lines. Each of the assets will be assessed on the basis of a set of both quantitative and qualitative criteria and according to multi-actor perspective with the purpose to determine their level of priority for further selection. Given the increasing scarcity of public resources for preserving cultural heritage, the integrated multiple criteria decision aiding analytical tool proposed in this paper has significant potential to be used in the future as support for an effective allocation of investments. The evaluation model allows also to define useful argumentations for proving and communicating the goodness of decisions in terms of economic, environmental and social benefits for the city, the citizens and the stakeholders.

References 1. IFEL: (a cura di), Atlante dei piccoli comuni, Fondazione IFEL, Roma (2011) 2. Pileri, P., Granata, E.: Piccoli comuni, grandi responsabilità. In: Bonini, G.E., Visentin, C. (A cura di) Paesaggi in trasformazione teorie e pratiche della ricerca a cinquant’anni dalla Storia del paesaggio agrario italiano di Emilio Sereni. Editrice Compositori, Bologna (2014) 3. Casa, M.E., Pileri P.: Il suolo sopra tutto. Cercasi “terreno comune”: dialogo tra un sindaco e un urbanista. Altreconomia, Milano (2017) 4. SNAI: Strategia Nazionale per le Aree Interne (2013). http://www.programmazione economica.gov.it/2019/05/23/strategia-nazionale-delle-aree-interne/. Access 14 dicembre 2019 5. Marchetti, M., Panunzi, S., Pazzagli, R.: Aree interne. Per una rinascita dei territori rurali e montani. Rubettino Editore, Soveria Mannelli (2017) 6. De Rossi, A.: Riabitare l’Italia. Le aree interne tra abbandoni e riconquiste. Donzelli Editore, Roma (2018) 7. Sustainable Development Goals (2015). https://sustainabledevelopment.un.org/?menu=1300 . Access 23 December 2019 8. Oppio, A., Dell’Ovo, M.: Cultural heritage preservation and territorial attractiveness: a Spatial multidimensional evaluation approach. In: Cycling and Walking for Regional development. Springer, Heidelberg (2020) 9. Moscarelli, R., Pileri, P., Giacomel, A.: Regenerating small and medium sized stations in Italian inland areas by the opportunity of the cycle tourism, as territorial infrastructure. City Territory Arch. 4(1), 1–14 (2017) 10. Ingold, T.: The Life of Lines. Routledge, Abingdon (2015) 11. Dell’Ovo, M., Capolongo, S., Oppio, A.: Combining spatial analysis with MCDA for the siting of healthcare facilities. Land Use Policy 76, 634–644 (2018)

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12. Malczewski, J.: On the use of weighted linear combination method in GIS: common and best Practice approaches. Trans. GIS 4(1), 5–22 (2000) 13. Černá, A., Černý, J., Malucelli, F., Nonato, M., Polena, L., Giovannini, A.: Designing optimal routes for cycle-tourists. Transp. Res. Procedia 3, 856–865 (2014) 14. Diti, I., Torreggiani, D., Tassinari, P.: Rural landscape and cultural routes: a multicriteria spatial classification method tested on an Italian case study. J. Agric. Eng. 46(1), 23–29 (2015) 15. Quattrone, M., Tomaselli, G., Riguccio, L., Russo, P.: Assessment of the territorial suitability for the creation of the greenways networks: methodological application in the Sicilian landscape context. J. Agric. Eng. 48(4), 209–222 (2017) 16. Oppido, S., Ragozino, S., Icolari, D., Micheletti, S.: Landscape as driver to build regeneration strategies in inner areas. A critical literature review. In: International Symposium on New Metropolitan Perspectives, pp. 615–624. Springer, Cham (2018) 17. Hoang, H.T., Truong, Q.H., Nguyen, A.T., Hens, L.: Multicriteria evaluation of tourism potential in the central highlands of vietnam: combining geographic information system (GIS), analytic hierarchy process (AHP) and principal component analysis (PCA). Sustainability 10(9), 3097 (2018) 18. Alexander, D.: Models of social vulnerability to disasters. RCCS Ann. Rev. Sel. Portuguese J. Revista Crítica de Ciências Sociais (4) (2012) 19. Blaikie, P., Cannon, T., Davis, I., Wisner, B.: At Risk: Natural Hazards, People’s Vulnerability and Disasters. Routledge, Abingdon (2005) 20. Villegas-González, P.A., Ramos-Cañón, A.M., González-Méndez, M., González-Salazar, R. E., De Plaza-Solórzano, J.S.: Territorial vulnerability assessment frame in Colombia: Disaster risk management. Int. J. Disaster Risk Reduction 21, 384–395 (2017)

Strategies for Sustainable Enhancement of Fortified Architecture in Inner Areas. The Case of Amendolea Castle Roberta Pellicanò(&) Mediterranea University, Via dell’Università 25, 89124 Reggio Calabria, Italy [email protected]

Abstract. The paper illustrates a sustainable proposal aimed at the enhancement of the inner areas and their heritage. Firstly, the study analyzes the complex relationship between conservation and accessibility, which represents one of the most controversial issues regarding the intervention on the existing architecture. Among the various themes, there is the need to establish the limits within which it is possible to guarantee the accessibility of the heritage by respecting the conservation criteria. Accessibility is analyzed because of its important role in the enhancement process. Fruition allows heritage knowledge and implementation of community awareness on the territory resources. This issue is addressed in relation to complex situations such as fortified structures, in which inaccessibility is one of the predominant characteristics. The recognition of an important value of these structures has led to the possibility of converting them into attractors for the territory. This can be possible through the transformation of castles into places open to the whole community, no longer exclusive sites. The value does not refer only to the historical-architectural aspect, but also to their role as custodians of the places memory. The project proposal is illustrated through the case of the Amendolea Castle, providing a new method of access to the fortified heritage by using innovative tools able to overcome the problems related to physical access to the place, becoming alterative channels for the knowledge of the site. Keywords: Enhancement
Inner area
Fortified architecture Innovative tools
Sustainability


Accessibility


1 Introduction The Italian national territory is characterized by the presence of the so-called “inner areas”, so-called due to their position and the state in which they flow that can be described as territorial capital not used due to economic decrease and emigration, therefore “abandonment landscapes”. The following study proposes a re-birth strategy for these areas by investigating the enhancement theme of disused building capital, with particular attention to the Calabrian territory. Regarding the existing architectural heritage, a peculiarity that often unites these territories is the presence of fortified architecture, complex structures located in inaccessible and difficult to reach places but at the same time inexhaustible source of history linked to political, social and economic © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1830–1839, 2021. https://doi.org/10.1007/978-3-030-48279-4_173

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logics. Therefore, the pivotal action consists in the conversion of these structures into attractors in order to reverse the demographic trend and free the inner areas from their inertia state in economic and social terms. The project proposal treats the accessibility of these places, a very complex and controversial theme born to be inaccessible and to put in difficulty those who wanted to reach them. Intervening on these heritages means accepting to face the challenge of making the inaccessible accessible. Of course, the prerogative is to do it without altering the rich presence of signs, stories and memories they preserve, an arduous work for those who deal with the conservation of the architectural heritage. The following proposal for inner areas enhancement aims to the recognition and knowledge of the existing fortified heritage. It analyzes the relationship between accessibility and conservation, also investigating the possibility of counting on innovative tools [1] that allow access to the architectural heritage through alternative sustainable methods to accessibility [1]. Specifically, the study examined the case study of the Amendolea Castle, located in Condofuri in the Metropolitan City of Reggio Calabria.

2 The Relationship Between Enhancement and Accessibility of Architectural Heritage The attention to accessibility issue of the architectural heritage stems from the belief that the latter is as important to society as it is essential to the life of the heritage. One is a resource for the other. The accessibility theme is closely connected to the conservation and enhancement programs of a specific cultural heritage, as the intervention on heritage has the purpose of contributing to its knowledge and conservation and also to make it usable towards all individuals, where the heritage itself allows it. Architecture lives until it expresses its usefulness, as “a good is not such if it is not usable. Pure contemplation does not belong to architecture” [2]. This obviously must be achieved in respect of the nature of the heritage, so it is necessary to decide to what extent and with what tools it is possible to intervene on it in order to guarantee their complete accessibility. Therefore, the sensitivity and competence of the restorer, who must evaluate the various possible choices, are fundamental. The interventions design aim at the reuse of the heritage, its priorities are to bring it back to life and pass it on to future generations - in addition, of course, to further issues related to political, social and economic aspects - but the project depends on the achievement of the accessibility [3]. Reuse includes all actions able to give new life to heritage, expression of a new “relationship between object (building) and subject (users)” [4], also including the need for an efficient and safe accessibility system towards of all possible visitors. Therefore, it is necessary to carry out an analysis on the conditions of the existing accessibility system, in order to make improvements or additions [3]. Although strictly linked to the conservation of the heritage, the restoration project is not aimed only at safeguarding the structures integrity. It this process, heritage is a work “open” to the idea of transformation, «accepting it as a condition of existence, which establishes the essence of architecture» [5]. The new elements for accessibility must not be understood only as parts of the “use and re-use” project [6], but become part of history, as a further phase of the architectural heritage that allows building to be kept alive also for future

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generations and to testify to the attitudes of society [7]. Therefore, each intervention must be designed and implemented respecting two fundamental requirements, which can be summarized in terms of accessibility (as an expression of the connection between building and user - “perceiving subject” [6]) and protection. Accessibility is also an “element with which to orient the conservation project from the preliminary stage” [8], also assessing the heritage condition. This can make clear the need of minimize interventions due to possible risks, even at the expense of accessibility, remembering that the enhancement is also achieved in the heritage protection and conservation [9]. Considering accessibility as part of valorization and conservation process allows to investigate the possibility that the historical heritage turns out to be inaccessible and to turn to programmed access and the use of alternative methods of use of the heritage [2]. There is a new idea of accessibility [10], which differs from its exclusively physical meaning, also considering others levels of accessibility [11] - physical and information - which defines universal accessibility as the set of sustainable methods of access to heritage that guarantees reachability, information acquisition and implementation of awareness of heritage [11].

3 The Accessibility of Fortified Architecture The castle is an impervious and difficult to reach place and, at the same time, an inexhaustible source of history linked to political, social and economic logics. Its value is linked not only to architectural and historical aspects, but also to memory. “The castle, like the other symbolic buildings of a community, is configured as the custodian of the memory and the” spirit “of it, also intended as the custodian of cultural, urban and landscape identity” [11]. It is often a source of pride and a reference point for the community, although in many cases the relationship between the castle and society is very controversial due to cultural and economic contingencies. First, the memory of fortified structures is not always associated with positive historical events for the life of the community. It can be “stained” by events that have caused great suffering by generating an attitude of refusal towards that place, symbol of feelings and negative memories that every citizen tries to eliminate from his historical memory. The only actions proposed against these fortified structures are abandonment and demolition by implementing contributing to the disappearance of the place. The castle becomes an “onerous possession” [11] for the community, relieving it of its role as a resource for the territory. Therefore, the enhancement project proposal for the heritage runs the risk of proving to be unsuccessful due to the lack of re-appropriation of the place by the community, which refuses to live it. In addition to socio-cultural problems, it is also possible to refer to practical aspects. Often the enhancement of fortified structures clashes with economic issues that, especially in the case of castles, often requires a huge commitment economic. It is due to the complex conditions of both the structures and the context. Because of the absence of solutions commensurate with the availability of resources, the abandonment of the site or the proposition of punctual and “economic” interventions is the direct consequence that constitute a further cause of degradation. Among the factors that

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contribute to making each action on the fortified works very complex are the location, the conditions of the site, the inability to define a new utility, the incorrect choice of new function for the heritage. The most common image that is associated with the castle is that of a fortress in a position of control over the surrounding landscape. Looking at the different strategic positions of the existing castles in the world, the inaccessibility is guaranteed above all by exploiting the natural configuration of the site. The predominant aspect is therefore its difficult reachability. However, as the strategic-defensive role of these structures has lost its utility, and on the contrary, the needs for the conservation and use of these sites with extraordinary cultural value have emerged, the difficulty of access becomes a question to be solved. The challenge is to make the inaccessible accessible [11]. In proposing enhancement project there is the intention to convert it from an insurmountable and exclusive place to an inclusive place, respecting its nature. Technological innovation can play an important role in supporting the design of new access methods, considering not only the technologies attached to the systems for physical-perceptive accessibility but also to the different channels of heritage knowledge. Of course, the presence of innumerable ways to solve the problem of inaccessibility of the place must deal with a careful analysis of each specific case and all aspects related to the intervention on the existing one. Everything that has to do with the built heritage relates to the technique but also, and mainly, to the more strictly ethical and cultural issues that concern respect for the material, formal, historical values of memory, which it contains. However, the question cannot and must not be addressed only on a technical level. Addressing the issue of accessibility also means dealing with other related topics such as reachability, practicality, safety of use, comfort, communication, mobility, which, if treated in synergy, can contribute to the creation of an inclusive habitat. In particular, reachability is the necessary premise and the very condition of accessibility to a place [11]. The resolution of this important issue is an important phase in the accessibility project of castles. By its configuration, the path that leads to the castle often involves obstacles that require the commitment of physical abilities to try to overcome them. The resolution of these problems has often provided for the application of ad hoc designed technologies, as the usual gimmicks are not efficient for the different particular cases. Therefore, the castle, according to the different conditions, can aspire to become an inclusive place by using the new design methods and new technologies, among which we also consider the so-called virtual technologies. This new way of approaching the theme of accessibility allows to support physical use but also to propose an alternative way to get to know the castles, especially when any possible intervention is discouraged by the presence of the limits imposed by the conservation criteria of heritage, which remain aspects of priority importance. 3.1

A Sustainable Proposal for the Accessibility of Amendolea Castle (Condofuri, RC)

The Calabrian territory is dotted with the presence of military architecture, which has played a fundamental role in the historical evolution of inhabited areas and roads and in the various political, social and economic dynamics that make up the history of places. The different sources that refer to the process of encastellation in Calabria, for the

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defense of populations from the waves of invasions that have occurred throughout the territory, testify the creation of new social and economic realities, as well as the origin of places still active today, which make up today’s Calabria. Many areas present several medieval testimonies around which different transformations of the territory took place – due to political, social and economic contingencies - up to the current configuration, such as Gerace, Stilo, Bova. Castles represent not only strategic points of the past for the control of the territory and defense and attack against the enemy, but “landmarks” that mark the presence of a precious cultural, material and immaterial heritage. This is evident also in the various iconographic sources, such as those of Pacichelli, in which the Calabrian territory is represented, making evident the strategic position of the castles in relation to the surrounding town. If in the past the castle has always been intended as a characteristic element of the territory, today its role should not lose its value, despite the loss of its original function but should be considered as a heritage to be preserved and protected. In most cases, the degradation conditions occur mainly due to the impossibility of foreseeing a reuse project. These situations are very usual in the Calabrian territories, just think of the different abandoned areas, in which it is possible to see only the ruins of the fortified structures and towards which it is shown total indifference. A determining factor is also the difficulty in creating an effective and safe system for the accessibility of the site due to problems related not only to the orographic configuration of the territory, but, in many cases, also to the lack of sufficient economic resources to deal with intervention costs. As in several cases existing on the national territory, even within the Metropolitan City of Reggio Calabria, the connection between fortified architecture and society is a complex issue to resolve. Most of the interventions merely respond to the minimum conservation requirements indicated by the legislation, without proposing projects that can convert the fortification into a point of attraction towards the territory. From the analysis of the current state of the Metropolitan City of Reggio Calabria castles, it was possible to find not only an ineffective physical accessibility system, but also and above all the absence of information channels on both documentary sources and the state of the site. The aim to convert these places into spaces suitable for welcoming the community could almost be considered an utopia, remembering that each intervention must not only consider user needs but also must deal with heritage protection and conservation. So actions always must be evaluated to find the right balance between accessibility and conservation. The awareness of the impossibility of guaranteeing total accessibility in most of the sites where the castles insist, has as consequence the interest of creating an alternative system for places knowledge and accessibility. The proposed project consists in the creation of a unique digital cataloging and consultation channel [12] that allows to get in touch with the castles and their context through virtual experience, collection and dissemination of information. The analysis of similar proposals concerning inaccessible or accessible with risks sites was the basis for developing the design idea. Among these, the project developed by the University of Central Lancashire for the “Cache cave” (California) was analyzed. The initiative offers experiences of site accessing through the virtual reality experience. The project has as fundamental part the quarries survey carried out with laser scanner and the processing of data with photogrammetric techniques that allowed the realization of 3D models. Users can explore

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the entire site on the online platform by choosing freely the area to visit and using their own technological tools [13]. This service is free and always accessible. Therefore, this idea of accessibility through virtual experience is the basis for a new sustainable way to explore castle sites. The main action of the accessibility project for the Amendolea castle is the structure 3D reproduction (3DCastle) through photogrammetric processing [12, 14], which allows to report all the heritage physical information, without subjective interpretations that, instead, could occur in case of 3D processing implemented by an operator – like in 3D modeling software. The project highlights of the amount of castles in the area with the possibility to found their real location on the map (Fig. 1).

Fig. 1. Localization of metropolitan city of Reggio Calabria castles through the GoogleMyMaps service

This methodology is able to propose a new idea of fruition through the creation of a support tool to physical accessibility. It is a valid alternative for the heritage knowledge when others types of access are precluded, always remembering the impossibility of replacing the quality of physical experience. This approach constitutes an important contribution for the creation of a digital cultural heritage refers to fortified architecture for the Metropolitan City of Reggio Calabria, useful for preserving the memory of places and for creating a connection through community and heritage. Therefore, community becomes an active user, due to the possibility for people to interact with the heritage by choosing the areas to visit, the distance from which to observe the site and what information to read. The project consists of several phases that lead to the creation of an online platform of information and services for the knowledge of the castles: 1. Location, historical research and analysis of the characteristics and heritage architectural consistency; 2. Photogrammetric survey, both with camera and with drone (Figs. 2 and 3)

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Fig. 2. Photographic survey of Amendolea Castle.The dots represent the positions of the camera.

Fig. 3. Drone survey of Amendolea Castle. The blue surfaces represent the positions of the drone.

3. 3D restitution through digital photogrammetry automatic software (Fig. 4);

Fig. 4. 3D restitution of Castle

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4. Integration between information and 3D model (Fig. 5);

Fig. 5. Description of castle elements

5. Preparation of an online platform for cataloging and consulting data. Then publication of processing results of information and 3D model (Fig. 6).

Fig. 6. A part of the online platform of the project

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This new approach is aimed both at the creation of alternative ways of accessing castles and information and at heritage conservation and enhancement. It is possible to refer to conservation, because the heritage knowledge can contribute to increase the community awareness towards the heritage and to encourage actions aimed at conservation and enhancement.

4 Conclusion The castle accessibility project is part of the innovative initiatives that propose alternative ways of accessing heritage. Among the most popular example, museums offer a new way of getting in touch with the artworks thanks to innovative tools that support experience and create new knowledge channels, such as augmented reality and virtual reality [14, 15]. Therefore, the project started by the existing initiatives analysis aimed at disseminating information using online platforms or multimedia tools that are able to replace or support physical experience on the site. The contribution of this research to the theme, in continuous development on the topic, concerns the use of these technologies for a new way of accessing fortified structures. An innovative method of conservation and enhancement of the place is proposed. Multimedia accessibility can act as an alternative channel for the diffusion of knowledge and as a tool for memory of places conservation. Knowledge allows the implementation of awareness towards heritage. This can encourage community involvement in the heritage re-birth and conservation. An important aspect is also the sustainability of the initiative that concerns both the use of economic resources and the intervention on structures, which are not modified to respond to accessibility needs.

References 1. De Gasperis, G., Cordisco, A., Cucchiara, F.: Immersive virtual reality as a resource for unaccessible heritage sites. In: Florence Heri-Tech – The Future of Heritage Science and Technologies IOP Publishing IOP Conference Series: Materials Science and Engineering, pp. 1–3 (2018). https://doi.org/10.1088/1757-899x/364/1/012035 2. Del Zanna, G.: Progettare l’accessibilità, progettare per l’utenza ampliata. TeMa, 5–8 (1998) 3. Arenghi, A., Pane, A.: The addition in conservation project for the accessibility to cultural heritage. Techne – J. Technol. Architect. Environ. (12), 57–64 (2016). https://doi.org/10. 13128/techne-19335 4. Oteri, A.M.: Presentazione, in “L’architettura come opera aperta. Il tema dell’uso nel progetto di conservazione”. ArcHistoR Extra 2, 7 (2018) 5. Arenghi, A., Della Torre, S., Pracchi, V.: Conservation, accessibility, design. Discussion and practice in Italy. In: Kealy, L., Musso, S.F. (eds.) “Conservation/Transformation” EAAE Transactions on Architectural Education. Dublin/Kilkenny (Ireland), 17–19 September 2009, Single volume, p. 55–66. Genova (2011). ISBN 9782930301501 6. Treccani, G.P.: Barriere architettoniche e tutela del costruito. TeMa, 10 (1998) 7. Picone, R.: Conservazione e accessibilità: il superamento delle barriere architettoniche negli edifici e nei siti storici. Arte Tipografica, Napoli, p. 23 (2004) 8. Eco, U.: Estetica e teoria dell’informazione, Bompiani, Milano, p. 10 (1972)

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9. Sulfaro, N.: L’architettura come opera aperta. Il tema dell’uso nel progetto di conservazione. ArcHistoR Extra 2, 9 (2018) 10. Sørmoen, O.: Access to life. An accessibility rethink. In: Arenghi, A., Garofolo, I., Sørmoen, O. (eds.) Accessibility as a Key Enabling Knowledge for Enhancement of Cultural Heritage FrancoAngeli, Milan, p. 42 (2016) 11. Arenghi, A., Bonetti, M.: Attacco al Castello: accessibilità alle strutture fortificate. Il caso del colle Cidneo e il castello di Brescia. ArcHistoR V, 164 (2018). https://doi.org/10.14633/ ahr073 12. www.3d-archeolab.it. Accessed 15 Jan 2020 13. https://archeomatica.it/ict-beni-culturali/la-realta-virtuale-come-forma-di-accessibilita-di-sitiarcheologici-inaccessibili. Accessed 1 Mar 2020 14. http://www.3dicons.ie/. Accessed 15 Jan 2020 15. www.3d-virtualmuseum.it/. Accessed 15 Jan 2020

The Project for the “Cultural Park of Sibaritide” Between United Nation Sustainable Developments Goals 2030 and Promotion of Regional Development Giovanni Cafiero1,2, Domenico Passarelli1(&), Ferdinando Verardi2, Maurizio Nicolai1,2, Angela De Marco1,2, and Eugenio Siciliano1,2 1

2

Mediterranea University of Reggio Calabria, Via dell’Università 25, 89124 Reggio Calabria, Italy [email protected] Pegaso Online University, Centro Direzionale Isola F2, 80143 Naples, Italy

Abstract. The case of the Sibaritide Cultural Park represents an interesting experience because, through the enhancement of cultural heritage, it aims to satisfy one of the transversal objectives of the SDGs of the United Nations Agenda 2030: Reinforce the meanings of implementation and revitalize global collaborations for sustainable development, an objective that underlines the awareness of the need for a strong involvement of all components of society, from businesses to institutions, from civil society to philanthropic associations and organizations, from universities and research centers to operators of information and culture. The Sibaritide project looks with particular attention, in other words, to increasing the collaboration capacity of the various components of society, a determining element that has often been referred to as “social capital” for development economists. Keywords: Strategic planning integrated planning


Democratic participation
Multi-agent

1 Introduction Similarly to the definition of sustainable development launched with the Bruntland Report and the Rio Conference of 1992, which was not focused on environmental aspects (the environment is not even mentioned) but on the theme of future generations, the Sustainable Development Goals launched by the UN for Agenda 2030 contain a clear opinion on the unsustainability of the current development model, referring not only to environmental sustainability, but also to economic and social sustainability. The results of the strategy for sustainable development have clearly shown that the accuracy of the analysis and diagnoses do not guarantee the effectiveness of the solutions if they do not have a solid foundation in the economic and social context in which it is proposed to implement it.

© Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1840–1850, 2021. https://doi.org/10.1007/978-3-030-48279-4_174

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If this is true for companies characterized by more advanced industrial and urban development, it is even more true and decisive for areas with specific environmental, economic and social fragility. The integration between the sustainable development strategies, the 17 UN SDGs 2030 and the disciplinary tools for territorial policies, in their ability to analyse the specifics of the context and implement participatory processes for the definition and implementation of “territorial projects” represents an essential condition for the effectiveness and quality of actions for sustainable development. In this way, the idea that sustainability is only an environmental issue, is definitely overcome and an integrated vision of the different dimensions of development is affirmed. The case of territorial planning for the Sibaritide cultural park, a place of significant natural and cultural resources, however located in a context characterized by environmental fragility (on all coastal and hydraulic problems afflicting the archaeological areas of Sibari), and economic and social criticalities of those regions which are most difficult to emerge in Southern Italy, represents a case study of particular interest. In fact, the emphasis is not on the most advanced large European cities or, on the contrary, on the drastic problems of material poverty and access to education and health that characterize the most backward regions of the world. The case study looks specifically at the problems of inequalities present within countries that have experienced significant economic and social development but at the same time experience internal difficulties of cohesion between areas with different degrees of development, with the persistence of regions that struggle to converge towards a path of sustainable development from an environmental, economic and social point of view. The case of the Sibaritide Cultural Park represents an interesting experience because, through the enhancement of cultural heritage, it aims to satisfy one of the transversal objectives of the SDGs of the United Nations Agenda 2030: Reinforce the meanings of implementation and revitalize global collaborations for sustainable development, an objective that underlines the awareness of the need for a strong involvement of all components of society, from businesses to institutions, from civil society to philanthropic associations and organizations, from universities and research centers to operators of information and culture. The Sibaritide project looks with particular attention, in other words, to increasing the collaboration capacity of the various components of society, a determining element that has often been referred to as “social capital” for development economists.

2 The Project for the “Sibaritide Cultural Park” 2.1

Objectives of the Sibaritide Cultural Park Project

The Objectives of the Integrated Project “Sibaritide Cultural Park”, object of the Convention with MIBACT by the Association of Municipalities, with the leader Cassano allo Ionio, are: Enhancement and systemation of the cultural heritage and rich archaeological heritage of the area of sibaritide.

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Specifically, the actions relating to the project will aim to: • Promote Sibari’s recognition; • Strengthen the sense of identity around the history of the glories of the ancient Magno-Greek colony; • Protect and requalify the cultural heritage to allow its unitary fruition with a view to sustainability; • Enhance the tangible and intangible cultural heritage through innovative and hightech activities. • Support the integration between craftsmanship and new cultural and creative industries. 31 Districts participated in the project: Albidona, Alessandria del Carretto, Amendolara, Caloveto, Canna, Cassano all’Ionio, Castroregio, Cerchiara di Calabria, Rossano and Corigliano Calabro1, Cropalati, Crosia, Francavilla Marittima, Montegiordano, Nocara, Oriolo, Paludi, Plataci, Rocca Imperiale, Roseto Capo Spulico, San Cosmo Albanese, San Demetrio Corone, San Giorgio Albanese, San Lorenzo Bellizzi, San Lorenzo del Vallo, Santa Sofia d’Epiro, Spezzano Albanese, Terranova da Sibari, Trebisacce, Vaccarizzo Albanese, Villapiana (See Figs. 1 and 2).

Fig. 1. Territorial image and spatial location of the projects of the Sibaritide Cultural Park made by Giovanni Cafiero. Own work.

1

From 31/03/2018 the Districts of Corigliano Calabro and Rossano Calabro have merged into the only District of Corigliano-Rossano.

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Fig. 2. Territorial image and spatial location of the projects of the Sibaritide Cultural Park made by Giovanni Cafiero. Own work.

The objectives of the Sibaritide Cultural Park project are included in the aim of systematizing and enhancing the cultural heritage and rich archaeological heritage of the Sibaritide area, in order to: • Promote Sibari’s recognition; • Strengthen the sense of identity based on the history of the glories of the ancient Magno-Greek colony; • Protect and requalify the cultural heritage to allow its unitary fruition with a view to environmental, economic and social sustainability; • Enhance the tangible and intangible cultural heritage through innovative and hightech activities; • Support the integration between artisanship and new cultural and creative industries. These are objectives that mainly concern the theme of the social and economic enhancement of cultural heritage and the technological innovations connected with this mission following the guidelines of the Council of Europe Framework Convention on the value of cultural heritage for society2. The prospects for success of the project are linked to the capacity of the projects and the organizational system with which the territory intends to adopt:

2

Council of Europe Framework Convention on the Value of Cultural heritage for Society, Faro, 27. X.2005 (CEST NO.199). Division for Sustainable Development Goals (DSDG) in the United Nations Department of Economic and Social Affairs (UNDESA), Trasforming our world: The 2030 Agenda for Sustainable Development, 2015.

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1. To create a circular economy model on a local basis that involves and opens up new opportunities for the territory and involves local communities (internal view of the territory) 2. Act taking into account the rules of territorial and tourist marketing and the globalized world (to look at markets and other communities) [1]. The objectives of enhancing the cultural heritage of Sibaritide can be related, with reference to the specific territorial and socio-economic reality of Calabria, to specific targets. Each of the 2030 Goals of the United Nations is divided in the following target: Goal 1. End poverty in all its forms everywhere, 1.2 By 2030, reduce at least by half the proportion of men, women and children of all ages living in poverty in all its dimensions according to national definitions. Goal 4. Ensure inclusive and equitable quality education and promote lifelong learning opportunities for all, 4.4 By 2030, substantially increase the number of youth and adults who have relevant skills, including technical and vocational skills, for employment, decent jobs and entrepreneurship, 4.7 By 2030, ensure that all learners acquire the knowledge and skills needed to promote sustainable development, including, among others, through education for sustainable development and sustainable lifestyles, human rights, gender equality, promotion of a culture of peace and nonviolence, global citizenship and appreciation of cultural diversity and of culture’s contribution to sustainable development. Goal 8. Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all, 8.2 Achieve higher levels of economic productivity through diversification, technological upgrading and innovation, including through a focus on high-value added and labour-intensive sectors, 8.9 By 2030, devise and implement policies to promote sustainable tourism that creates jobs and promotes local culture and products. Goal 9. Build resilient infrastructure, promote inclusive and sustainable industrialization and foster innovation, 9.1 Develop quality, reliable, sustainable and resilient infrastructure, including regional and transborder infrastructure, to support economic development and human well-being, with a focus on affordable and equitable access for all, 9.2 Promote inclusive and sustainable industrialization and, by 2030, significantly raise industry’s share of employment and gross domestic product, in line with national circumstances, and double its share in least developed countries, 9.3 Increase the access of small-scale industrial and other enterprises, in particular in developing countries, to financial services, including affordable credit, and their integration into value chains and markets, 9.4 By 2030, upgrade infrastructure and retrofit industries to make them sustainable, with increased resource-use efficiency and greater adoption of clean and environmentally sound technologies and industrial processes, with all countries taking action in accordance with their respective capabilities. 9.5 Enhance scientific research, upgrade the technological capabilities of industrial sectors in all countries, in particular developing countries, including, by 2030, encouraging innovation and substantially increasing the number of research and development workers per 1 million people and public and private research and development spending. 9.a Facilitate sustainable and resilient infrastructure development in developing countries through enhanced financial, technological and technical support to African

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countries, least developed countries, landlocked developing countries and small island developing States 9.b Support domestic technology development, research and innovation in developing countries by ensuring a conducive policy environment for, inter alia, industrial diversification and value addition to commodities. 9.c Significantly increase access to information and communications technology and strive to provide universal and affordable access to the Internet in least developed countries by 2020. Goal 10. Reduce inequality within and among countries. 10.1 By 2030, progressively achieve and sustain income growth of the bottom 40% of the population at a higher rate than the national average. Goal 11. Make cities and human settlements inclusive, safe, resilient and sustainable, 11.4 Strengthen efforts to protect and safeguard the world’s cultural and natural heritage. Goal 12. Ensure sustainable consumption and production patterns, 12.b Develop and implement tools to monitor sustainable development impacts for sustainable tourism that creates jobs and promotes local culture and products. 2.2

Planning of the Actions

2.2.1 The Sibaritide Park as a Territorial Project Conceiving the set of actions foreseen by the Convention between the 31 local authorities (Leader Cassano allo Ionio) as a “territorial project” is the guiding approach for providing the Sibaritide Cultural Park with an archive of projects for local development based on cultural heritage, environmental and on the local social and productive fabric [2]. The individual projects, being part of a larger integrated system relating to the territory, mean that in addition to the technical dimension of the design alone, we also consider a strategic dimension relating to the future of the territory, its communities and operations that decides which projects should be implement in the short and medium term. The main objective is to draw up a territorial project composed of integrated actions capable of guaranteeing the three levels of sustainability, technical (environmental, technological), economic and social, without which the Cultural Park is unlikely to pursue the conservation and development and testing of new economic models based on the durable and non-dissipative use of cultural heritage and natural capital [3]. Sustainability and social acceptance are the prerequisite for a good territorial project. But social acceptance alone is not a sufficient requirement. The Cultural Park must be lived, acted on, perceived as a component of the identity of local communities and individuals and for this reason used and respected. Support and not tolerate the park. In this paradigm shift, it is the key to a better future for Sibaritide and for the new generations of inhabitants, enterprisers and enthusiasts. 2.2.2 Local Communities, Social Capital, Subsidiarity Since the Sibaritide area is a cultural park that preserves an extraordinary cultural heritage, but also very important environmental resources, it is essential to highlight

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how both in the field of cultural heritage and in the field of management of natural resources it is now widely recognized as essential, the principle of subsidiarity. between public and private: from businesses to the non-profit world, to community organizations [4]. With reference to the public-private relations that regulate “horizontal subsidiarity” relations, the constitutional basis is in art. 118, paragraph 4, according to which the State, regions, metropolitan cities, provinces and districts favor the autonomous initiative of citizens, individuals or associates, for the performance of activities of general interest, based precisely on the principle of subsidiarity. Horizontal subsidiarity expresses the criterion for the division of competences between local and private, individual and collective entities, operating as a limit to the exercise of local competences by public authorities: the exercise of activities of general interest is the responsibility of individuals or formations social bodies and the local authority has a subsidiary role of coordination, control and promotion, which can become a replacement only if the functions assumed and the set objectives cannot be carried out efficiently and effectively by private entities [5]. In the field of archaeological, historical-artistic, environmental and demoanthropological heritage, the principles on the enhancement of Cultural Heritage of Legislative Decree 42/2004 “Code of Cultural and Landscape Heritage” apply, and in particular the discipline referred to in the Chapter II, art. 111 and subsequent, relating to the forms of management and the contribution of private individuals to the enhancement of cultural heritage. In the field of natural resources, the IUCN (International Union for the Conservation of Nature), the most prestigious international institution in the field of Nature Conservation, has highlighted the need to develop innovative forms of financing and sharing the costs and benefits of managing parks through forms of co-management and participation with the adoption of a “business approach to protected areas”. In 2009, the Environment Directorate-General of the European Commission promoted the dissemination of guidelines for sustainable tourism in “Natura 2000” areas and more generally in protected areas. The general principles suggested concern: the development of a strongly and constantly participated sustainable tourism development strategy (“keep everyone involved and informed”) both with the local community and with the related territories (“widen the scope of the area”); a strong focus on the naturalistic tourism market (“reflect new trends in nature tourism”) also in the choice of subjects to collaborate with (“work with people who are in touch with markets”). The strategy provides for strong interaction with local economies and communities (“Encourage tourism operators to support conservation”; “promote local employment”; “involve local residents in tourism planning” [6]). The co-management principle is therefore a principle which is now typical of the most advanced experiences of interaction between local communities in the field of management and enhancement of cultural heritage, the landscape and natural resources. This is the only way to continuously guarantee the services necessary for the life of a park. Focusing the management exclusively on public funding means condemning the park to the risk of continuous management interruptions, because it is exclusively linked to the constant flow of public funding, and to a total and constant dependence of the park on external grants.

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The way of co-management is not easy. On the public side, it is necessary to have the skills to organize collaboration with private individuals on an administrative and technical-scientific basis. On the private side, creativity and entrepreneurial skills must be stimulated so that they are able to undertake activities consistent with a shared territorial identity and marked by respect for and enhancement of the Park’s resources. To create a co-management model based on a virtuous cycle of using local resources, it is also necessary to stimulate the ability of communities to collaborate, working on what in development policies is known as “social capital” [7]. One of the fundamental elements of a circular economy is, in fact, the ability to collaborate what is established within a social organization, strengthening the sense of community that pursues common objectives3. This concept can be summarized in the expression “social capital”, at the center of research on the essential factors of economic and civil development. In more general terms, the set of rules and behaviors that facilitate collaboration within an organization or between different organizations in relation to each other can be defined as social capital4. The regulation of behavior is certainly the result of the relational cultural heritage of a social system. Equally certain is that on the system of rules and behaviors an essential role, which can be incremental but also dissipative, is played by the institutions. Development economists and economic historians have long shown that institutional change influences the evolution of society over time, that institutions influence the evolution of economic activities, that these - when they are able to evolve synergistically and to relate to positive way with the rapidly changing needs of society and the economy - they reduce the uncertainty of social and economic relationships, they can lower transaction costs by making conditions for the development of trade more favorable, they guarantee property rights [8]. In the challenge of enhancing the cultural and environmental heritage, of the regeneration of the economy and landscapes, the strengthening of social capital represents a central element to be developed through a concrete participation of companies and society in the actions in which the territorial project is substantiated for the Cultural Park of Sibaritide. 2.2.3 A Circular Economy Attentive to the Economic and Social Fabric of Sibaritide but Aware of the Rules of Territorial and Tourist Marketing The prospects for success of the project are linked to the capacity of the projects and the organizational system for which the territory intends to acquire:

3

4

A first reference in this sense to the concept of social capital is attributed to the American Lyda Judson Hanifan, a West Virginia school reformer, who in some essays published between 1916 and 1920 argued that: “social capital refers to those intangible assets that have value more than any other in people's daily lives: precisely, goodwill, belonging to organizations, solidarity and social relationships between individuals and families that make up a social unit”. Gary Becker, Nobel Laureate in Economics in 1992 defined social capital as “the sum of the resources, material or otherwise, that each individual or social group obtains through participation in a network of interpersonal relationships based on principles of reciprocity and mutual recognition”.

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1. To create a circular economy model on a local basis that involves and opens up new opportunities for the territory and involves local communities (internal look at the territory). 2. Act taking into account the rules of territorial and tourist marketing and the globalized world (look at markets and other communities). In operational terms this means acting on the following operational guidelines: 1. 2. 3. 4.

Leverage the identity heritage of the history of the area To characterize the cultural and tourist offer thematically Organize a plural and inclusive story of the territory’s cultural heritage Create a tourism ecosystem (services, mobility, enhancement of the collaboration of the Public Administration towards Companies and society, and of the collaboration between “B2B” companies) that helps to maintain and reinvest locally the added value generated and lower the costs of intermediation for operators (disintermediation) 5. Create opportunities and develop new entrepreneurship 6. Offer services to current (already present) demand and intercept potential demand.

3 Force Idea and Project Sets (Cluster) for the Cultural Park of Sibaritide Acting in the furrow and in compliance with the Convention stipulated by the Municipality of Cassano, as the leader of the municipalities of Sibaritide, with the MiBACT, the design developed according to the inspiring principles previously illustrated: conceiving the project as a single territorial project; centralize the local communities, social capital and effectively implement the principle of subsidiarity; aim at the development of a circular economy attentive to the economic and social fabric of Sibaritide but aware of the rules of territorial and tourism marketing. The project proposal took due consideration of the implications and strategic guidelines offered by the superordinate planning tools with particular reference to the Sibaritide Area (the Regional Territorial Framework with a Landscape value and the Provincial Territorial Coordination Plan). Starting from these elements, from the Convention with the MiBACT to the inspring principles adopted, and taking into account the general purpose of sustainable development from an environmental, economic and social point of view based on the conservation and enhancement of the natural and cultural heritage of Sibaritide, the activity planning has developed in a coherent way around a strong idea: The strategy that envisages the strengthening of collaboration networks and the completion and articulation of a tourism ecosystem. Because of the very nature of tourism, a sector that connects and requires both the operation of local networks through which the local community and businesses express their relationship with the territory and organize their activities, and the activation of global networks, through which the local community and the territory open up and connect with communities and individuals even from far away from which tourism

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flows and economic and cultural exchanges can originate, the theme of networks and connections between the elements of the system has taken on a strong centrality. The strong idea is therefore represented by the territorial integration and by the strengthening of an authentic and recognizable identity of Sibaritide and by the creation of a circuit of services around the cultural heritage of Sibari and its territory in which public and private can cooperate according to the subsidiarity principle. The goal is to develop a profitable tourism ecosystem that guarantees the activation and enhancement of cultural heritage and lasting and sustainable growth in terms of the conservation of cultural heritage, environmental protection, economic and social development. With respect to this idea, strength and the objective to be achieved, all the proposed projects find an adequate location and a relationship of coherence and complementarity. Some projects constitute a first set, or cluster, in that they assume a paradigmatic character or a central role from a functional point of view as they are specifically aimed at supporting the intangible and material circuits of the Sibaritide tourism ecosystem and to strengthen according to the principle of public-private collaboration subsidiarity. In particular, the following projects have these characteristics, i.e. a paradigmatic and systemic value: Intervention 2.4 - Cultural park service centers Intervention 1.5 - Web and social media marketing activities Intervention 1.6 - Interactive APP for geolocation and real-time sharing Intervention 4.1 - Start up animation and support program Intervention 4.2 - Incubator of Sibaritide’s creativity Intervention 7.1 - Creation of an integrated system for intelligent and green mobility within the Park. Another cluster is aimed at improving the offer, promotion and communication of cultural heritage. In addition to the material projects, which mainly provide for restorations and installations of places and itineraries of cultural interest, these features include intangible projects related to the creation of digital content and the promotion of cultural and artistic content. In particular, the following projects have these characteristics: Intervention 1.7 - Promotional actions of goods and resources Intervention 1.8 - Innovation, museum ICT and digital tourism Intervention 1.9 - Archeo Edutainment of the Park Intervention 2.1- Cultural activities and events Intervention 2.2 - Arberesche cultural events Intervention 2.3 - Establishment of artistic residences is paradigmatic of the purpose of territorial integration, as cycles of production of contemporary art with itinerant exhibitions throughout the territory of the Cultural Park are foreseen.

References 1. Caroli, M.G.: Il Marketing Territoriale. Franco Angeli, Milano (2001) 2. Trimarchi, M.: Economia e Cultura. Franco Angeli, Milano (2003) 3. D’Angela, F.: La collaborazione nella gestione delle destinazioni turistiche. Giappichelli, Torino (2016)

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4. Perulli, G.: Governare il territorio, Giappichelli Editore (2009) 5. Gaeta, L., Janin Rivolin, U., Mazza, L.: Governo del territorio e pianificazione spaziale, Città Studi Editore (2013) 6. Dall’Ara, G., Morandi, F.: I sistemi Turistici Locali Normative, progetti ed opportunità, Halley Editore (2006) 7. Gronroos, C.: Service management and marketing. A customer relationship management approach. In: Trad. Italiana, Management e Marketing dei servizi, De Agostini Scuola, Novara. Wiley, Chichester (2006) 8. Douglas North, C.: Institutions, Institutional Change, Evolution of the Economy. Italian Edition, Il Mulino (1997)

VR as (In)Tangible Representation of Cultural Heritage. Scientific Visualization and Virtual Reality of the Doric Temple of Punta Stilo: Interference Ancient-Modern Paolo Fragomeni1(&) and Immacolata Lorè2 1

Mediterranea University, via dell’Università 25, 89124 Reggio Calabria, Italy [email protected] 2 LaborEst, Mediterranea University, via dell’Università 25, 89124 Reggio Calabria, Italy

Abstract. The objective of this paper is to contribute with a framework on the use of Virtual Reality in the enhancement, promotion and use of Cultural Heritage. After an introduction on the use of VR and its potential, the analysis moves to the application of this technology on the Doric Temple of Punta Stilo (RC); through the classical survey tools, photo ones, and digital modeling, the temple and its elements were returned, formulating an original reconstructive hypothesis that is consistent with documents and bibliographic sources. The temple comes to life, shape and color in the final project of a CAVE (Cave Automatic Virtual Environment) that can play a part to fascinate and interest the user in the contents, in a sort of multimedia outfitting in the field of “edutaintment” and “learning by consuming”. In Virtual Reality applied to Cultural Heritage, the passage from the decomposition of reality to digital memory is observed; this passage represents an alternative and contingent transmission tool of knowledge. If a cultural asset does not communicate its history, it is reduced to a mere archival document; for this reason it is necessary to increase the classical idea of a cultural asset as a “container” and extend it to a “catalyst” of internal resources (intangible aspect). Keywords: Cultural heritage
Cultural tourism
Virtual reality
Photogrammetric survey
3D modelling
Inner area
Management strategies

1 Introduction The application of the new technologies for visualization of cultural heritage to the general public is a widespread reality; by the use of these technologies, it is possible to improve accessibility, communication, dissemination and knowledge and establish a fruitful dialogue with the user. As a matter of fact, it is in scarcity condition of The paper is the result of the joint work of the authors. Although scientific responsibility is equally attributable, the abstract and Sects. 1, 2 were written by I. Lorè; Sects. 3.1, 3.2, 4 were written by P. Fragomeni. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1851–1861, 2021. https://doi.org/10.1007/978-3-030-48279-4_175

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economic resources that the new technologies related to communication (ICT) are considered as an “indicator of cultural capital” [1]. Today, the management of cultural heritage is a key resource in local development strategies in marginal and internal areas. Some examples of good management and enhancement of cultural heritage can be found in the growing interest in new technologies that recover local traditions and identity, offering it under a new guise. In this specific case, once the site has been integrated and improved, this could act as a driving force for local development strategies [2]; cultural tourism can become the driving force of economic development thanks to innovative forms of heritage communication, better accessibility and renewed management. All these strategies can provide local communities and stakeholders with new solutions to their needs, as well as creating new opportunities for entrepreneurship development. One of the objectives of the paper is to promote the transfer of knowledge and study to development strategies related to cultural heritage with particular attention to marginal internal areas, as well as to share experiences and methodological, theoretical and empirical results. The application of Virtual Reality (VR) to Cultural Heritage was born as a collaboration aimed both at achieving functional purposes and disseminating applications of pure fascination. From these beginnings, the trend has been to mix the two aspects creating fascinating 3D reconstructions but with scientific relevance. The case study, with the virtual reconstruction of the Temple of Punta Stilo, is an informatic application able to act as a handmaid of knowledge and dissemination [3]. From a technical point of view, Virtual Reality refers to a particular type of interactive simulation in which the user, in interaction with a computer device, can explore and interact with a 3D representation of objects and environments. To date its importance, together with the valorisation of the cultural heritage, appear extremely relevant but it is essential that the production of the cultural use of an asset or site ensures their authenticity [4]. However, it is evident that today the heritage is often valued by its “audience” in visitors and therefore by its ability to generate economic profit [5]. The case study made use of the potential of VR for the reconstruction of the ancient Temple of Punta Stilo. The project is proposed as a further tool to the knowledge of the archaeological site and its remains; it also enhances the fruition service that over the years has lost promotional effectiveness and impact. In valorization and promotion of cultural heritage, it is a good practice to implement and integrate new communication strategies; in fact, the fruition of cultural heritage is now user-centric. This change entails an interference with traditional communication systems, but allows to renew forms and methods of interaction that offer new possibilities. Cultural tourism increasingly constitutes a sustainable industry based on cultural heritage that invests in communication strategies (engagement) in order to intercept the user interested in a particular type of offer.

2 The Case Study The Archaeological site of Kaulon is located in Monasterace (in the Metropolitan area of Reggio Calabria) and includes the archaeological remains of the Greek polis of Kaulonia: to date only a small part of the city has been brought to light. The site consists of an archaeological park with its museum and covers a total area of more than

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15 hectares located close to the sea, between the hill, the coast line and the olive groves, but with the cumbersome presence of the state road and the railway line that cut the visit paths. To date the archaeological park is discontinuous and fragmentary, even in the provision of essential services (transport, routes, exhibition signs). The strong point of the site is given by the position on the sea and by the proximity to the city centre of Monasterace Marina. The archaeological area includes sites of particular importance like the remains of the Doric Temple of Punta Stilo and of a thermal complex of the III century BC discovered in 2012; this complex holds the largest hellenistic mosaic of southern Italy (floor mosaic of the so-called “Room of dragons and dolphins”) and of a house with mosaic decorated flooring called “Dragon House” (see Fig. 1).

Fig. 1. The Archaeological Park of Kaulon, Monasterace Marina (RC).

The mosaics of the thermal complex, discovered in 2012, restored and consolidated in 2013, are only open to the public in 2014, the year in which it records the maximum peak flow to the site, as shown in Table 1. In the following years, with the closure of the mosaics for conservative reasons, there was a sudden drop in turnouts until 2018, the year in which there were days of reopening to the public of the mosaic sites and other recreational and enhancement initiatives at the Archaeological Museum (see Fig. 2). The most significant period of attendance to the park is undoubtedly the summer one, in particular there was a positive peak in the first two weeks of August, motivated by the arrival of the tourist presences (mostly return tourism which goes to repopulate the Locride area). The idea of developing the application of VR to the case study starts from the need to avoid the dispersion of knowledge about the archaeological area of Kaulon; in a geographical and cultural context such as the Ionian area of the Metropolitan City of Reggio Calabria, where historical identities suffer the effects of an interruption in intergenerational dialogue, the safeguarding and transmission of cultural heritage appear crucial. The reconstruction of the ancient temple of Punta Stilo offers the opportunity to illustrate many aspects related to society transformations, not limiting the narration to archaeological content but arousing the emotionality of the users and, therefore, their

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Table 1. Admittances data of the archaeological museum of Kaulon - MAK (2014–2019). Year Italian admission Foreigner admission Free admission Paid admission 2014* 9235 216 9235 – 2015* 4496 264 4760 – 2016* 2776 257 3033 – 2017 N.A. N.A. 1740 1747 2018 N.A. N.A. 2786 3516 2019 4754 266 2287 2733 *Year with free admission. **The total is inclusive of school groups.

Total** 9451 4760 3033 3487 6302 5020

Fig. 2. MAK visitor trend (2014-2019). Data Processing from source information of the Archaeological Museum of Kaulon (MAK) and the “ViviKaulon” Cooperative.

interest in wider subject matters. The VR project applied to the Temple of Punta Stilo reconstructs the external and internal environment of a specific historical period. The original construction of the Temple, like many Greek places of worship, dates back to the late archaic age (VII-VI century BC), a century after the conformation of the entire sacred area of Punta Stilo (in the current Monasterace Marina, RC); over the centuries it was subject to numerous alterations, the most important in the V century, that led it to take on a monumental aspect, in line with the buildings of worship of the Italian and Sicilian colonies [6].

3 The VR Applied to the Archeological Area of Kaulon 3.1

The Virtual Model

The Virtual Reality is characterized by the overlap of real levels and additional information that can be used in an integrated way by special viewers. Reality and virtual addition are digitally returned giving the user an “immersive” impression to a single reality, object, monument or landscape. The purpose of VR is not to deceive the

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user by diverting his perception but to improve his interaction with the cultural heritage by providing additional information of reality that otherwise could not be used [7]; this has made possible to break down physical and cultural barriers and even architectural ones. To better understand the architectural structure of the ancient Temple of Punta Stilo, it was necessary a graphic breakdown of the object in order to analyze the different systems that contribute to the definition of the architectural organism. The virtual model is one of the tools used to the case study; the digital representation (3D model) of the Temple made it possible to understand the complex relationships between its structure and architectural details [8]. In addition, the 3D model was a communication tool of the project both for the creation of traditional 2D drawings (plans, sections, elevations) and then for the visualization of architecture through the VR technique (see Fig. 3). The potentialities related to VR are focused on two aspects: the simplicity in development and management of applications and in the use of contents. In fact, the tools of 3D modeling are the same that the architects use for the production of renderings and project drawings. The transformation of these contents into packages available in VR can be implemented through the use of software in synergy with the most common tools. As for the fruition, it is linked to the use of common communication devices with an internet access such as smartphones and tablets; no type of teaching is required in their use [9].

Fig. 3. Pictures of the Doric Temple of Punta Stilo at actual condition as ruin and its reconstruction in VR.

3.2

Data Acquisition and Processing Methodology

The main problem of archaeological heritage is its representation for knowledge and fruition; too often its understanding is relied to texts and images used as ornament. Considering archeology as an expert model in which various documents converge, a modern synthesis may be constituted by the visual representation of this model.

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Starting from this assumption, the need to represent the archaeological context through VR reconstructions takes not only a popular aspect but also a cognitive one [10]. The 3D modeling, as a reintegration of the original form of an ancient architectural object, presents several aspects of continuity with the “traditional” archaeological survey if there is no a direct line between 2D and 3D drawings. Except in rare cases, the archaeological ruin is a mutilated and deformed form by nature and time; for this reason the modeling focus on the original form through the data of archaeological survey and the formalization of hypotheses that must be supported and integrated by comparisons with other archaeological contexts. Therefore, the relationship between archaeological survey and 3D modeling is a mediated act between what no longer exists and what must be reconstructed [11]. The reconstruction of the Doric temple of Punta Stilo took place through the following logical phases. The first phase concerned the acquisition of bibliographic data (studies, historical surveys, reconstructive hypotheses) in order to compose a scientific chronology of the monument. At a later time the surveys of the archaeological remains along the coast of Monasterace Marina (area of the Kaulonía Sanctuary) and in Archaeological Museum of Kaulon (MAK) were carried out. The phase of survey included two different moments: – the survey and analysis of finds in situ focusing on the euthynteria. This is the foundation base of the ancient monument and it is composed of a not precious limestone extracted from nearby quarries that today are submerged at a depth of 5 m below the sea level [12]; – the survey and analysis of finds in the Archaeological Museum of Kaulon (MAK). The measurements were taken through different methodologies such as traditional survey (metric measurements) and data acquisition by drone and photographic set. The following were used for the photographic acquisition: a fixed focal length lens (50 mm), a high shutter speed setting (1/640 s) to avoid the camera shake effects, and a setting of the lowest ISO value of the camera (100) to avoid noise phenomena. This phase was followed by the processing of data (RAW image format - export to TIFF file) through the results check in order to obtain an accurate digital model of the real object. The methodological approach of the elaboration phase of the Virtual Model is represented by the systemisation of different survey techniques. The photographic sets created in situ were uploaded to a photo-survey program (more than 150 images per set for a total of 450 photos); the software manages this files aligning the views with each other in order to recreate the “negative space” in which the monument is contained (see Fig. 4). After this process there is the construction of a Sparse Point Cloud useful to identify the points needed to align the model; in this step, the program highlights the recognizable points (features) that are common in each photo by its algorithm. Once the Sparse Point Cloud is built, the number of calculations is intensified by building a Dense Point Cloud that makes the model more detailed. The program that analyze the photos finds a depth and identifies the position differences between the common points; each point is a directional vector that allows to direct the surface of the cloud and has three spatial coordinates and a given color, divided into the RGB three-color range. In this phase the base of the temple, although appearing more realistic and detailed, does

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Fig. 4. The photographic sets for the measurement and restitution of the digital model of the Doric Temple of Punta Stilo, Monasterace Marina (RC).

not yet have a three-dimensional consistency: it is composed of millions of directed and oriented points that are the basis for the construction of a surface. Therefore, it was necessary to apply a further step in order to create a three-dimensional reticulated structure composed of Mesh as flat triangular entities that identify a large 3D mosaic like tiles. The model of the temple built in this phase has the RGB color data shared across mesh in the entire surface; to give a more realistic effect, the photographic texture has been reconstructed starting from the chromatic information of the survey that will overlap the mesh, thus finishing the model just created. All this procedures formed the basis for the reconstruction of the Doric Temple of Punta Stilo; they can be used both on an architectural scale and for details. From the 3D model of the Temple, opportunely rotated and georeferenced, it was possible to extrapolate visions, elevations, plans and sections (ortho plans). Once this reconstruction was obtained, through the relative views of the temple, the data check of the survey from drone and the measurements, we proceeded to the redesign of its base opportunely dimensioned and sectioned. The redesign was carried out using the CAD programa in addition to a graphic tablet. Through the intersection of this information with the bibliographical references, the virtual reconstruction of the Temple was realised [12, 13]; by the use of CAD, 3D modeling and 3D sculpting softwares the virtual model was elaborated with the related architectural details (previously detected and contextualized), composing a “Virtual Anastylosis” process [14]. Seeing as how the archaeological finds was lacking and degraded, in some cases (as in the wooden trusses) reconstruction was adopted by analogy making use of the hypotheses of researchers and archaeologists as Ignaz Hittorf during the Grand Tours [15, 16]. The architecture of the temple has been reconstructed in the most faithful way to the original, in a philological reconstruction. The rebuilding of the temple entalied several problems; the limited information about on an entire part entailed a difficulty in creating a rigorous model but at the same time they left freedom to a pleasant reconstruction suitable to be presented as an independent

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application. In the study and identification of tones, a very important element for this buildings, they were sampled the finds that still retain vivid colors; in other cases it was necessary to hypothesize a chromatic reconstruction referring to the style and methods of the period. At a later time, through a 3D Painting work these colors were applied to the three-dimensional monochrome reconstruction of the object. The Doric Temple of Punta Stilo thus took shape through photo-render and photo-retouching programs, creating the panoramic images of the internal and external views of the building that are inserted in the current context giving the idea of a romantic and suggestive vision of the ancient monument; in this way it can be more easily understood even by a less experienced eye. The appropriately reworked images can be inserted into a smartphone that supports a 360° Spherical Vision (Accelerometer and Gyroscope sensors) with a freeware App that can be downloaded in the relative AppStores (Playstore, Applestore, etc.). At this point it is possible to encode these images and make them readable from the terminal that is inserted in a common VR Viewer (see Fig. 5); it can transmit the images by the display to the viewer lenses making the scene very realistic and the experience immersive.

Fig. 5. The CAVE (Cave Automatic Virtual Environment) and VR Viewer adopted to the restitution of the Doric Temple of Punta Stilo, Monasterace Marina (RC).

These logical phases for the construction of a Virtual Model are configured as a simple method characterized by a scientific approach to the existing in spite of difficulties due to the fragmentary characteristics of the object; this reconstruction allows a rereading of the object in a new and evocative key, contextualizing the Greek building that over the years have undergone remodeling, spoliation and cataclysms, seeing itself deprived of its function and identity. It is on this concept of identity and knowledge that this methodological approach moves aimed at promoting the heritage, its contextualization over time and in space, because only by the knowledge we can really protect and enhance it [17].

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4 Conclusion The project is proposed as a further tool to the knowledge of the archaeological site and its remains; it also enhances the fruition service that over the years has lost promotional effectiveness and impact. Its strong point is the application versatility of the study and elaboration to the other emerging realities of the archaeological area (such as the thermal complex and the related mosaics), with reconstructions that can be made and elaborated according to the VR model, but also through didactic display panels, in order to implement the fruition services within the paths of the park. Another strength is the cost-effectiveness of this intervention: through some 3D viewers, visitors can have an immersive experience. Placed as a single intervention on a single site, the study reduces its promotional impact: as an effective modus operandi, it must be extended to the most important sites of park (even to particular finds of the museum) and constantly updated and enriched with the current archaeological studies like a programmatic axis of digitization and graphic reworking, in order to implement the knowledge on the area and make it more usable. From this premise, a revolutionary methodological intervention combined with the implementation of services, the enhancement of communication and the increase of rediscovery initiatives on the site, could lead to a growth in the park’s catchment area, no longer concentrated in the high tourist season but extended in the rest of the year, involving the local and school world, with an estimated influx of +25% per year. Today, the world of attractive reconstructions of Virtual Cultural Heritage without scientific foundations belongs to a distant past; VR applications are turning into fascinating tools, where technology dissolves and puts itself at the service of a democratized cultural knowledge [18, 19]. The VR applied to Cultural Heritage allows to know the heritage more closely and with great suggestion, recreating original scenarios through specific professional skills and integrated interventions that contribute to their own sustainability. If interpreted with the right poetics, technological innovation shows that it can take on increasingly interesting dimensions; it can construct real sensitive spaces that allow the planning of cultural experiences, intelligently renewing archaeological ruins, architecture and museums. For its versatility, capacity for involvement and the narrative dimension, VR proves to have excellent potential, but we must remember how it should be only a support aspect to communication and enhancement of cultural heritage in order to avoid that the technological experience becoming pure techno-tautology [20]. From the experimental process applied to the case of the ancient Temple of Punta Stilo, it emerged that the information collected within traditional historical research and based on archival sources, effectively leads to the selection and reconstruction of an archaeological testimony worthy of being valued through the use of the new VR technologies.

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References 1. Solima, L., Minguzzi, A.: Relazioni virtuose tra Patrimonio culturale, turismo e industrie creative a supporto dei processi di sviluppo territoriale. In: Proceedings of the XXIV Convegno Annuale di Sinergie, Il Territorio come Giacimento di Vitalità per l’Impresa, Lecce (2012) 2. Calabrò, F., Campolo, D., Cassalia, G.: A cultural route on the trail of greek monasticism in Calabria. In: Calabrò, F., Della Spina, L., Bevilacqua, C. (eds.) New Metropolitan Perspectives, ISHT 2018. Smart Innovation, Systems and Technologies – SIST, vol. 101, pp. 475–483. Springer, Cham (2018). ISBN: 978-3-319-92098-6. ISSN: 2190-3018 3. Guidazzoli, A., Liguori, M.C.: Realtà virtuale e Beni culturali: una relazione in evoluzione vista attraverso i progetti sviluppati presso il Cineca. In: Storia e Futuro, No 25, Bologna (2011) 4. Charte Intaernationale du Tourisme Culturel (La Gestion du Tourisme aux Sites de Patrimoine Significatif). XII ICOMOS General Assembly, Messico (1999) 5. Aveta, A., Marino, B.G.: La fruizione come problema di conservazione: la sperimentazione di un modello critico per la valorizzazione di Castelnuovo. In: Castel Nuovo in Napoli. Ricerche integrate e conoscenza critica per il progetto di restauro e di valorizzazione. Artstudio + 9Paparo, Napoli (2017) 6. Parra, M.C.: Kaulonìa, Caulonia, Stilida (e oltre). In: Contributi storici, archeologici e topografici, I, Scuola Normale di Pisa (2002) 7. Pujol, L.: Archeology, museums and virtual reality. In: Digit HVM Revista Digital d’Humanitats, Barcelona, no. 6, pp. 1–9 (2011) 8. Salerno, R.: Rappresentazione Materiale/Immateriale. In: UID per il Disego, Gangemi Editore, Milano (2018) 9. Baratta, A.F.L., Farroni, L., Finucci, F., Magarò, A.: Nuove tecnologie per il riuso del patrimonio architettonico minore. In: ReUSO, IV International Conference, Messina (2018) 10. Demetrescu, E.: Modellazione 3D, Visualizzazione Scientifica e Realtà Virtuale. In: Proceedings of Seminario di Archeologia Virtuale, Palazzo Massimo Alle Terme Roma, Roma, pp. 149–155 (2011) 11. Forte, M.: Archeologia. Percorsi virtuali delle civilità scomparse. Mondadori, Milano (1996) 12. Barello, F.: Architettura greca a Caulonia. In: Edilizia monumentale e decorazione architettonica in una città della Magna Grecia, Casa editrice Le Lettere, Firenze (1995) 13. Parra, M.C., Facella, A.: Kaulonìa, Caulonia, Stilida (e oltre). In: III indagini topografiche nel territorio, Edizioni della Normale, Pisa (2011) 14. Fatta, F., De Luca, L.: Modelli e strumenti di simulazione nel campo dell’architettura e del patrimonio storico. In: Euro Project, Messaggeri della conoscenza, Models and Tools for the simulation in the Architectural and Cultural Heritage (2014) 15. Mertens, D.: Città e monumenti dei Greci d’Occidente, Dalla colonizzazione alla crisi di fine V secolo a.C. L’erma di Bretschneider, Roma (2006) 16. Hittorff, I.J., Zanth, L.: Recueil des monuments de Ségeste et de Sélinonte. Atlas (1870) 17. Fatta, F.: Communication, technology, and digital culture for the conservation and enhancement of the architectural heritage. In: Emerging Digital Tools for Architectural Surveying, Modeling, and Representation. IGI Global (2000) 18. Sparacino, F.: Scenographies of the past and museums of the future: from the wunderkammer to body-driven interactive narrative spaces. In: Proceedings of the 12th Annual ACM International Conference on Multimedia, New York, USA, pp. 72–79 (2004)

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A Synthetic Indicator BES-SDGs to Describe Italian Well-Being Domenico Tebala1(&)

and Domenico Marino2

1

2

National Institute of Statistics, 88100 Catanzaro, Italy [email protected] Mediterranea University of Reggio Calabria, 89100 Reggio Calabria, Italy

Abstract. The indicators of well-being, environmental sustainability, social quality and gender equality are essential tools for the development, adoption and evaluation of public policies to improve the well-being conditions of Italy and the world as a whole. They do not only represent a technical-scientific need (to measure well-being in a complete way in order to obtain a more exhaustive and in-depth picture of the material and social conditions of the population), but must constitute a theoretical, but also operational, tool for public policies, to direct them to the aims of the well-being of society. Starting from 2016, the indicators on fair and sustainable well-being (BES) are connected to the indicators for monitoring the objectives of the 2030 Agenda on sustainable development that is the United Nations Sustainable Development Goals (SDGs), chosen by the global community, to represent own values, priorities and goals. This work aims to provide an overview, as complete as possible, of the regional BES through the union of the BES and SDGs indicators and a synthetic indicator of well-being and sustainability of the Italian regions to identify local best practices in relation to specific profiles of the BES and the objectives of the 2030 Agenda on sustainable development. Keywords: Well-being


Sustainable
Index
Regions

1 Introduction The indicators of well-being, environmental sustainability, social quality and gender equality are essential tools for the development, adoption and evaluation of public policies to improve the well-being conditions of Italy and the world as a whole. They do not only represent a technical-scientific need (to measure well-being in a complete way in order to obtain a more exhaustive and in-depth picture of the material and social conditions of the population), but must constitute a theoretical, but also operational, tool for public policies, to direct them to the aims of the well-being of society. National welfare goals are an essential part of the process of achieving the global Sustainable Development Goals that accompany the 2030 Agenda approved by the United Nations. In fact, starting from 2016, the indicators on fair and sustainable well-being (BES) will be accompanied by the indicators for monitoring the objectives of the 2030 Agenda on sustainable development, the United Nations Sustainable Development Goals (SDGs), chosen by the global community, to represent own values, priorities and objectives. © Springer Nature Switzerland AG 2021 C. Bevilacqua et al. (Eds.): NMP 2020, SIST 178, pp. 1862–1871, 2021. https://doi.org/10.1007/978-3-030-48279-4_176

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This work aims to provide an overview, as complete as possible, of the regional BES through the union of the BES and SDGs indicators and a synthetic indicator of well-being and sustainability of the Italian regions to identify local best practices in relation to specific profiles of the BES and the objectives of the 2030 Agenda on sustainable development. The summary is useful to facilitate comparison and analysis of the observed phenomena, referring to the individual indicators for further study. The diffusion of a composite index, in fact, owes its success to the combination of statistical rigor and high level of communicability; it is no coincidence that Amartya Sen’s Human Development Index (HDI) [1] is one of the best-known composite indices based on a small number of indicators aggregated together through power averages. In our case, the proposed indicator would be the first attempt to combine BES and SDGs in order to be able to describe easily and immediately the conditions of sustainable well-being of the Italian regions and to provide useful and operational tools for targeted policies at a territorial level.

2 Process to Calculate the Indicator 2.1

Methodology

Four progressive steps were necessary to build the synthetic index: 1) Selection of SDGs indicators, which are also BES indicators [2]. 2) Evaluation of the regional positions with respect to the 5 groups defined by the quintiles, the first characterized by the most problematic situation, the last by the relatively more favorable one. 3) Calculation of synthetic indices (pillars) of the 15 objectives of Agenda 2030 at the level regional (SDg 14 - Life below water and SDg17 - Strengthen the means of implementation and revitalize the Global Partnership for Sustainable Development does not have indicators superimposable to those of the BES). 4) Elaboration of a final synthetic index as a more immediate empirical reference on the degree of “sustainable well-being” of the Italian regions. The starting point was the “2019 SDGs Report - Statistical information for the 2030 Agenda in Italy”, a Report on the Sustainable Development Goals (SDGs) adopted with the 2030 Agenda on 25 September 2015 by the United Nations General Assembly. The 17 SDGs set the agenda set by the global community to end poverty, protect the planet and ensure prosperity for all by 2030 and are divided into 169 sub-objectives that refer to different development domains related to environmental issues, social, economic and institutional. As a research report on the SDGs, it offers some thematic insights and analyzes in order to make available a greater number of disaggregations of the indicators that allow deepening the analysis both at a territorial level and with respect to the different socio-demographic characteristics of the people [3]. Obviously, sustainability and well-being of the population are inseparable and therefore we selected the SDGs indicators coinciding with the BES indicators to have a complete overview of sustainable well-being (Table 1).

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D. Tebala and D. Marino Table 1. Statistical indicators Bes-SDGs and polarity SDGs

Indi