Sustainable Development and Planning V

Sustainable Development and Planning V WIT Press publishes leading books in Science and Technology. Visit our website ...

Author: C. A. Brebbia | E. Beriatos

325 downloads 3849 Views 21MB Size Report

This content was uploaded by our users and we assume good faith they have the permission to share this book. If you own the copyright to this book and it is wrongfully on our website, we offer a simple DMCA procedure to remove your content from our site. Start by pressing the button below!
Report copyright / DMCA form

DOWNLOAD PDF

Sustainable Development and Planning V

WIT Press publishes leading books in Science and Technology. Visit our website for new and current list of titles. www.witpress.com

WITeLibrary Home of the Transactions of the Wessex Institute. Papers presented at Sustainable Development are archived in the WIT eLibrary in volume 150 of WIT Transactions on Ecology and the Environment (ISSN 1743-3541). The WIT eLibrary provides the international scientific community with immediate and permanent access to individual papers presented at WIT conferences. Visit the WIT eLibrary at www.witpress.com.

FIFTH INTERNATIONAL CONFERENCE ON SUSTAINABLE DEVELOPMENT AND PLANNING

SUSTAINABLE DEVELOPMENT AND PLANNING V CONFERENCE CHAIRMEN C.A. Brebbia Wessex Institute of Technology, UK E. Beriatos University of Thessaly, Greece

INTERNATIONAL SCIENTIFIC ADVISORY COMMITTEE G. Badalians Gholikandi R. Brandtweiner K. Galal Ahmed H. Goeritz H. Gulinck J.L. Miralles i Garcia F. Russo M. Yokota

Organised by Wessex Institute of Technology, UK Sponsored by WIT Transactions on Ecology and the Environment

WIT Transactions Transactions Editor Carlos Brebbia Wessex Institute of Technology Ashurst Lodge, Ashurst Southampton SO40 7AA, UK Email: [email protected]

Editorial Board B Abersek University of Maribor, Slovenia Y N Abousleiman University of Oklahoma,

G Belingardi Politecnico di Torino, Italy R Belmans Katholieke Universiteit Leuven,

P L Aguilar University of Extremadura, Spain K S Al Jabri Sultan Qaboos University, Oman E Alarcon Universidad Politecnica de Madrid,

C D Bertram The University of New South

USA

Spain

A Aldama IMTA, Mexico C Alessandri Universita di Ferrara, Italy D Almorza Gomar University of Cadiz, Spain

B Alzahabi Kettering University, USA J A C Ambrosio IDMEC, Portugal A M Amer Cairo University, Egypt S A Anagnostopoulos University of Patras, Greece

M Andretta Montecatini, Italy E Angelino A.R.P.A. Lombardia, Italy H Antes Technische Universitat Braunschweig, Germany

M A Atherton South Bank University, UK A G Atkins University of Reading, UK D Aubry Ecole Centrale de Paris, France H Azegami Toyohashi University of Technology, Japan

A F M Azevedo University of Porto, Portugal J Baish Bucknell University, USA J M Baldasano Universitat Politecnica de Catalunya, Spain J G Bartzis Institute of Nuclear Technology, Greece A Bejan Duke University, USA M P Bekakos Democritus University of Thrace, Greece

Belgium

Wales, Australia

D E Beskos University of Patras, Greece S K Bhattacharyya Indian Institute of Technology, India

E Blums Latvian Academy of Sciences, Latvia J Boarder Cartref Consulting Systems, UK B Bobee Institut National de la Recherche Scientifique, Canada

H Boileau ESIGEC, France J J Bommer Imperial College London, UK M Bonnet Ecole Polytechnique, France C A Borrego University of Aveiro, Portugal A R Bretones University of Granada, Spain J A Bryant University of Exeter, UK F-G Buchholz Universitat Gesanthochschule Paderborn, Germany

M B Bush The University of Western Australia, Australia

F Butera Politecnico di Milano, Italy J Byrne University of Portsmouth, UK W Cantwell Liverpool University, UK D J Cartwright Bucknell University, USA P G Carydis National Technical University of Athens, Greece

J J Casares Long Universidad de Santiago de Compostela, Spain

M A Celia Princeton University, USA A Chakrabarti Indian Institute of Science, India

A H-D Cheng University of Mississippi, USA

J Chilton University of Lincoln, UK C-L Chiu University of Pittsburgh, USA H Choi Kangnung National University, Korea A Cieslak Technical University of Lodz, Poland

S Clement Transport System Centre, Australia M W Collins Brunel University, UK J J Connor Massachusetts Institute of Technology, USA

M C Constantinou State University of New York at Buffalo, USA

D E Cormack University of Toronto, Canada M Costantino Royal Bank of Scotland, UK D F Cutler Royal Botanic Gardens, UK W Czyczula Krakow University of Technology, Poland

M da Conceicao Cunha University of Coimbra, Portugal

L Dávid Károly Róbert College, Hungary A Davies University of Hertfordshire, UK M Davis Temple University, USA A B de Almeida Instituto Superior Tecnico, Portugal

E R de Arantes e Oliveira Instituto Superior Tecnico, Portugal L De Biase University of Milan, Italy R de Borst Delft University of Technology, Netherlands G De Mey University of Ghent, Belgium A De Montis Universita di Cagliari, Italy A De Naeyer Universiteit Ghent, Belgium W P De Wilde Vrije Universiteit Brussel, Belgium L Debnath University of Texas-Pan American, USA N J Dedios Mimbela Universidad de Cordoba, Spain G Degrande Katholieke Universiteit Leuven, Belgium S del Giudice University of Udine, Italy G Deplano Universita di Cagliari, Italy I Doltsinis University of Stuttgart, Germany M Domaszewski Universite de Technologie de Belfort-Montbeliard, France J Dominguez University of Seville, Spain K Dorow Pacific Northwest National Laboratory, USA W Dover University College London, UK C Dowlen South Bank University, UK

J P du Plessis University of Stellenbosch, South Africa

R Duffell University of Hertfordshire, UK A Ebel University of Cologne, Germany E E Edoutos Democritus University of Thrace, Greece

G K Egan Monash University, Australia K M Elawadly Alexandria University, Egypt K-H Elmer Universitat Hannover, Germany D Elms University of Canterbury, New Zealand M E M El-Sayed Kettering University, USA D M Elsom Oxford Brookes University, UK F Erdogan Lehigh University, USA F P Escrig University of Seville, Spain D J Evans Nottingham Trent University, UK J W Everett Rowan University, USA M Faghri University of Rhode Island, USA R A Falconer Cardiff University, UK M N Fardis University of Patras, Greece P Fedelinski Silesian Technical University, Poland

H J S Fernando Arizona State University, USA

S Finger Carnegie Mellon University, USA J I Frankel University of Tennessee, USA D M Fraser University of Cape Town, South Africa

M J Fritzler University of Calgary, Canada U Gabbert Otto-von-Guericke Universitat Magdeburg, Germany

G Gambolati Universita di Padova, Italy C J Gantes National Technical University of Athens, Greece

L Gaul Universitat Stuttgart, Germany A Genco University of Palermo, Italy N Georgantzis Universitat Jaume I, Spain P Giudici Universita di Pavia, Italy F Gomez Universidad Politecnica de Valencia, Spain

R Gomez Martin University of Granada, Spain

D Goulias University of Maryland, USA K G Goulias Pennsylvania State University, USA

F Grandori Politecnico di Milano, Italy W E Grant Texas A & M University, USA

S Grilli University of Rhode Island, USA

R H J Grimshaw Loughborough University,

K L Katsifarakis Aristotle University of

D Gross Technische Hochschule Darmstadt,

J T Katsikadelis National Technical

R Grundmann Technische Universitat

E Kausel Massachusetts Institute of

A Gualtierotti IDHEAP, Switzerland R C Gupta National University of Singapore,

H Kawashima The University of Tokyo,

UK

Germany

Dresden, Germany

Singapore J M Hale University of Newcastle, UK K Hameyer Katholieke Universiteit Leuven, Belgium C Hanke Danish Technical University, Denmark K Hayami University of Toyko, Japan Y Hayashi Nagoya University, Japan L Haydock Newage International Limited, UK A H Hendrickx Free University of Brussels, Belgium C Herman John Hopkins University, USA I Hideaki Nagoya University, Japan D A Hills University of Oxford, UK W F Huebner Southwest Research Institute, USA J A C Humphrey Bucknell University, USA M Y Hussaini Florida State University, USA W Hutchinson Edith Cowan University, Australia T H Hyde University of Nottingham, UK M Iguchi Science University of Tokyo, Japan D B Ingham University of Leeds, UK L Int Panis VITO Expertisecentrum IMS, Belgium N Ishikawa National Defence Academy, Japan J Jaafar UiTm, Malaysia W Jager Technical University of Dresden, Germany Y Jaluria Rutgers University, USA C M Jefferson University of the West of England, UK P R Johnston Griffith University, Australia D R H Jones University of Cambridge, UK N Jones University of Liverpool, UK D Kaliampakos National Technical University of Athens, Greece N Kamiya Nagoya University, Japan D L Karabalis University of Patras, Greece M Karlsson Linkoping University, Sweden T Katayama Doshisha University, Japan

Thessaloniki, Greece

University of Athens, Greece

Technology, USA

Japan

B A Kazimee Washington State University, USA

S Kim University of Wisconsin-Madison, USA D Kirkland Nicholas Grimshaw & Partners Ltd, UK

E Kita Nagoya University, Japan A S Kobayashi University of Washington, USA

T Kobayashi University of Tokyo, Japan D Koga Saga University, Japan S Kotake University of Tokyo, Japan A N Kounadis National Technical University of Athens, Greece

W B Kratzig Ruhr Universitat Bochum, Germany

T Krauthammer Penn State University, USA C-H Lai University of Greenwich, UK M Langseth Norwegian University of Science and Technology, Norway

B S Larsen Technical University of Denmark, Denmark

F Lattarulo Politecnico di Bari, Italy A Lebedev Moscow State University, Russia L J Leon University of Montreal, Canada D Lewis Mississippi State University, USA S lghobashi University of California Irvine, USA

K-C Lin University of New Brunswick, Canada

A A Liolios Democritus University of Thrace, Greece

S Lomov Katholieke Universiteit Leuven, Belgium

J W S Longhurst University of the West of England, UK

G Loo The University of Auckland, New Zealand

J Lourenco Universidade do Minho, Portugal J E Luco University of California at San Diego, USA

H Lui State Seismological Bureau Harbin, China

C J Lumsden University of Toronto, Canada L Lundqvist Division of Transport and

Location Analysis, Sweden T Lyons Murdoch University, Australia Y-W Mai University of Sydney, Australia M Majowiecki University of Bologna, Italy D Malerba Università degli Studi di Bari, Italy G Manara University of Pisa, Italy B N Mandal Indian Statistical Institute, India Ü Mander University of Tartu, Estonia H A Mang Technische Universitat Wien, Austria G D Manolis Aristotle University of Thessaloniki, Greece W J Mansur COPPE/UFRJ, Brazil N Marchettini University of Siena, Italy J D M Marsh Griffith University, Australia J F Martin-Duque Universidad Complutense, Spain T Matsui Nagoya University, Japan G Mattrisch DaimlerChrysler AG, Germany F M Mazzolani University of Naples “Federico II”, Italy K McManis University of New Orleans, USA A C Mendes Universidade de Beira Interior, Portugal R A Meric Research Institute for Basic Sciences, Turkey J Mikielewicz Polish Academy of Sciences, Poland N Milic-Frayling Microsoft Research Ltd, UK R A W Mines University of Liverpool, UK C A Mitchell University of Sydney, Australia K Miura Kajima Corporation, Japan A Miyamoto Yamaguchi University, Japan T Miyoshi Kobe University, Japan G Molinari University of Genoa, Italy T B Moodie University of Alberta, Canada D B Murray Trinity College Dublin, Ireland G Nakhaeizadeh DaimlerChrysler AG, Germany M B Neace Mercer University, USA D Necsulescu University of Ottawa, Canada F Neumann University of Vienna, Austria S-I Nishida Saga University, Japan H Nisitani Kyushu Sangyo University, Japan B Notaros University of Massachusetts, USA

P O’Donoghue University College Dublin, Ireland

R O O’Neill Oak Ridge National Laboratory, USA

M Ohkusu Kyushu University, Japan G Oliveto Universitá di Catania, Italy R Olsen Camp Dresser & McKee Inc., USA E Oñate Universitat Politecnica de Catalunya, Spain

K Onishi Ibaraki University, Japan P H Oosthuizen Queens University, Canada E L Ortiz Imperial College London, UK E Outa Waseda University, Japan A S Papageorgiou Rensselaer Polytechnic Institute, USA

J Park Seoul National University, Korea G Passerini Universita delle Marche, Italy B C Patten University of Georgia, USA G Pelosi University of Florence, Italy G G Penelis Aristotle University of Thessaloniki, Greece

W Perrie Bedford Institute of Oceanography, Canada

R Pietrabissa Politecnico di Milano, Italy H Pina Instituto Superior Tecnico, Portugal M F Platzer Naval Postgraduate School, USA D Poljak University of Split, Croatia V Popov Wessex Institute of Technology, UK H Power University of Nottingham, UK D Prandle Proudman Oceanographic Laboratory, UK

M Predeleanu University Paris VI, France M R I Purvis University of Portsmouth, UK I S Putra Institute of Technology Bandung, Indonesia

Y A Pykh Russian Academy of Sciences, Russia

F Rachidi EMC Group, Switzerland M Rahman Dalhousie University, Canada K R Rajagopal Texas A & M University, USA T Rang Tallinn Technical University, Estonia J Rao Case Western Reserve University, USA A M Reinhorn State University of New York at Buffalo, USA

A D Rey McGill University, Canada D N Riahi University of Illinois at UrbanaChampaign, USA

B Ribas Spanish National Centre for

Environmental Health, Spain K Richter Graz University of Technology, Austria S Rinaldi Politecnico di Milano, Italy F Robuste Universitat Politecnica de Catalunya, Spain J Roddick Flinders University, Australia A C Rodrigues Universidade Nova de Lisboa, Portugal F Rodrigues Poly Institute of Porto, Portugal C W Roeder University of Washington, USA J M Roesset Texas A & M University, USA W Roetzel Universitaet der Bundeswehr Hamburg, Germany V Roje University of Split, Croatia R Rosset Laboratoire d’Aerologie, France J L Rubio Centro de Investigaciones sobre Desertificacion, Spain T J Rudolphi Iowa State University, USA S Russenchuck Magnet Group, Switzerland H Ryssel Fraunhofer Institut Integrierte Schaltungen, Germany S G Saad American University in Cairo, Egypt M Saiidi University of Nevada-Reno, USA R San Jose Technical University of Madrid, Spain F J Sanchez-Sesma Instituto Mexicano del Petroleo, Mexico B Sarler Nova Gorica Polytechnic, Slovenia S A Savidis Technische Universitat Berlin, Germany A Savini Universita de Pavia, Italy G Schmid Ruhr-Universitat Bochum, Germany R Schmidt RWTH Aachen, Germany B Scholtes Universitaet of Kassel, Germany W Schreiber University of Alabama, USA A P S Selvadurai McGill University, Canada J J Sendra University of Seville, Spain J J Sharp Memorial University of Newfoundland, Canada Q Shen Massachusetts Institute of Technology, USA X Shixiong Fudan University, China G C Sih Lehigh University, USA L C Simoes University of Coimbra, Portugal A C Singhal Arizona State University, USA P Skerget University of Maribor, Slovenia

J Sladek Slovak Academy of Sciences, Slovakia

V Sladek Slovak Academy of Sciences, Slovakia

A C M Sousa University of New Brunswick, Canada

H Sozer Illinois Institute of Technology, USA D B Spalding CHAM, UK P D Spanos Rice University, USA T Speck Albert-Ludwigs-Universitaet Freiburg, Germany

C C Spyrakos National Technical University of Athens, Greece

I V Stangeeva St Petersburg University, Russia

J Stasiek Technical University of Gdansk, Poland

G E Swaters University of Alberta, Canada S Syngellakis University of Southampton, UK J Szmyd University of Mining and Metallurgy, Poland

S T Tadano Hokkaido University, Japan H Takemiya Okayama University, Japan I Takewaki Kyoto University, Japan C-L Tan Carleton University, Canada E Taniguchi Kyoto University, Japan S Tanimura Aichi University of Technology, Japan

J L Tassoulas University of Texas at Austin, USA

M A P Taylor University of South Australia, Australia

A Terranova Politecnico di Milano, Italy A G Tijhuis Technische Universiteit Eindhoven, Netherlands

T Tirabassi Institute FISBAT-CNR, Italy S Tkachenko Otto-von-Guericke-University, Germany

N Tosaka Nihon University, Japan T Tran-Cong University of Southern Queensland, Australia

R Tremblay Ecole Polytechnique, Canada I Tsukrov University of New Hampshire, USA R Turra CINECA Interuniversity Computing Centre, Italy

S G Tushinski Moscow State University, Russia

J-L Uso Universitat Jaume I, Spain E Van den Bulck Katholieke Universiteit Leuven, Belgium

D Van den Poel Ghent University, Belgium R van der Heijden Radboud University, Netherlands

R van Duin Delft University of Technology, Netherlands

A Yeh University of Hong Kong, China J Yoon Old Dominion University, USA K Yoshizato Hiroshima University, Japan T X Yu Hong Kong University of Science & Technology, Hong Kong

P Vas University of Aberdeen, UK R Verhoeven Ghent University, Belgium A Viguri Universitat Jaume I, Spain Y Villacampa Esteve Universidad de

M Zador Technical University of Budapest,

F F V Vincent University of Bath, UK S Walker Imperial College, UK G Walters University of Exeter, UK B Weiss University of Vienna, Austria H Westphal University of Magdeburg,

R Zarnic University of Ljubljana, Slovenia G Zharkova Institute of Theoretical and

Alicante, Spain

Germany

J R Whiteman Brunel University, UK Z-Y Yan Peking University, China S Yanniotis Agricultural University of Athens, Greece

Hungary

K Zakrzewski Politechnika Lodzka, Poland M Zamir University of Western Ontario, Canada

Applied Mechanics, Russia

N Zhong Maebashi Institute of Technology, Japan

H G Zimmermann Siemens AG, Germany


EDITORS C.A. Brebbia Wessex Institute of Technology, UK E. Beriatos University of Thessaly, Greece

Editors: C.A. Brebbia Wessex Institute of Technology, UK E. Beriatos University of Thessaly, Greece

Published by WIT Press Ashurst Lodge, Ashurst, Southampton, SO40 7AA, UK Tel: 44 (0) 238 029 3223; Fax: 44 (0) 238 029 2853 E-Mail: [email protected] http://www.witpress.com For USA, Canada and Mexico Computational Mechanics Inc 25 Bridge Street, Billerica, MA 01821, USA Tel: 978 667 5841; Fax: 978 667 7582 E-Mail: [email protected] http://www.witpress.com British Library Cataloguing-in-Publication Data A Catalogue record for this book is available from the British Library ISBN: 978-1-84564-544-1 ISSN: 1746-448X (print) ISSN: 1743-3541 (on-line) The texts of the papers in this volume were set individually by the authors or under their supervision. Only minor corrections to the text may have been carried out by the publisher. No responsibility is assumed by the Publisher, the Editors and Authors for any injury and/or damage to persons or property as a matter of products liability, negligence or otherwise, or from any use or operation of any methods, products, instructions or ideas contained in the material herein. © WIT Press 2011 Printed in Great Britain by Martins the Printer. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of the Publisher.

PREFACE This book contains most of the edited contributions presented at the 5th International Conference on Sustainable Development and Planning, held at the Wessex Institute of Technology campus in the New Forest, UK. The meeting built upon a series started in 2003 in Skiathos, Greece and evolved into another three conferences in Bologna (2005), the Algarve (2007) and Cyprus (2009). The adopted model of 20th century economic development based on increased urbanization, deforestation, predominance of private car against public transport, unplanned tourism and industrial development, uneven consumption of water and goods between different regions, led to a dramatic environmental and ecological degradation of the planet. A major impact of human intervention is climate change which is not just of scientific interest but it is a reality felt every day by every citizen in every country of the world. We are living in an era of global warming and the symptoms are visible, affecting all human activities. In this context there is an urgent need for the necessary adjustments for survival in this transition period until a new ecological balance is established, much different from the previous one, which will not only affect the biosphere but also the whole socioeconomic structure. Policies for natural resources, agricultural production, environmental protection, urban development and management of natural and cultural heritage must reconsider their priorities in this new context taking into account scientific progress and technological advances. Consequently, spatial planning – as a catalyst for the integration of all sectoral policies – is the prerequisite for the sustainable development at any geographical level: local, regional, national, global. There is a need to change the existing models of consumption and production as well as those of geographical mobility towards a new direction where the Eco-nomy and the Eco-logy will stop to be in parallel courses but will combine and act together since their ultimate goal remains the same: the achievement of sustainable and livable environments.

The conference brought together scientist and other stakeholders from all over the world to discuss the latest advances in this field. The editors are grateful to all the authors for their excellent papers and especially to the members of the International Scientific Advisory Committee, and other colleagues, who have helped to review the papers, thereby ensuring the quality of this volume. The Editors, New Forest, 2011

Contents Section 1: Regional planning Maritime and coastal spatial planning: the case of Greece and the Mediterranean E. Beriatos & M. Papageorgiou .......................................................................... 3 Limits and possibilities for the promotion of sustainable development: the case of Northwest Region Fluminense D. C. Vivas Neto & E. A. Nascimento................................................................ 19 Abu Dhabi efforts in facing global warming challenges through urban planning M. Alameri & G. Wagle..................................................................................... 29 Primary sector waste indicators for regional planning E. Cifrian, L. Pérez, E. Dosal, J. Viguri & A. Andrés ....................................... 39 Promoting sustainable development in the minerals industry: the phosphate project in Saudi Arabia M. Aldagheiri..................................................................................................... 51 Towards a sustainable system: application of temporal analysis on flood risk management Z. Alsaqqaf & H. Zhang..................................................................................... 59 Section 2: City planning The small world of stakeholder groups: cascading concepts for urban change M. Ganis, J. Minnery & D. Mateo-Babiano ...................................................... 71 The strength of the urban form I. Giovagnorio ................................................................................................... 85

Future projects on water resources for a sustainable urban development: a case study of Surat city of India K. A. Chauhan, J. P. Shah, A. M. Pingle & A. K. Chauhan............................... 97 Conceptual spatio-temporal data modelling and land use change L. A. Beser de Deus, L. F. C. F. Silva & M. A. V. Freitas ............................... 109 Section 3: Sustainability in the built environment Real estate crisis and sustainability in Spain J. L. Miralles i Garcia ..................................................................................... 123 Urban sprawl: can it be sustainable? An analysis on energy performances of different urban forms C. Diamantini & D. Vettorato ......................................................................... 133 Sustainable aspects of traditional Ottoman neighbourhoods in modern Turkish urban settlements G. Koca & R. Karasozen ................................................................................. 145 From scoring to orienting: the development of a compass for evaluating sustainable urban development at the neighbourhood scale H. Vandevyvere................................................................................................ 153 Whole-building design for a green school building in Al-Ain, United Arab Emirates S. K. Elmasry & M. A. Haggag........................................................................ 165 Eco-industrial parks: technologies and procedures for low environmental impacts A. Boeri & D. Longo........................................................................................ 177 Overview of current energy policy and standards in the building sector in Iran M. Riazi & S. M. Hosseyni............................................................................... 189 Integrating passive cooling techniques for sustainable building performance in hot climates with reference to the UAE M. A. Haggag & S. K. Elmasry........................................................................ 201 Visualization of the thermal environments of RC and composite-wall constructions H.-Y. Liu .......................................................................................................... 213

Lowering the sink temperature for a desert solar air conditioning system M. A. Serag-Eldin ............................................................................................ 227 Innovative approaches to urban water management in developing countries S. Beecham & R. Fallahzadeh ......................................................................... 239 A study of the impacts of existing artificial optical radiation at student housing sites P. Hebert.......................................................................................................... 249 An overview of safety effects on pedestrians at modern roundabouts A. Granà .......................................................................................................... 261 Re-design for change: environmental and financial assessment of a dynamic renovation approach for residential buildings A. Paduart, W. Debacker, N. De Temmerman, W. P. De Wilde & H. Hendrickx................................................................................................ 273 Development of a sustainable construction system for temporary structures N. De Temmerman & L. Alegria Mira............................................................. 285 Section 4: Cultural heritage The impact of urban sprawl on the heritage areas through the urban fabric of cities A. El Menchawy, S. S. Aly & M. A. Hakim ...................................................... 299 Investigating the sustainable fabric of the historical city of Marvast M. Mangeli, M. Mangeli & A. Sattaripour ...................................................... 315 Evaluation of the conservation activities in the historical settlement Tenedos-Bozcaada Island F. Akpınar, N. Saygın & E. Karakaya ............................................................. 329 Literary tourism as a promoter of cultural heritage L. Ghetau & L. V. Esanu.................................................................................. 345 The soundscape of cities: a new layer in city renewal M. Leus ............................................................................................................ 355

Section 5: Environmental management The evaluation of ecological sustainable development capacities in Kashan: an historic city of Iran N. Marsousi & A. R. Lajevardi ........................................................................ 371 Trading system of environmental loads: interregional cap and trade system using an ecological footprint T. Ujihara & M. Taniguchi.............................................................................. 381 A scale for architectural design compactness: a mathematical approach M. M. Saeed ..................................................................................................... 397 Bumblebees as potential indicators for the evaluation of habitat quality I. Diaz-Forero, V. Kuusemets, M. Mänd & J. Luig ......................................... 409 Environmental management options for mitigation of congestion impacts in the Atatürk Urban forest of Bursa, Turkey S. Gurluk, G. Atanur & O. Turan .................................................................... 419 Monte Carlo analysis and its application within the valuation of technologies S. Č. Aguilar, M. Dubová, J. Chudoba & A. Šarman ...................................... 431 Assessment method for the ecological status of Estonian coastal waters based on submerged aquatic vegetation K. Torn & G. Martin........................................................................................ 443 Evaluation of oil shale mining heritage in Estonia K. Metsaots, K. Sepp & K. A. Roose................................................................ 453 Remediation of coastal sandy soils polluted by petroleum leaks J. Tomás Albergaria, C. Delerue-Matos & M. da Conceição M. Alvim-Ferraz .............................................................. 469 Integrated sustainable anaerobic treatment for low strength wastewater S. I. Abou-Elela, M. E. Fawzy, M. El-Khateeb & W. Abdel-Halim ................. 477 Section 6: Resources management A national parkless Northern Ireland: the tourism resource paradox and the implications for sustainability J. P. W. Bell ..................................................................................................... 491

The development of seaweed farming as a sustainable coastal management method in Indonesia: an opportunities and constraints assessment A. Zamroni, K. Laoubi & M. Yamao................................................................ 505 Economic valuation of sport fisheries in Los Cabos, Baja California Sur, Mexico I. Gómez, A. Ivanova, G. Ponce & M. Ángeles................................................ 517 Section 7: Social and political issues Sustainability in projects: an analysis of relevant sustainability aspects in the project management process based on the three pillars model S. Kirchhof & R. Brandtweiner........................................................................ 527 Public involvement in sustainable development: a public participation process in the Sidi Gaber railway station development project, Alexandria, Egypt S. S. A. Aly & M. S. E. Amer ............................................................................ 537 Asset management of public facilities in an era of climate change: application of the dynamic computable general equilibrium model Y. Kunimitsu..................................................................................................... 553 Shared responsibility for post-Kyoto A. Hoeltl & R. Brandtweiner ........................................................................... 562 Paying the price: nationalisation of private property or restoring the commons? F. Rochford...................................................................................................... 573 Participation of children: an alternative to building new cities L. Brazil dos Santos Argueta ........................................................................... 583 Reducing greenhouse gases using the pay-as-you-throw (PAYT) system J. H. Kim.......................................................................................................... 599 Section 8: Rural developments Assessment of a sustainable rural development model: best practices in Comala, Colima, Mexico R. Zizumbo-Villarreal & R. I. Roja-Caldelas .................................................. 609 Irrigation and territory in the southeast of Spain: evolution and future perspectives within new hydrological planning A. L. Grindlay, C. Lizárraga, M. I. Rodríguez & E. Molero............................ 623

The relationship between rice and the housing of rice-growers in the north of Iran M. Yousefnia Pasha ......................................................................................... 639 The use of donkeys for transport: the case of Khartoum State, Sudan T.- E. Angara, A. Ibrahim & A. Ismail............................................................. 651 Section 9: Sustainable solutions in developing countries A policy framework for sustainability in developing countries: applying value chain theory to a society’s hierarchy of needs P. R. Walsh ...................................................................................................... 663 Evaluating stakeholders preferences: reconciling heritage and sustainability N. A. W. Abdullah Zawawi & A. Abdullah....................................................... 675 Empirical analysis of the linkages between the manufacturing and other sectors of the Nigerian economy D. Salami & I. Kelikume.................................................................................. 687 Challenging limitations for achieving decentralization in terms of participatory planning in developing countries, case study: Egypt A. A. A. M. Ibrahim.......................................................................................... 699 Nigeria’s industrial development: issues and challenges in the new millennium D. D. Ajayi....................................................................................................... 711 Section 10: Transportation Planning sustainable e-mobility O. Schwedes..................................................................................................... 727 Functional and dysfunctional urban mass transportation systems in the greater Gauteng region of South Africa J. Chakwizira, P. Bikam & T. A. Adeboyejo .................................................... 737 The second Mexican toll road program: learning from the experience S. Carpintero & R. Barcham ........................................................................... 749 Calibration of a method for selecting roundabouts as a function of the inner island treatment J. Falciani, A. Pratelli, M. Martello & R. Souleyrette..................................... 761

Signal setting in an urban area: a procedure with day-to-day dynamic and stability constraints G. E. Cantarella, P. Velonà & A. Vitetta......................................................... 773 Optimal planning of selective waste collection S. Raicu, D. Costescu, E. Roşca & M. Popa.................................................... 785 Section 11: Container maritime transport (Special session chaired by F. Russo) Container maritime transport on an international scale: a procedure for aggregate estimation of demand variables F. Russo & G. Musolino .................................................................................. 797 Container maritime transport on an international scale: a model to simulate the demand flow in the Mediterranean basin F. Russo & V. Assumma .................................................................................. 809 Container maritime transport on an international scale: a choice model of service and hub port F. Russo, G. Chilà & D. Iannò ........................................................................ 819 Container maritime transport on an international scale: data envelopment analysis for transhipment port F. Russo & C. Rindone .................................................................................... 831 Section 12: Energy resources Financing sources and policies for renewable energies A. Ivanova, A. Gamez & M. Angeles ............................................................... 847 Energy and the implication of residential cooling in hot climates: a case study for developing an effective solution for residential cooling energy demand in Kuwait H. Al-Mutairi, J. Dewsbury & G. F. Lane-Serff .............................................. 859 Enhanced aquifer thermal energy storage for cooling and heating of Shinshu University building using a nested well system A. Tomigashi & K. Fujinawa........................................................................... 871 Modeling energy savings in low income residencies C. G. Morales & A. J. Malavé ......................................................................... 883

Fuel economy and emissions analysis of conventional diesel, diesel-electric hybrid, biodiesel and natural gas powered transit buses A. C. Nix, J. A. Sandoval, W. S. Wayne, N. N. Clark & D. L. McKain ............................................................................................... 895 Street lighting power reduction potential in Lithuanian cities R. Balsys, K. Otas, A. Mikulionis, V. J. Pakėnas, A. Vaškys, P. Vitta & A. Žukauskas................................................................................... 909 Biomass pellets production with industrial and agro-industrial wastes J. C. A. R. Claro & D. Costa-Gonzalez ........................................................... 919 Bioethanol production from oilseed rape straw hydrolysate by free and immobilised cells of Saccharomyces cerevisiae A. K. Mathew, K. Chaney, M. Crook & A. C. Humphries................................ 925 Latent heat thermal energy storage systems in lightweight construction: review of PCM applications in Solar Decathlon houses E. Rodríguez-Ubiñas, L. Ruíz-Valero, S. V. Sánchez & F. J. Neila González .................................................................................... 935 Testing for oil saving technological changes in ARDL models of demand for oil in G7 and BRICs M. Asali............................................................................................................ 947 Author index .................................................................................................. 959

Section 1 Regional planning

This page intentionally left blank


3

Maritime and coastal spatial planning: the case of Greece and the Mediterranean E. Beriatos & M. Papageorgiou Department of Planning and Regional Development, University of Thessaly, Greece

Abstract Maritime and coastal areas play an important role in the development of human activities and are a substantial influence on the economies of their respective hinterlands. Seas and coasts are among the most complex, vulnerable and sensitive to all natural ecosystems, and their management presents various problems and difficulties especially in our era of climate change in which coastal cities and populations face a range of serious threats (including rising sea levels). The singularity of these areas necessitates an equally singular handling of the issues of their land development and management. At the start of the 21st century the critical issue of the spatial regulation and organization of the seas and coasts is a key priority for Greece and the Mediterranean in the era of climate change. There can be no doubt that the Mediterranean’s coastal and marine areas are facing ever greater risks from natural disasters and human pressures alike. Given the experience of EU and UN programs and projects initiated and run by other international organizations which have shown that implementing sustainable spatial development in the coasts and seas is anything but easy, there is clearly a great need for coordinated action and co-operation at the transnational and international level. During the past decade the EU has adopted a strategy for the maritime environment which was incorporated in an Integrated Maritime Policy (IMP) (a European vision for the seas and the oceans). In the framework of the above policy the Commission launched in 2008 a road map for the Maritime Spatial Planning (MSP) as the basic means for the implementation of the (IMP) and a fundamental tool for the sustainable development of the European seas and coasts.

WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110011

4 Sustainable Development and Planning V The paper aims to investigate the effectiveness of the planning instruments and policies launched by the EU in relation to maritime and coastal areas and adopted by the competent public agencies and bodies in Greece and Mediterranean. Furthermore, the paper argues for the substantial implementation of the policy documents relating to Integrated Coastal Zone Management (ICZM) and the Spatial Maritime Planning in the framework of EU strategy for the Integrated Maritime Policy.

1 Introduction: the pressures on the Mediterranean coasts and the need for the integrated planning in the 21st century At the start of the 21st century, the critical issue of the spatial regulation and organization of coastal and marine areas is a key priority for Europe, the Mediterranean and Greece in an era of climate change and environmental shifts. There can be no doubt that the Mediterranean’s coastal and marine areas are facing ever greater risks from natural disasters and human pressures alike. The coastal environment is under serious threat from activities (like tourism, transportation etc.) carried out without recourse to even the must rudimentary principles of sustainability; as a result, developmentally and environmentally, these activities are anything but beneficial. Marine transportation and coastal and marine tourism constitute sources and focal points for pollution on land and at sea, and lead to the degradation of the marine and coastal ecosystems. Moreover, the building up (legally or illegally) of the coastal zone, especially near or on the foreshore and seashore, exacerbates the downgrading of these areas, which are also core tourism assets. It should be noted that while the Mediterranean’s coastal zones account for just 12% of the surface area of the nation-states bordering the Mediterranean, they are home to 33% of their populations. In addition, while the Mediterranean accounts for 7% of the world’s population, the tourists who chose to holiday there account for roughly 33% of the world’s tourists! [1]. Construction pressures stemming from tourism are expected to lead to an increase in both the permanent population of the Mediterranean and in visitor numbers, which are forecast to rise from 200 million in 2008 to 300 million in 2025, a leap of 50% [2]. It should also be noted that there is significant differentiation in both the quantitative (absolute number) and qualitative (country of origin) composition of the international tourists visiting the European and African/Asian Mediterranean. A parallel reading of Figures 2 and 3 reveals that the urban population of the nations of the south-western Mediterranean is increasing at a rapid rate. Thus, while there were ten metropolises (meaning cities with over a million inhabitants) in 1950, there were no fewer than 29 by the end of the century (1995). This leap in urbanization has led to more and larger metropolises, and thus, also, to the erection of a cement wall along the entire length of the Mediterranean coast, thanks to the construction of a mass of hotel and tourist complexes (Egypt, Turkey, Spain) as well as linear coastal settlements of

WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


5

Figure 1:

Number (in thousands) and origin of international tourists in Mediterranean countries in 1999. Source: [3].

Figure 2:

Urbanization rates in Mediterranean countries: 1950, 2000, 2030. Source: [3].


6 Sustainable Development and Planning V

Figure 3:

Cities and towns with more than 10,000 inhabitants: 1950-1995. Source: [3].

second-homes constructed legally or illegally (Greece, Spain). This wall tends to create a zone between the coastal highway and the coastline itself. Areas whose coastal development mirrors this pattern include Alexandria and El Alamein in Egypt, the area east of Antalya in Turkey, the coast beside Malaga and north of Valencia in Spain and the west coast of the Peloponnese in Greece (see Figures 4, 5, 6 and 7). Similarly, the Blue Plan data points to the agricultural population having remained stable or declined as a result of tourist development in every Mediterranean coastal nation, in the developed north-west and less developed south-east alike [3]. The situation described above – and coastal urbanization and linear development, in particular – creates serious environmental problems as well as raising the cost of the necessary infrastructure. Integrated planning for the coastal and adjoining marine zones is thus essential. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 4:

Western Greece.

Figure 6:

Peloponnese,

Valencia, Spain.

Figure 5:

7

Alexandria-El Alamein, Egypt.

Figure 7:

Turkey, Antalya.

2 International policy for costs relating to the Euro-Mediterranean region Mediterranean coastal policy essentially began in 1975 when the Mediterranean Action Plan (MAP) was set up in Barcelona in the context of the United Nations Environment Programme (UNEP). The MAP, the first scheme of its kind, was set in motion by the UN to protect the planet’s regional seas. Structurally, it is comprised of a coordinating unit, which has had its headquarters in Athens since 1982, plus six Regional Activity Centres based in six Mediterranean cities (Split, Palermo, Sophia Antipolis, Barcelona, Malta and Tunis) which occupy themselves with a range of issues and programmes, the most important of which are: a) The Blue Plan / Plan Bleu based in Sophia Antipolis, which seeks to analyse environmental problems and achieve viable Mediterranean development by means of an interdisciplinary systemic approach, and b) the Priority Actions Program / Programme d’Actions Prioritaires, which is based in Split and focuses on the integrated coastal zone management with an emphasis on solving the problems created by the increasing urbanization of the Mediterranean coast. It was within the MAP framework that the Barcelona Convention was signed in 1976 by the representatives of the Mediterranean’s coastal states in Barcelona. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

8 Sustainable Development and Planning V Originally entitled the “Convention for the Protection of the Mediterranean Sea Against Pollution”, the convention came into force in 1978; amended in 1995, it came into force in 2004 as the “Convention for the Protection of the Marine Environment and the Coastal Region of the Mediterranean”. It should be noted that a number of sub-regional conventions were signed as a direct result of the Barcelona Convention, and numerous international committees formed with members drawn from neighbouring coastal states and a view to protecting the Mediterranean coast. One of the Barcelona Convention’s core functions is the publication of technical protocols on a series of crucial environmental issues (Table 1). One of the recent protocols, the supremely important Integrated Coastal Zone Management (ICZM) protocol, was signed in Madrid in 2008. Although the protocol represents a compromise between the conflicting interests of the states involved, it still constitutes an important legal obligation to protect the Mediterranean coast, and is a realistic document drawn up by a team including representatives of accredited NGOs which takes international experience into account. However, it has been ratified by just three states to date: France, Albania and Slovenia. Innovative and ground-breaking, the protocol is a unique Table 1:

Protocols of the Barcelona Convention.

Date (adoption/entry into force) 16-02-1976/12-02-1978

Content

Dumping Protocol (from ships and aircraft)

16-02-1976/12-02-1978

Prevention and Emergency Protocol (pollution from ships and emergency situations)

17-05-1980/17-06-1983

Land-based Sources and Activities Protocol

10-06-1982/23-03-1986

Protocol concerning Mediterranean Specially Protected Areas

14-10-1994/Not yet

Offshore Protocol (pollution from exploration and exploitation)

10-06-1995/ Not yet

Dumping Protocol (from ships and aircraft or incineration at sea) (amended the Dumping Protocol of 1976)

10-06-1995/ 12-12-1999 10-06-1995/12-12-1999 07-03-1996/11-05-2008 01-10-1996/18-01-2008 25-01-2002/17-03-2004 21-01-2008/ Not yet

Protocol Concerning Specially Protected Areas in the Mediterranean (replaced the Protocol concerning Mediterranean Specially Protected Areas) Replaces the Protocol concerning Mediterranean Specially Protected Areas of 1982 Protocol for the Protection of the Mediterranean Sea against Pollution from Land-Based Sources (replaced the Landbased Sources and Activities Protocol of 1980) Hazardous Wastes Protocol Protocol Concerning Cooperation in Preventing Pollution from Ships and, in Cases of Emergency, Combating Pollution of the Mediterranean Sea (replaced the Prevention and Emergency Protocol of 1976) Protocol on Integrated Coastal Zone Management (ICZM)

Source: Relevant Official texts of Barcelona Convention protocols. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


9

legal instrument on ICZM in the entire international community in the context of the Coastal Area Management Programme (CAMP) and is unprecedented on a regional level [4]. Turning to its content, it is interesting to note that the protocol adopts inter alia the spatial – organic ecosystems – approach, the principle of the non edificandi zone and interdisciplinary analysis. We are of the opinion that the protocol would be hard to implement, and that the use of national spatial planning instruments (see section 4) is therefore essential to enable problems to be dealt with and solved, including the need for bodies and measures to be coordinated, for control mechanisms to be introduced with regard to the implementation of the legislation, for land policy to adopt mechanisms for the acquisition, of land to the public domain, and for measures to be taken in the light of climate change. The Coastal Area Management Programmes / Programme Activity Centres (CAMP-PAC) set up in many countries are one of the fundamental means of implementation for the ICZM protocol [5]. Figure 8 shows the areas where these programmes have been run or are currently running.

Figure 8:

Coastal Area Management Programmes in specific Mediterranean regions. Source: [5].

Various noteworthy examples of policies and instruments on the national level should also be noted, including the Conservatoire de l’ Espace Littoral et des Rivages Lacustres (CELRL), a French national protection body for coastal spaces, lakes and rivers set up with a view to acquiring land from the public sector [6]. In parallel and in combination with the activities of the UN and the Barcelona Convention, the EU has undertaken initiatives relating to Integrated Coastal Zone Management in all its member-states. Thus, a pilot programme was set in motion in the late 1990s (1997-1999) whose conclusions led to the submission of a Proposal for a Recommendation [7] and the issuing of a Communication [8] to WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

10 Sustainable Development and Planning V the Council and the European Parliament, which made a Recommendation on 30/05/2002 relating to the implementation in Europe of the ICZM [9]. The Recommendation refers to the need for a strategic approach, the application of core management principles, national strategies and cooperation. In 2007, the Commission published a Communication [10] in the form of a report to the Council and the European Parliament evaluating the ICZM Recommendation in the light of previous evaluations (by the European Environment Agency (EEA) the indicators working group etc.). This document also refers to the reports produced by 14 of the EU’s 20 coastal member-states – Greece among them – which had been presented to the Commission. The evaluation revealed that, despite the positive impact made by the Recommendation through its championing of a “more holistic spatial planning”, there had been delays and no significant progress. The national reports provided only limited information on the effectiveness of implementation mechanisms, while few countries and regions had contributed to the analysis of the environmental indictors. Moreover, the evaluation report recognized that the environmental degrading of the coasts remained a serious problem, and linked future progress in relation to ICZM with: a) the Green Paper on maritime policy, b) the ICZM protocol within the framework of the Barcelona Convention and c) the INSPIRE directive (2007/2 EU L108) which aims at a combined environmental information system (relevant policy documents in Table 2). Table 2: Date 1999 08-09-2000 27-09-2000 06-06-2002 07-06-2006 07-06-2007 10-10-2007 25-06-2008 25-11-2008 26-06-2008 15-10-2009

Coastal and maritime spatial planning in Europe: Policy documents. Content Towards a European (ICZM) Strategy General Principles and Policy Options Ιmplementation of Integrated Coastal Zone Management in Europe Οn Integrated Coastal Zone Management: A strategy for Europe Ιmplementation of the Integrated Coastal Zone Management Towards a future Maritime Policy for the Union: A European vision for the oceans and seas An evaluation of Integrated Coastal Zone Management (ICZM) in Europe An Integrated Maritime Policy for the European Union Εstablishing a framework for community action in the field of marine environmental policy (Marine Strategy Framework Directive) Roadmap for Maritime Spatial Planning: Achieving Common Principles in the EU Guidelines for an Integrated Approach to Maritime Policy: Towards best practice in integrated maritime governance and stakeholder consultation Progress Report on the EU's integrated maritime policy

Source: Relevant EU Official texts.


Form Reflection paper Proposal for Recommendation Communication Recommendation Communication /Green Paper Communication Communication/Blue Paper Directive Communication Communication Communication


11

3 The case of coastal Greece: a critical approach to the existing situation and spatial planning In formal, official terms, Greece, an EU member-state, is considered a developed nation in accordance with every UN human development index. In essence, however, Greece is geographically part of the Balkans, south-eastern Europe and the Mediterranean, with all that entails in terms of influences from neighbouring states. Due to its geopolitical position, but also to its domestic policies and cultural and social traditions, Greece has problems which relate to its political system, its productive infrastructure, its administrative organization, to the development or research and technology and – above all – to the organization and planning of its space: urban, rural and special categories like coastal space. That Greece has more coastline than any other European or Mediterranean country is a fundamental consideration in its spatial planning as well as its environmental and developmental policies. In fact, Greece has over 3000 islands and islets which represent 20% of its surface area and 14% of its population. In Greece, with over 15,000 km of coastline, every square kilometre equates to 114 m of coast or “sea front”, compared to an EU average (27 member states) of 6.5 m, and a world average of just 4.3 m! The Greek coastline accounts for roughly a third of the entire coastline of the Mediterranean, and to almost a quarter of that of the EU (27 member states) [11]. With over 70% of Greece’s population and over 90% of its tourists concentrated in its coastal zone, the possible consequences of climate change are likely to render this zone especially vulnerable to flooding and rising sea levels. To facilitate a more systematic and all-inclusive image of the existing situation, we have employed a typology of coastal zone areas developed by the research group of the University of Thessaly in the context of the INTERREGUrbacost Programme (Co-ordinating agency: KEPEMEP-Med Regio: leader of the Greek consortium in which the University of Thessaly participated as main partner). The typology emerges from a classification / categorization which employs morphological features of natural and man-made space as criteria, including: a) The terrain (geomorphologic features, gradients etc.); b) vegetation (low, medium, high, ground cover, brush wood, bushes, trees); c) building construction (dense /sparse, unregulated); d) technical infrastructure (transportation, telecommunications, energy networks); e) excavations and earthworks (mining, quarrying, embankments, earth fills, land fills); f) country billboards. Also used as criteria are the uses and functions of the land, such as tourism, agricultural and the agrarian uses which are fundamental features of Greece’s territorial capital and socio-economic reality / structure. Combining the above parameters (passed mainly on settlement and land use patterns) we produced the five types of coastal regions listed below: 1. Plains (flat terrains) with intensive cultivations and rural settlements, agritourism activities under development. 2. Flat areas with linear urban development-especially along the sea front – having scattered building constructions (illegal or not). Dominant land uses: secondary residence and tourist accommodation. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

12 Sustainable Development and Planning V 3. Rough terrains. Land cover: pastures, maquis vegetation, bush land, Traditional cultivations in terraces, rural settlements, agritourism activity under development. 4. Rough areas with linear urban development-especially along the sea fronthaving scattered building constructions (illegal or not). Dominant land uses: secondary residence and tourist accommodation. 5. Mountainous areas covered by forest vegetation or maquis, rough terrain, rocky coasts, low population density or empty, no human settlements, mountain tourism activities and isolated tourist installations (refuges, ski centers etc). Recognizing, analyzing and interpreting the structural features of the coasts is an essential prerequisite for any institutional regulation and planning which seeks to bring about their viable and integrated protection and development. A study of the brief history of spatial planning in Greece reveals that the regulation of coastal space (institutional instruments, planning techniques etc.) has mirrored the course of spatial planning in general, which, due to social, economic and technological developments, has moved from small – to largescale regulation. Thus, initial efforts sought to address the problems facing the coastline – meaning the coastal zone where water met land – with corresponding legislation (Law 2344/1940, later replaced by Law 2971/2001). Then, in the early 1980s, Law 1337/83 sought to tackle the problems of unregulated construction and access to the sea in a 500-metre coastal setback zone in which enclosures were forbidden. Finally, from the 1990s on, the focus has been on regulating the spatial organization of the coastal zone in general and on instituting new zones (in addition to those mentioned above) with a view to integrated coastal zone management, the removal of conflict between different land uses, free access to the sea and the regulation of pedestrian and vehicular traffic. The development of the core legislation (not including previsions from other legislation dealing indirectly with coastal zone) is summarized in Table 3. Table 3: Date 1940 1983 1984 2001 2010

Core legislation relating to Greek coastal space.

Type and content of institutional regulation Compulsory Law 2344/1940 “On the Sea Shore (foreshore and backshore)” Law 1337/83 Articles 23 and 24 “On the protection of coasts and coastal roads”, OGG Α33/83 Presidential Decree 236/84 “On enclosing coastal land”, OGG 95/84 Law 2971/01 “On the Sea Shore (foreshore, backshore etc.)”, OGG Α285/2001 National Guidelines for the Spatial Planning and Sustainable Development of the Coastal Zone - Ministerial Decision

Comments Never implemented Never implemented Not yet finalized

Source: Relevant issues of the Official Government Gazette (OGG), Hellenic Ministry for the Environment, Physical Planning and Public Works, 2009. The coastal zones and the regulations applying to each will be examined in more detail below. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


13

3.1 The sea shore: foreshore and backshore zones The foreshore (the ‘amphibious’ part of the coastal zone exposed at low tide) and the backshore are the most sensitive and critical coastal zone from an ecological and environmental as well as a social, economic and developmental point of view. The space of the foreshore is delimited by nature. According to the current legislation: “The foreshore is the zone which is wet by the largest nonextraordinary waves” (OGG A285/2001). In contrast, the backshore is a social product defined by the state (“The backshore is the terrestrial zone added to the foreshore which is defined as having a breadth of up to fifty (50) metres from the upper limit of the foreshore to serve communication between land and sea and vice versa”). As spatial zones, the foreshore and the backshore are organically and functionally linked. There can be no foreshore without a backshore, which is the functionally public space necessary for enjoying the environmental and social good of the foreshore and for providing free access to it. Law 2344/1940, the first legislation that sought to regulate the foreshore and backshore zone, dates back to the end of the interwar period and was groundbreaking for its time. It would be amended on several occasions during what would prove a long active life (over 60 years), the most important amendment, from an environmental point of view-in view of the accelerated urbanization of the coastal zone during the post-war period (see the following subsection) – being the institution of a new and larger backshore width (raised from 30 to 50 metres) in 1983. Clearly, this initial legislation could not foresee the developments to come in the contemporary period, which included tourist development, coastal erosion and a rise in sea-levels due to the greenhouse effect. Still, the efforts which began in the early 1980s to thoroughly overhaul the special legislation relating to the foreshore were slow in bearing fruit, delaying the process excessively until the first decade of the 21st century. And while the Hellenic Ministry of Finance sought to modernize the relevant institutional framework in technical, administrative and bureaucratic terms, despite the lastminute amendments, the new institutional framework ultimately proved unsuccessful both in ensuring the public good it was supposed to have defended, and in ushering in genuinely new conditions. For instance, the institutional protection provided for coastal zone could have been bolstered – as the circumstances of the age demanded, with the proliferation of building without planning permission – by legally setting the coastal setback at a minimum of 50 metres from the upper limit of the foreshore. To be truly effective and beneficial, any legal framework governing the space, development and environment of the foreshore and backshore would have to take a contemporary and innovative approach to land policy issues. For instance, the provisions relating to the expropriation of property in the backshore zone would have to come packaged with the means (financial resources) for purchasing these properties. Otherwise, other land policy instruments will have to be found for acquiring the backshore land, which must, in accordance with the core aim expressed by the law itself, be both public and for common use. Moreover, on a WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

14 Sustainable Development and Planning V larger scale, the zone must be spatially and geographically linked to the coastal zone as a whole – of which the strip comprised of the foreshore and backshore constitutes a spatial subset – to an adequate depth both landwards and seawards. 3.2 500-metres coastal setback in which enclosures are forbidden Law 1337/83 on the expansion of cities and settlements, which formed the basis for the Urban Restructuring Programme (EPA), also included provisions relating to the protection of the rural environment, primarily through the institution of the Controlled Construction Zone and the 500-metre setback from the coast in which enclosures were forbidden, both to protect the coasts and to ensure access to them – a perennial issue in Greece. This second provision has proven of critical importance in protecting the coastal zone, even though it has not been applied as widely as expected, despite the importance of the issue for Greece and Greek public opinion being supposedly sensitive to the issue of ‘liberating’ the nation’s coasts. These innovative and radical provisions addressed two issues as crucial in today’s social context as they were then: a) The exclusion – as the rule – of enclosures in a 500-metre setback zone from the shoreline intended to ensure free access to the sea; in those cases were enclosures were permitted, guidelines were provided for their positioning and construction in accordance with the use to which the enclosed land was to be put. It should be noted that the Presidential Decree was formulated and published with the application of this provision specifically in mind; b) The creation (through the expropriation of privately-owned property for the public good) of public access routes to the sea and the shore. These routes are chiefly foreseen as pedestrian, without this precluding the creation of roads for vehicles with the required parking spaces but without provisions for roadside plot divisions and building constructions. It should be noted that the law foresaw the demolition of existing enclosures blocking access to the coast – a radical measure by the standards of the time – as well as the removal of buildings on the shore and the transfer of the ownership of these buildings to the local authorities or to organizations for the public good until their demolition. However, while these provisions were considered reasonable by all parties and satisfied the ‘sense of public justice’, they have – with very few exceptions – not been applied, due to the familiar inertia and involvement of the governmental bodies and the corruption and clientelism of local politics. However, this does not rob the provisions of their importance even today, since all remain in force and can be activated at any time, demonstrating once again that Greece has a wellstocked and well-provisioned – though inactive, unused and sometimes undermined – spatial planning armoury. 3.3 Zones foreseen in the national guidelines on coastal areas The need for the coastal zone to be organized and administered in a more integrated way and on a larger scale in the context of the guidelines laid down in international and European treaties and conventions necessitated the drawing up WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


15

of national guidelines on the basis of an institutional instrument foreseen by Law 2742/99: the Special Framework for Spatial Planning and Sustainable Development (SFSPSD). However, although drafting of the framework – which addressed Greece’s coastal space and islands – began in the late 1990s and the result was presented in 2003 as emergency legislation on Greece’s coastal and island space, it has yet to be implemented. The latest version of the Framework, which was submitted to the Ministry of the Environment for discussion in 2009, is substantially different from the original, due to developments in international and European-Mediterranean space, as well as to changes in Greek spatial planning policy. Specifically, the Framework now adheres to European models in promoting Integrated Coastal Zone Management (ICZM), defining the coastal zone more broadly both landwards and seawards, and introducing a three-way division of the coastal area into critical, dynamic and other/transitional zones, all of which have a terrestrial as well as a marine section and are subject to different provisions with regard to permissible construction and land uses. The landward limits of the transitory zone extend as far as the administrative boundaries of coastal municipalities, though not beyond or further than the 600-metre index contour line (Figure 9). These zones constitute the hinterland of the foreshore zone, and are equally important for the functioning of the coastal ecosystem and for the production activities that take place there.

Figure 9:

The coastal zone of Greece at the level of first-tier local authorities territorial units (marked in grey).


16 Sustainable Development and Planning V Undoubtedly, the Special Framework (national guidelines) for coastal areas is both necessary and useful for planning, since it can coordinate and incorporate the existing regulations governing the foreshore and the 500-metre enclosurefree zone. Still, although it regulates construction in each coastal zone in detail, the Framework does not reference the aforementioned coastal legislation and correspondences cannot be drawn between the two. In addition, the framework does not seem to correlate satisfactorily either with the already approved Special Framework (national guidelines) on Tourism or with regional and local spatial plans. However, quite apart from problems of internal cohesion and organization, the Framework seems to fail to address substantial issues relating to the degree of protection it provides for the coastal environment: its retention, for example, of a 50-metre setback from the shore for buildings in place of the 100-metre zone enforced in other countries, and its failure to ban roads running parallel to the coast, despite the pressure they exert for road-side constructions being extremely well-documented. It should be noted, too, that other Mediterranean countries (like Italy, Spain and Portugal) have introduced stricter provisions in relation to building on the coast (greater setbacks, stricter control of land uses etc.), while the Framework’s provisions aimed at reducing the coverage coefficient in the dynamic zone in relation to the institutional framework for spatial planning in general remain somewhat ineffective.

4 Conclusions In an era in which the greenhouse effect and desertification are making there presence felt ever more acutely as they pose a serious threat to the coastal and marine ecosystems in Greece and the Mediterranean, we need to look ahead to new organizational structures with a view to integrated planning for coastal regions. The ‘usual’ offices in the various ministries, regions, prefectures and municipalities that are usually called upon to solve the problems relating to demarcation, protection and administration are insufficient, as a result of which the all-important issues of coordination and cooperation between the bodies involved and the drafting and application of policy are totally ignored by the proposed regulations as they stand, which all fail to deal with the critical and important issues relating to the policy of creating a reserve of public land for the protection of the coastal environment. To date, management by means of a powerful and inspired national programme – significantly absent from the post-war planning landscape – has not served to redress this state of affairs. With the experience amassed thus far and the requisite political will, the legal and technical solutions can be found to create free common spaces in the backshore zone, and to do so without burdening the public purse excessively. In the coastal zone, an area beset by problems of land ownership, it is essential that a special mechanism be put in place for their solution, meaning something similar to the French Conservatoire du littoral adapted to the Greek situation, which will help in the drafting of a well



17

thought-out spatial planning policy for our coasts and provide the means for its application. There is also an urgent need to incorporate/adapt/codify legislation relating to Spatial Planning in order to coordinate the activities and programmes of all the parties involved. The integrated coastal zone planning management remains a complex issue and a difficult project requiring systematic approach and data gathering. This will have to lead to the drawing up of a strategy which will be in accordance with and make active use of the favourable provisions included in the international conventions and EU guidelines as well as in the Blue Plan produced by the UN Mediterranean Action Plan to make it possible –within clearly limits – to protect and develop a valuable natural resource of vast environmental and socio-economic importance.

References [1] UNEP/MAP/Blue Plan (2005), Report on Environment and Development in the Mediterranean –RED [2] Arnold, C. (2008), Mediterranean Islands, London: Survival Books [3] Benoit, G. & Comeau, A. (2005), Méditerranée: Les perspectives du Plan Bleu sur l’environnement et le developpement, Editions de l’Aube et Plan Bleu [4] UNEP/MAP/PAP-RAC (2010), Protocol on ICZM in the Mediterranean. Available at: http://www.pap-thecoastcentre.org/about.php?blob_id=56& lang=en [5] UNEP/MAP/PAP-RAC (2001), Coastal Area Management Programme CAMP: Strategic Framework for the Future Priority Actions Programme – RAC Split, May 2001. Available at: http://www.pap-thecoastcentre.org/ [6] DATAR (2004), Construire ensemble un developpement equilibre du littoral, Rapport sous la direction de Christine Bouyer, Paris: La Documentation Française [7] European Commission (2000a), Recommendation on the implementation of the Integrated Coastal Zone Management, Brussels: COM2000/545 [8] European Commission (2000b), Communication of the Commission on the Integrated Coastal Zone Management. A Strategy for Europe Brussels : COM 2000/547 [9] European Union – Council (2002), Recommendation of The European parliament and the Council on the implementation of the Integrated Coastal Zone Management, Brussels: Official Journal of the European Communities 2002/413, L148/6-6-2002 [10] European Commission (2007), Communication of the Commission. Evaluation Report on the Integrated Coastal Zone Management in Europe. Brussels: COM 2007/308 [11] Karyotis, T. (2010) “The Aegean and the European Union”, Journal Epikaira available at http://m-epikaira.gr/category/diethni/




19

Limits and possibilities for the promotion of sustainable development: the case of Northwest Region Fluminense D. C. Vivas Neto1 & E. A. Nascimento2 ¹Pro-Rectory of Extension, Brazil 2 Federal Fluminense University, Brazil

Abstract This paper aims to present partial results of the first stage of a participatory research conducted in the Northwest Region of the State of Rio de Janeiro, from July 2009 to June 2010. This region has the lowest HDI (Human Development Index) of the State of Rio de Janeiro, and the State Secretariat for Planning and Management projects for the next 25 years GDP to grow by only 4.11%, in total for the Region Northwest Fluminense. This reality prompted the formation of a working group consisting of social actors such as community members, representatives from the local government and the Federal Fluminense University, aiming to build innovative forms of development for this region. In this sense, we conducted a participant survey whose main steps were: data collection of the socio-environmental region, and systematization of information collected through discussion groups and seminars. As a result we created the Board of Municipal Secretaries of the Environment - COSEMA. This Council empowers its members to promote dialogue of environmental public policies in the region, establishing itself as a strategy for encouragement in order to radiate toward the state and federal political levels. Keywords: sustainable development, regional planning councils, governance.

1 Introduction Brazil lives, from the early years of the XXI century, a resumption of economic growth, a process interrupted in the 80s. Major Projects and programs are being implemented in different regions that compose it. The state of Rio de Janeiro, a part of the Southeast, is one of the cities that have received large investments, WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110021

20 Sustainable Development and Planning V particularly in sectors related to infrastructure of the oil and steel industries. This fact is extremely interesting and raises the need for monitoring by civil society, given that historically there was no equity in the spatial distribution of investments. This created an imbalance between regions, causing some of them to have their own development process compromised. The Northwest Fluminense is one of them, as will be shown in this article. At a time when growth is resumed, it is necessary with actions that work toward not only contributing to an equal distribution of resources, but also ensure the promotion of sustainable development. The COSEMA is an entity committed to ensuring the achievement of these goals. Organized in 2009, it consists of the secretaries of the environment, with direct assistance of technicians from the Federal Fluminense University. Its creation has proved positive, it has contributed to the concept of sustainability being disseminated widely and incorporated in the administrations of the municipalities that compose it. It has also given visibility to the region in the state and national scene, which is important for fundraising. Moreover, it has contributed to the promotion of sustainability. These initial actions contribute to sustainability in political, economic and social environments. These have been the possibilities. However it has limits. As one of the technicians involved in advising, I see the lack of a deeper vision of sustainability and its meanings in the administrative setting. Still missing is the inclusion of other dimensions such as economic, demographic, cultural, institutional, technological and legal space.

2 Northwest Fluminense: pictures of unsustainability The differentiated destination of economic resources between different regions of Brazil, due largely in recent years, is a result of the political alliances but primarily because of a development model – hub and exclusion. The first stage of this model starts from the 50s, when Sao Paulo and Rio de Janeiro were chosen to receive investments that would enable the structuring of industrial capital. The other states and regions have been relegated, causing a disruption to their economies and population depletion [1]. In the 70s, investments were directed to monopoly capital, to ensure conditions for its reproduction and expansion. In that context, it has become crucial "to create conditions for the development of reproductive dynamics (the capital) and infrastructure for its implementation" (Jacobi, 1989, 8). In this sense high investments were made mainly in industry power generation and at specific points, creating more disruption and deflation. At that time the RJ was not included, which caused a slowdown of their activities, with different implications in each of their regions [2, 3]. Northwest Fluminense was one of the most affected regions. The designation "North Fluminense" served to denote a portion of territory that covered the entire northern part of the State of Rio de Janeiro (Fig.1), without considering the current division into North and Northwest Fluminense. Until the 1970s, the territory was covered by Microregion of Campos, and the Micro-region of Itaperuna, Microregion of Miracema. The official name of North Fluminense WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


21

occurred in 1975, along with the three micro-regions mentioned above, plus the city of Itaocara. In 1980, the name becomes North Fluminense Mesoregion. Only in 1987 the Greater Region Northwest Fluminense is separated from the North Mesoregion [4, 5].

Figure 1:

Northwest Region of Rio de Janeiro state.

With the economy based on the alcohol industry ("sucroalcooleira"), coffee and livestock production, the region known as the most innovative and dynamic state, suffered a huge decline in socioeconomic status from the 80s of the 20th Century in the context of national economic crisis and crisis of the state of Rio de Janeiro [4,5]. Today the region presents a framework for sustainability as show below: The concept of "sustainability" expressed different dimensions and related concepts of organic and systemic ways. Hence the environmental sustainability, ecological sustainability, social sustainability, political sustainability, economic sustainability, demographic sustainability, cultural sustainability, institutional sustainability, territorial sustainability, technological sustainability and legal sustainability. For a brief analysis of the unsustainability of the Northwest Region we will take as a reference the environmental, social and economic sustainability [6, 7]. Economic unsustainability – The Northwest Fluminense is showing inefficiency in the management of financial and natural resources, characterized by irregular flow of public and private investments, according to a macro assessment. The PIB of State in 2007 was R$ 324,370,491,236.30, which the Metropolitan Region of Rio de Janeiro accounted for 73.61%, followed by North Fluminense with 10.79%, the South with 7.58 %, the Baixada with 5.18%, the Centre with 1.77% and finally the Northwest Region with 1.07%, this was the area that contributed the least to the generation of wealth in the State of Rio de Janeiro [4]. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

22 Sustainable Development and Planning V Environmental unsustainability – The Region Northwest Fluminense in the face of anthropogenic interference, throughout its history of occupation, its ecosystems had changed significantly, reducing or even preventing the natural self-purification that still exists. Its cover was dramatically changed due to the occurrence of fire and clearing for agricultural exploitation. Biodiversity loss is also closely linked to land conflicts by urban sprawl in areas of risk or protection. The present forest fragments are small and dispersed, causing dryness of the soil. This is a significant environmental harm, given that it increases the risk of erosion. The Atlantic Forest, before existing, mostly gave way to pastures, which occupy most of the Northwest region and are distributed in all types of relief. These areas are up to four times the amount of forest cover remaining. However, although the grasslands occupy large tracts of land, they do not guarantee a large livestock production, since these have low productivity because of soil degradation [4, 5]. The rainfall in the region has decreased considerably over the last 40 years. The distribution of average annual rainfall records low levels in the region ranging between 750 mm and 1,250 mm per year [5]. Regarding water supply, the Northwest region has experienced serious supply constraints, both for human and animal consumption, due to the scarcity of recent years. Rampant deforestation of the few remaining forests, use and inadequate management of soil erosion has led to making the soil less permeable. Another contributing factor to this scenario is low and poorly distributed rainfall, which is concentrated in the summer months, causing rivers, streams and shallow wells dry up the region for most of the year. Thus there is a loss for the full recharge of water systems, leading to the disappearance of temporary rivers, siltation of rivers and the disappearance of springs, which compromises the integrity of ecosystems [5]. Social unsustainability – The Northwest region presents intergenerational cycles of poverty and chronic poverty, lower average education level, low levels of income for most of the economically active population, migration, urban violence and crime. This region has the lowest HDI (Human Development Index) of the State of Rio de Janeiro and the State Secretariat for Planning and Management projects for the next 25 years the GDP to grow only by 4.11%, in total for Region Northwest Fluminense. The chart below shows a scenario for 2035, comparing the evolution of PIB between the North and Northwest Fluminense [4, 5]. The large informal labor market and areas of poverty, with a visible lack of infrastructure, show that the Northwest presents itself impoverished and weakened in various social areas. The region faces a shortage of qualified manpower, wherefore local initiatives need measures of productivity and commercialization. The existing scenario in the region is that environmental, economic and social rights are incompatible with sustainable development proposals drawn from the 80s. The challenge posed is the pursuit of development. In the next section will WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 2:

23

North and Northwest region Fluminense, GDP, 2005–2035.

be shown how the actions of the Council of Secretaries of the Environment has contributed to overcoming this challenge. 2.1 The councils as alternative sustainable development The presence of the Fluminense Federal University in the region, through extension activities, allowed an assessment of the issue and the organization of a working group. During the performance of the National Environmental Health Conference, in São José de Ubá, Rio de Janeiro, in 2009, was presented to the plenary, to vote on the proposal for a council meeting secretaries of the area's environment. In the recent history of Brazil can be identified at least three types of councils: a) government – these were created by the executive government in the context of populist governments, taking a mediating role between the government and society, represented by popular movements and organizations; b) popular – emerged in the popular movements to facilitate negotiations with the government, notably in health, education, services and urban facilities, and; c) institutionalized – these were created by laws from the legislative branch, with opportunities to participate in the management of public affairs. They are management councils, created from the 90s [8]. This method was considered to be interesting for the purpose of moving toward sustainability. The COSEMA has the following characteristics:  It is composed of secretaries of the environment.  It has regional coverage – territorial scale intermediate between the state and municipality.  It has as its goal the promotion of sustainable development in its many dimensions – public policies of the long-term.  It has direct technical assistance to public universities and research centers. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

24 Sustainable Development and Planning V  The work methodology consists of participatory research, whose development was based on procedures built by Bellagio [9]. According to the author is required:  To have a clear vision of sustainable development and goals that define it;  To revise the current system as a whole and in parts, considering the well-being of social, ecological and economical subsystems, its states, to change the direction and rate of change in relation to these states and their interrelationships;  To consider the positive and negative consequences of human activities in ways that reflect the costs and benefits to humans and ecological systems, in monetary and non-monetary ways;  To consider the issues of equality and disparity between the current population and between present and future generations, evaluating the use of resource consumption and poverty, human rights and access to basic services;  To consider the ecological conditions of which life depends;  To consider economic and other activities outside the market, contributing to human welfare and social development;  To adopt a plan of long horizon – long enough to cover the time scales of human and natural ecosystems, thus responding to the needs of future generations, but also those who need short-term planning;  To define the scope of work, broad enough to include the impacts locally and regionally (globally) on the population and ecosystems, based on historical and current conditions to anticipate future conditions – where to go, where one can go, and  To use an organizational structure that connects the vision and goals to indicators and assessment criteria, using a limited number of points for analysis, a limited number or combination of indicators to get a clearer signal of the process, standardize measures when possible, to allow comparisons, comparing indicator values to targets, reference values or limits.  The methods and data must be accessible to everyone, all judgments, assumed values and uncertainties in data and interpretations should be provided.  To be designed to meet the needs of the community and its users, using indicators and other tools that can stimulate and bring the attention of governments, seeking simplicity in structure and use accessible language.  To obtain effective community representation, professional people, social groups and technicians, to ensure diversity and recognition of values used. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


25

possibility of changing complexity of the systems, structures set goals and indicators as new knowledge and ideas are coming; promote the awareness of society so that it can meet those who make the decision.  Indicate responsibilities and obtain priority in the management process and decision; provide institutional capacity for collection, maintenance and documentation of data, and, ensure and provide capacity to local assessment. 2.1.1 The actions of the board So far several actions can be identified at the municipal, regional, state and federal levels, as shown below: Expansion and dissemination of the concept of sustainability – Although board members had as its goal the construction of sustainability, they lacked an understanding of the meaning of it. With the advice of the University were conducted workshops in which they had the opportunity to discuss the concept in general and the operation in the region. Promotion of political articulation – The COSEMA created an agenda of meetings with the aim of presenting the reality experienced by the secretaries in their respective municipal units. During these meetings the secretary that had not shared their difficulties, began a process of conversation. Thus was organized by COSEMA a meeting in the Miracema city, with the presence of the Secretary of State for Environment (SEA), Chairman of the State Authority for Environmental (INEA), the region's Mayors, Secretaries of the environment, civil defense and education, and civil servants of secretariats, and Fluminense Federal University. Through the elaboration of strategies, discussed in meetings between the secretaries, are certain plans of action made, with the objective of coordinating the various municipalities within the region and state and federal government. Systemic and holistic approach to the problems – the environmental, social and economic commitment, development that hitherto was not discussed or discussed piecemeal, for each municipality, now begin to have a systemic and holistic approach at regional level. The most significant example is facing the problem of flooding in the region. Before the creation of COSEMA, the problems were treated in a timely fashion, being confined to assistance in engineering, without any reference to environmental issues. Today it’s part of the agenda of the meetings that address this problem, deforestation and the need for reforestation, the illegal occupation of marginal strips and the need for a housing policy in the region, the release of waste into rivers and the need for a sanitation policy and change of the local culture through Ecocidadania program. The incorporation of these issues by COSEMA has occurred through a new performance of secretaries with regard to the implementation of environmental education. This was confined to the bead of the secretary of education, addressing in a timely manner, the physical, chemical and biological aspects. The reflections of the members of COSEMA, especially those relating to sustainability and its dimensions, have contributed to some actions being implemented in municipal management. One of them within the basic education WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

26 Sustainable Development and Planning V was a bailout of the municipal gardens, which were solely linked to the production of exotic fruit tree seedlings, now presenting themselves as pedagogical space to develop projects and programs offered by Ecocidadania to the local community. Besides the production of seedlings of exotic trees, some day nurseries produce tree seedlings of Atlantic native, for the reforestation of degraded areas and to farmers for planting in the areas of permanent preservation – APP on their properties. The next step is to establish the region as a major producer of tree seedlings in the Atlantic Forest, since the state lacks sufficient seedlings to meet demand for planting. Regional articulation – Despite having been important in the past and may take a strategic position in the economic outlook, the Northwest Fluminense had little visibility in the state and on federal level. Visibility and articulation of COSEMA in federal and state administrations allowed the purchase of an accent on CONAMA, the only region of the state of the CONAMA environment at the federal level. The presence of representatives from Northwest Fluminense in this important region gives advice on environmental scenarios. And by presenting their needs, they can obtain the resources or make laws that help to address issues specific to the region as well as other regions who suffer from the same issue. Strengthening of regional social and environmental identity – Although close, the municipal units are unaware of the reality of their neighboring counties, in social, political, environmental and institutional aspects. During the workshops held in the Clerks COSEMA environmental rescue stories of the occupation, the impact of economic activities on the environment, especially in their agropastoral districts also had the characteristic and difficulty of their respective municipalities, which were discussed by all contributing to the formulation of proposals to confront these issues at the regional level. Addressing issues from the perspective of sustainability – Data and information presented at meetings by members of COSEMA are disclosed in their respective halls. Although there is still public policies for sustainable development in the region, this procedure is an established concern on the municipal and state levels. An example is the routing that is being given to disposal of solid waste in the region, the waste from each municipality was discarded improperly, so participants of COSEMA act as organizers and facilitators in the process of building the Northwest Landfill II. Fundraising – To lessen the difficulty of obtaining financial resources and materials, the members of COSEMA identifying the lack of material from the Department and which threatened the progress of environmental management activities in the municipalities, has drafted a proposal that included the acquisition needs of equipment by the departments in the region and collectively presented this proposal to state power. Another strategy observed in the activities of COSEMA, was to strengthen the discussion on the GST-Eco Programme of the state government to transfer resources to municipalities from the achievement of goals related to improving the environmental capital of the municipalities. Socialization strategies for access to the resource-ecological ICMS enabled the



27

increase in tax collection by municipalities and to later transfer these resources to the departments of environment. The monitoring of activities with low environmental impact, is undergoing a process of decentralization, leaving the municipalities to perform them. On one side this brings the resources to fund municipal environment, but then requires the existence of a qualified and diverse staff. However, the individual local municipalities did not have human resources to meet this demand. The COSEMA suggested creating a database of experts consisting of professionals from municipalities of the region, the idea is that this bank account not only supervision, but also other needs of the region.

3 Conclusion As shown at the beginning of this article, COSEMA has among its goals the overcoming of unsustainability and the promotion of sustainable development for the region. Of course this requires a long period of time and the presence of several actors of all segments of society. Community participation is important, especially for the historically excluded. We must create effective channels of social participation of the grassroots, encouraging the presentation of demands, dreams and contributions coming from the living land. It also requires effective environmental education programs, formal and informal, and at all levels of education. At the top level, which prepares future managers and technicians, the inclusion of environmental education becomes more necessary. And finally, we consider the important role of state and federal governments in the determination of sustainable strategies in formulating their plans, in the short, medium and long term. Therefore, the actions of COSEMA must be accompanied by strategies that enable the participation of society, contributing to the implementation of environmental education programs and public policies that contribute to sustainable development. Despite the non-fulfillment of these requirements, the action of COSEMA has been important in combating the environmental unsustainability, above all in relation to the recovery of degraded areas by planting and production of forest seedlings. These actions will help to reverse the sedimentation basin that we observe in the fabric of the region, facilitating the replenishment of aquifers and therefore alter the microclimate of the region, competing with more stable levels of humidity and temperature. The COSEMA has spurred the creation of conservation units in the municipalities of San José de Ubá, Santo Antônio de Pádua and Miracema. These units have already been created for prediction of new ones. The creation of a network of protected natural area, points to a sustainable management of biodiversity, establishing the connectivity of forest fragments and preventing the extinction of endemic species in the region. An important fact is that the departments of environment in the region, while critical sectors of the municipal administration were neglected in relation to financial resources and personnel, did not have enough space and did not have WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

28 Sustainable Development and Planning V financial resources and personnel, did not have enough space and did not have estimates of appeal in the municipal budget, lacked a local action plan. COSEMA with the actions of the municipal environment has been strengthened politically and technically, enlarging the channels of conversation and possible involvement in the sustainable management of municipal and regional level. As demonstrated, the possibilities are endless and the limits for establishment of sustainable development in the region tend to be overcome by strengthening COSEMA, that can be achieved through the contribution of universities under extension, teaching and research.

References [1] Abreu, M.A. A Evolução Urbana no Rio de Janeiro. Zahar: Rio de Janeiro, 1988. - book [2] Pochmann, M & Amorim, R. A exclusão social no Brasil. Cortez: São Paulo, 2003. - book [3] Castells, M. A. Questão urbana. Paz e Terra: Rio de Janeiro, 1983. - book [4] Secretaria Estadual de Planejamento e Gestão Rio de Janeiro. Plano de Desenvolvimento Sustentável do Norte e Noroeste do Estado do Rio de Janeiro: (Cenários e Estratégias), 2010. - Report [5] Secretaria Estadual de Planejamento e Gestão Rio de Janeiro. Plano de Desenvolvimento Sustentável do Norte e Noroeste do Estado do Rio de Janeiro: (Análise SituacionaI), 2010. - Report [6] Bidone, E.D. & Morales, P.R.D. Introdução a noção de desenvolvimento sustentável In:__. Desenvolvimento sustentável e engenharia. Rio de Janeiro: Fundação Ricardo Franco, 2004. p.17-34. – chapter in a book [7] Sachs, I. Caminhos para o desenvolvimento sustentável. Rio de Janeiro: Garamond, 2009. 96p. - book [8] Gohn, M.G. Conselhos populares e participação popular. In: Conselhos gestores e participação sociopolítica. São Paulo: Cortez, 2001. p.65-82. - chapter in a book [9] Philippi Jr., A. Pelicione, M.C.F., Saúde ambiental e desenvolvimento. In: Educação ambiental. São Paulo, 2005. p.59-84. - chapter in a book



29

Abu Dhabi efforts in facing global warming challenges through urban planning M. Alameri & G. Wagle Masdar City, Abu Dhabi, UAE

Abstract During the past few decades there has been a growing interest from governments, politicians, decision makers, urban planners and engineers to create sustainable communities planned as ideal built environments that provide communities with the highest quality of life style and standards with the lowest carbon footprint within a feasibly economic envelope. This interest is stirred from the recognition of the world’s resources decreasing in a way that the supplies do not match the demand as populations grow and industry spreads. Recent studies are referring to sustainable cities holding the key to climate change. The first of these developments or cities will be a catalyst for future change in understanding the creative science of urban planning. We acknowledge that cities are the outputs of political, economic, geographic and climatic, social and culture inputs. The answers revealed from building sustainable developments such as Masdar city in Abu Dhabi will be the data for forming the basis of future government policies for all developments in the region with similar circumstances and climate and social conditions. Keywords: global warming, climate change, temperatures, urban planning, sustainable developments.

1 Introduction This paper explains how the Masdar Initiative has been conceptualized to be the test bed for technological advancements and setting the standards for sustainable urbanism. The Masdar City development is aimed at demonstrating the principles of sustainable development and shows how an integrated approach to master planning, transportation and infrastructure planning can produce a


30 Sustainable Development and Planning V sustainable integrated city where people can live in a safe and secure enhanced environment with reduced impacts which are experienced by inhabitants of traditional cities.

2 Global warming and climate change – initiative The definitions of ‘Global Warming’ and ‘Climate Change’ are very broad and vast and have different wordings from one scientist to another. ‘Climate Change’ is often used interchangeably with the term ‘Global Warming’. However, for consistency, it is important to define the terms of use. ‘Global Warming’ is generally explained as the increase in the average temperature of the Earth’s near-surface air and oceans since the mid-20th century and its projected continuation. Most of the observed temperature increase since the middle of the 20th century has been caused by increasing concentrations of greenhouse gases, which result from human activity such as the burning of fossil fuel and deforestation. ‘Climate Change’ in common parlance, refers to any significant change in measures of climate such as temperature, precipitation, or wind lasting for an extended period – decades or longer. Climate change may result from natural factors, such as changes in the sun’s intensity, natural processes within the climate system or human activities that change the land and atmosphere’s composition. The effects of global warming resulting in climate change have had a direct influence on mankind and its existence over centuries. Throughout its five billion year history, environmental change has been transforming the Earth. The records of environmental change are well explained, as revealed by data from various archives such as ocean sediments, ice cores, terrestrial deposits (such as glacial moraines and lake sediments), tree rings and historical and meteorological records. The dynamism of planet earth to adapt to environmental change is especially well illustrated by the changes that have occurred during the past three million years. During this period, cycles of climatic change have been dominant, involving fluctuations in global temperatures by as much as 10ºCelsius including warm episodes similar to those of the last ten thousand years. However, it is also the predominant truth that environmental changes have a tremendous impact on the natural ecosystem. The changes in natural ecosystem have had a direct influence on mankind, which are generally explained as the harmful effects. One of the predominant reasons for the negative effects is human activities that change the atmosphere’s composition through burning fossil fuels and land degradation through deforestation, reforestation, urbanization, desertification, etc. To alleviate these negative effects, it is very important to respond to climate change with positive measures such as mitigation to reduce emissions, adaptation to the effects of global warming, and geo engineering to remove greenhouse gases from the atmosphere or block incoming sunlight.



31

3 Effects of global warming and climate change on Abu Dhabi 3.1 Background The United Arab Emirates (UAE) has an area of an approximately 777 sq.km; and a population of 5,671,112 according to the 2009 statistics. The political system of the UAE is based on the 1971 Constitution and comprises several intricately connected governing bodies. It is currently the thirty-sixth largest economy at market exchange rates, and has a high per capita gross domestic product, with a nominal per capita GDP of $46,584 as per the International Monetary Fund. The country is the fourteenth largest in purchasing power per capita and has a relatively high Human Development Index for the Asian continent, ranking 35th globally. Abu Dhabi is the largest of the seven emirates which constitutes United Arab Emirates. Abu Dhabi is the political capital of the UAE, positioned off the Arabian Gulf and in the middle of the Middle East. The population is only about 1.4 million people. 3.2 UAE and its transformations UAE has the world’s sixth largest oil reserves and is one of the most developed economies in the Middle East. The discovery of 10% of the world’s oil deposits provided an accelerator to bring a major, rapid transformation to his people in various fields – housing, education, health care as well as other essential aspects and social services to the country’s nationals and expatriates. The prosperous nation bears responsibility to bring the very best, if not the best of the best to the inhabitants of the place. 3.3 Urban transformations and its impact The discovery of oil primarily in the Emirate of Abu Dhabi was a huge economic boost for the United Arab Emirates. The economic boost not only benefitted Abu Dhabi, but also benefitted the neighboring emirates with Dubai reaching the pinnacle of glory in terms of economic development and urban growth in 2008, before the global downturn. In its efforts to keep abreast with the growing economies of the world, UAE could not be left behind in terms of developmental pressures. In spite of its cautious approach, economic growth of UAE has led to a high influx of manpower which has impacted the scarce available resources. Much has been written about the country’s impressive stock of modern buildings, public and private, residential and non-residential, and the country’s infrastructure. Nevertheless, very little or in some cases hardly any documentation has been filed on the country’s construction industry and the process that was followed to create these facilities. Abu Dhabi has resisted the urge to exhibit its prosperity and has carefully planned its investments so as to ensure a deep connection with heritage; the environment and its people. Emirate of Abu Dhabi is a confluence of marine and desert environments. A balanced development of both these environments is the key to the success of WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

32 Sustainable Development and Planning V sustainable development of the emirate of Abu Dhabi. The urban settlements of the Emirate of Abu Dhabi are mainly concentrated on the Island area and the immediate vicinity of the island. The rest of the emirate of Abu Dhabi consists of fragile desert ecosystem which is mainly inhabited by the original local inhabitants. Rapid urbanization and its impacts are primarily concentrated in and around the island area, which felt the immediate impacts of urban transformations. The immediate impacts of global warming and climate change likely to affect Abu Dhabi are the rise in sea levels which is accelerating at an alarming pace. There is a plausible concern for sea level change that would actually raise the sea level above the current infrastructure that would imply flooding, essentially. Leading academics have warned that Abu Dhabi must invest in research and infrastructure if it is to combat the risk of flooding due to climate change. A report earlier this year by the Environmental Agency – Abu Dhabi, entitled ‘Climate Change: Impacts, Vulnerability and Adaptation’, said that around 85 percent of the population and more than 90 percent of the infrastructure in the UAE was located within several meters of the shoreline, and in low-lying areas. It also stated that “the potential exposure of the UAE, Abu Dhabi in particular, to the impacts of sea level rise given its current socioeconomic conditions in coastal areas is quite significant” [1]. There were two solutions to the threat of rising sea levels: reduce carbon emissions by burning less fossil fuel or “build walls around the perimeter of coastlines and migrate softly inland”. David Holland, director of the Center for Atmosphere Ocean Science at New York University, quoted in Arabian Business – ‘The complexity of the problem is that you cannot solve regional sea level change issues until you solve the global one and once you get a handle on the global change then you can figure out what it implies for the region’ [1]. It is clearly evident that managing the impacts of sea level rises due to global warming will be the most important task in the next few years.

4 Role of government in influencing sustainable developments – with specific reference to Abu Dhabi Time and again, cities are blamed for the inadequate consumption of our natural resources due to the flaws of design and overlooking of basic factors that would make a significant difference in our planning and utilization of natural resources. However, Urban Planning of cities it’s not just related to resources and the environment but also should involve social, economic and political process for it to succeed. During the past few decades there has been a growing interest from Governments, Politicians, Decision Makers, Urban Planners and Engineers to create sustainable communities planned as ideal built environments that provide communities with highest quality of life style and standards with lowest carbon footprint within a feasibly economic envelope. This interest is stirred from the recognition of the fact that as urban growth increases, world’s resources are



33

decreasing in a way that the supplies do not match the demand as populations grow and industry spreads. ‘Sustainable Urbanism’ – With the power of design and an emerging pattern of human settlements, holds the promise of strengthening the interdependence of all life on earth. Many progressive leaders now envision and champion a winwin balance between humanity’s need, both social and economic, and those of nature. An increasing number of those leaders recognize the power of thoughtful urbanism to induce people to voluntarily live a more human powered and less resource intensive lifestyle. A small but fast growing number of leaders are now beginning to recognize opportunities to enhance the inherent sustainability of a walk able, diverse urbanism integrated with high-performance buildings and infrastructure [2]. The importance of environmental and ecological sustainability was well understood by the leadership of Abu Dhabi. Quoting the thoughts of Late Sheikh Zayed Bin Sultan Al Nahyan: ‘We cherish our environment because it is an integral part of our country, our history and our heritage. On land and in the sea, our forefathers lived and survived in this environment. They were able to do so only because they recognized the need to conserve it, to take from it from it only what they needed to live, and to preserve it for succeeding generations.’ These thoughts clearly underline the thoughts of Abu Dhabi’s leadership and their keenness in promoting the sustainable development of Abu Dhabi. Abu Dhabi is committed to taking its part in the global effort to combat climate change. The Emirate’s leadership recognizes its responsibility to be a part of concerted international efforts to reduce the volume of greenhouse gases released into the atmosphere – through development of renewable energy, reducing demand for power and addressing the carbon produced by industry, utilities and transport. The government of Abu Dhabi has directly committed itself to strengthen and develop four key priority areas:  Economic development.  Social and human resources development.  Infrastructure development and environmental sustainability.  Optimization of Government operations. Developing appropriate infrastructure, while preserving the environment, forms one of the key priority areas.

5 Abu Dhabi plan 2030 and the initiative to promote sustainable developments The Abu Dhabi Urban Planning Council which was created by Emiri Decree number 23 of the year 2007 and is the agency responsible for the future of Abu Dhabi’s urban environments, and the expert authority behind the visionary Plan Abu Dhabi 2030 Urban Structure Framework Plan published in September 2007. Chaired by His Highness Sheikh Mohammed Bin Zayed Al Nahyan, Crown Prince of Abu Dhabi and Chairman of the Abu Dhabi Executive Council, the Abu Dhabi Urban Planning Council defines the shape of the Emirate, ensuring WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

34 Sustainable Development and Planning V factors such as sustainability, infrastructure capacity, community planning and quality of life, by overseeing development across the city and the Emirate as a whole. The Abu Dhabi Urban Planning Council ensures best practice in planning for both new and existing urban areas. Abu Dhabi Urban Planning Council (UPC) is the driving force behind the initiate, drive and supporting Abu Dhabi’s urban development strategy. They have transformed Abu Dhabi’s 2030 Vision to physical settings, developing strategic development plans that create guiding principles which cascade over critical projects designed to shape the Emirate. The vision is built on a comprehensive analysis of the urban fabric, land availability and its best use, environmental issues, mobility, infrastructure and urban services that need to be integrated in the City Development Strategy. The environmental and ecological context for Abu Dhabi’s Urban Structure Plan is directed by three key elements:  The reality of its landmass existing as an archipelago;  Its position at the intersection of desert and coast; and  The uniqueness of an abundance of fossil fuels [3]. With the expertise of the Abu Dhabi Urban Planning Council, the government will ensure the development of a professionally designed and well-managed urban environment in the Emirate’s towns and cities complete with world-class traffic and transport systems. The simultaneous development of the Regions is to keep pace with that of the Capital. It is also an important policy priority to achieve an Emirate-wide distribution of economic activities and associated benefits. The Plan Abu Dhabi 2030 Urban Structure Framework Plan [3], which offers a vision for the evolution of the city over the next 25 years, provides a blueprint for Abu Dhabi’s long-term success. As the first planning program of this kind and scope within the region, the work of the Urban Planning Council will become a best-practice benchmark for future urban design within the UAE and beyond.

6 Masdar city as an exemplar for sustainable development 6.1 Masdar initiative As the first major hydrocarbon-producing economy to take such a step, Abu Dhabi has established its leadership position by launching the MASDAR Initiative. The MASDAR Initiative driven by the Abu Dhabi Future Energy Company, a wholly owned subsidiary of the Mubadala Development Company is a global cooperative platform for the open engagement in the search for solutions to some of mankind’s most pressing issues – energy security, climate change and the development of human expertise in sustainability. Abu Dhabi is leveraging its substantial resources and experience in global energy markets into the technologies of the future. One key objective of MASDAR is to position Abu Dhabi as a world-class research and development hub for new energy technologies, effectively balancing its strong position in an evolving world energy market. A related objective is to drive the commercialization and adoption of these and other technologies in sustainable WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


35

energy, water conservation and waste management and in doing so; MASDAR will play a decisive role in Abu Dhabi’s transition from technology consumer to technology producer. The goal is to facilitate the establishment of an entirely new economic sector in Abu Dhabi around these new industries, which will assist economic diversification and the development of knowledge-based industries, while enhancing Abu Dhabi’s existing record of environmental stewardship and its contribution to the global community. Firmly networked into the global economy, these industries will transform Abu Dhabi’s economic role and will contribute to the development of national and regional economies. When that is accomplished, Abu Dhabi will then have completed its transition from a 20th century, carbon-based economy into a sustainable 21st century hightechnology economy. It will also be setting the pace as a global leader in the energy industry, in technology and in sustainability. Masdar Initiative signals a bold commitment to renewable energy and sustainable technologies that will enable the emirate of Abu Dhabi to remain a global energy industry leader to prepare its citizens for a post-oil future and help mankind find a development model that is sustainable. 6.2 Masdar city – setting the standard for sustainable developments Masdar City is the physical embodiment of the Masdar Initiative. Fully rooted to the principles defined in Plan Abu Dhabi 2030 vision, Masdar City is committed to advancing Abu Dhabi’s drive towards a sustainable Arab capital that focuses on:  Advancing renewable energy technologies  Mitigating climate change  Diversifying the economy  Preparing Abu Dhabi for a clean energy future. Sustainable cities hold the key to climate change. The first of these developments or cities will be a catalyst for future change in the understanding the creative science of urban planning. The answers revealed from building sustainable developments such as Masdar City will be the data for forming the basis of future government policies for all developments in the region with similar circumstances and climate and social conditions. Aspiring to be one of the most sustainable communities on the planet, Masdar City not only embodies Abu Dhabi’s commitment to a sustainable future, it is the place where best practice in sustainable urban planning and development is being developed, tested and deployed. It provides an attractive environment for cleantech firms, academic institutions, research facilities, financial firms and other organizations to collaborate and develop new technologies and solutions. 6.3 Masdar city – location and context Masdar’s development site of approximately 600 hectares supports sustainable planning considerations in terms its strategic location adjacent to the principal urban and regional transport infrastructure of Abu Dhabi. It is located between the principal access roads, Airport Road and Abu Dhabi-Dubai Road, linking WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

36 Sustainable Development and Planning V Abu Dhabi to the airport and to Dubai beyond. Further, its immediate adjacency to the international airport gives the Masdar development significant potential to become a strategic and emblematic gateway into Abu Dhabi. As such, the Masdar development has the capacity to be the first and parting emblem of Abu Dhabi’s sustainable development and environmentally sensitive socio-economic growth. 6.4 Masdar city – master plan Conceptualized on the principles on One Planet Living, the master plan for Masdar City aims to establish the world’s first carbon neutral, zero waste desert community. It is rooted in a sense of place, shaped by the specific climate of Abu Dhabi. It is inspired by traditional desert settlements, which are compact and oriented so that the buildings provide shade and the narrow compact streets channelize cooling air currents. The project is an opportunity to start from scratch to actively minimize energy demand through the planning and orientation of the urban grid. In this way, it goes far beyond reducing the environmental impact of an individual building. Working at the scale of the integrated city, it addresses housing, education, work, transport and infrastructure, energy, water, and issues of density together, with the aim of achieving a carbon neutral, sustainable community. The goal of Masdar is to provide residents with the highest quality of life with the lowest environmental footprint. To achieve this goal the City is based on the principles of sustainable urban design:  Low rise high density accommodation.  Sustainable transportation.  Dense Neighborhoods.  Controlled spread of development [4]. The Masterplan proposes the use of current and emerging technologies at an unprecedented scale. 6.4.1 Urban design Masdar City is conceived as a modern Arabian city, with a focus on developing the sustainable technologies of the future. The master plan design relies on passive environmental controls, using the buildings’ orientation and compact form to reduce energy demand naturally. Masdar City is inspired by the first cities of the Middle East which were models of sustainable development and largely self-sufficient. Their fabric and orientation was dictated by locally available materials and the climate and more importantly, walk able cities. The compact city form to maximize shade and walk ability may have resulted into high density developments. Masdar City has adopted this model, rejecting the more recent model of urban planning that revolves around the personalized vehicle and the transportation network. The city’s urban fabric is defined by two city squares – the large square, approximately 225 Hectares and the small square, approximately 52 Hectares in size. The City squares are also characterized by linear parks which are oriented WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


37

in the direction of wind movements and facilitate the wind movement through the city squares. The land surrounding the city squares contains photovoltaic farms, research fields, utility structures and recreation areas, allowing the community to be entirely self-sufficient. The buildings are low-rise and the development is completely integrated where residents find everything they need close to hand. 6.4.2 Transportation Masdar City is a true demonstration of the concept of sustainable transportation. Transportation plays a pivotal role in sustainability and truly efficient transportation – walking, bicycling, and transit use – is only possible where there is compact, urban form. In keeping with the form of traditional Arab communities, Masdar City incorporates narrow streets, shaded pathways and courtyards. These create an attractive, comfortable pedestrian environment and, at any point in the city, the nearest public transport link is conveniently within a 250 meter range. One of Masdar’s aims is to provide a test-bed for innovative concepts and systems, and this is demonstrated through the complete integration of walking and cycling with five public transport systems within and outside the city:  The driverless Personalized Rapid Transit (PRT) system linking Masdar Institute to its car park.  The orbital Group Rapid Transit (GRT) system that is positioned encircling the city’s centres providing easy access to the citywide fabric.  The LRT through the city providing access from outside and distribution within Masdar forms the spine of the city.  The Metro that will provide a direct service into Masdar from Abu Dhabi’s CBD and other parts of Abu Dhabi city.  The point-to-point premium service using electrically powered E-taxis for direct travel in the city for those who cannot or do not want to use the other systems. It is introducing a new age of public transport provision that offers a safe and clean way of reaching your destination. 6.4.3 Infrastructure In the industrialized world, buildings and the activities within them consume roughly a third of the energy we generate and produce a third of the carbon dioxide emissions. Together, the combination of buildings and infrastructure accounts for almost three quarters of the energy consumed in an industrialized society. A holistic approach is therefore needed, which looks at infrastructure and buildings in an integrated way – to be effective, such an approach requires a bold political initiative. Masdar City’s energy strategy addresses demand as well as power generation and incorporates a range of strategies designed to promote a sustainable way of life. Once fully built, Masdar City will be fully powered by renewable energy, and solar power will satisfy the majority of energy required. The city’s power needs will be substantially lower than conventional cities in the region. A 10MW WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

38 Sustainable Development and Planning V solar photovoltaic plant is already operational within Masdar City. In addition to solar energy, Masdar City is exploring the viability of geothermal, waste-toenergy and solar cooling technologies that use the power of the sun to run airconditioning units. Masdar City’s water needs will be less than half that of conventional cities in the region. To achieve this, the city employs a broad array of technologies to reduce water consumption, including high efficiency appliances, smart water meters and highly efficient irrigation systems. Wastewater will be treated at the city’s wastewater treatment plant and treated water will be re-cycled for irrigation. Masdar City waste strategy aims at significantly reducing waste, encouraging a low-waste lifestyle through the reduction, reuse, recycling and recovery of waste materials. Most waste that cannot be recycled will be treated in a thermal treatment plant, where it can be converted to energy. Sustainable Urbanism is the need of the hour. The integrated design of landuse, transportation and infrastructure is the cornerstone of the principles of sustainable urbanism. Time is the essence in adopting the reforms of sustainable urbanism. Masdar City is a challenge requiring original thinking and advanced technological solutions, but it offers a compelling opportunity for a thorough scrutiny of the reforms for sustainable urbanism. Masdar City, as a fundamental component of the Masdar Initiative, needs to be understood as a long-term initiative that may challenge many principles informing conventional planning in order to establish a truly sustainable urban development. By embracing this challenge in such an extreme climate, the Masdar City aims at demonstrating the concepts of a sustainable development for both new and existing cities not only in the Middle East but around the world.

References [1] Arabian Business; www.arabianbusiness.com [2] Farr, Douglas; Sustainable Urbanism: Urban Design with Nature; John Wiley & Sons, Inc., Hoboken, New Jersey; 2008 [3] Abu Dhabi Urban Planning Council; Plan Abu Dhabi 2030; Abu Dhabi Urban Planning Council; September 2007 [4] Foster+Partners; Detailed Masterplan for Masdar City; January 2008



39

Primary sector waste indicators for regional planning E. Cifrian, L. Pérez, E. Dosal, J. Viguri & A. Andrés Chemical Engineering Department, University of Cantabria, Spain

Abstract Decisions are made based on information of different kinds and several tools have been developed to facilite the inclusion of environmental aspects in decision-making. One of these tools is the indicators that have become a vital component of environmental impact assessments and “state of the environmental” reporting. In Cantabria, a northern Spanish region, a specific set of indicators has been developed to monitor the degree of implementation of waste policies recently adopted in the region, identified in the Cantabria Regional Waste Plan 20102014. This Regional Planning covers all waste streams generated: There is a Regional Waste Plan developed through four Sectorial Waste Plans on: (i) Primary Sector and Sanitary Waste; (ii) Industrial, Construction and Demolition, and Mining Waste; (iii) Special Waste, and (iv) Municipal Waste. At the present time, the primary sector waste flows in Cantabria are outstanding, since it is a region where the primary sector is one of the driving forces of the economy together with the tourism. The 86% of municipalities are classified as rural or semirural, and there, it is producing a large rural development from traditional craft production to intensive farms in which waste management is becoming a problem. In this work the methodology developed by European Environmental Agency has been used as a starting point in developing a set of Specific Indicators on the primary sector waste. Eleven indicators have been developed to evaluate the generation and management of forest, agricultural, livestock and food industry waste. These indicators allow not only monitoring the primary sector waste management, but also they highlight the precarious situation in relation to knowledge of actions undertaken in the sector in relation to their waste and with


40 Sustainable Development and Planning V the information flows. Therefore, in this paper the analysis of difficulties for management the available information has been carried out. Keywords: environmental indicators, regional planning, rural development, waste management, primary sector.

1 Introduction The region of Cantabria, in the north of Spain, has been traditionally an agricultural region. Due to various factors, including changes in production practices, this sector is currently in recession, but it is still significant in the region. The primary sector can impact on air quality, soil and water. Its activities generate waste streams from different sources: livestock, agriculture, forestry and food industry. These streams have a significant impact on the land and the rural landscape. The increased generation of these waste streams is caused by factors such as intensification (separating agriculture from livestock and increasing production), concentration (getting closer to consumer points) and specialization (focusing on few products). Therefore, the development of the sector and the introduction of hazardous materials in the production highlight the need to manage properly these waste streams. 1.1 Sectorial waste plan Different European and National regulations on waste implemented in last years and the elaboration of Cantabria Regional Waste Plan 2006-2010 were the context to create Sectorial Waste Sector Plans. They must be the regional reference for minimizing, reuse, recycling, energy recovery and disposal of waste in Cantabria, fixing specific management objectives for several waste streams (BOC [1]): • Primary sector, health and veterinary services waste. • Industrial, construction and demolition and mining waste. • Special waste. • Municipal waste. 1.2 Development of indicators sets Global progress towards sustainable development has originated the adoption of different sets of sustainability indicators which serve to provide information on specific environmental problems as a tool in decision-making (Aguirre [2]). The European Environment Agency (2005) defines the concept of indicator as a measure, generally quantitative, that can be used to illustrate and communicate complex phenomena in a simple way, including trends and progress over time (Smeets and Waterings [3]). Environmental indicators are generally used for the following key objectives (Aguirre [2]): - Provide information of environmental problems. - Summarize large amount of information in relevant indicators simplifying and harmonizing reports at various scales or levels. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


41

-

Monitor policies and setting priorities, identifying key factors of pressure on the environment. - Assess trends in relation to objectives and help define new ones. - Contribute to raising public managers on environmental issues. This study focuses on the evaluation of the Primary Sector Regional Waste Plan through development of indicators. For it, a exhaustive compilation of all available information related to primary sector waste is necessary, analyzing all sources, assessing their characteristics through "scoring" to show the difficulties for management the information and proposing future strategies through SWOT analysis.

2 Methodology In order to obtain the indicators, a methodology has been developed. It consists of five stages: synthesis, development, application, interpretation and SWOT analysis (Cifrian et al. [4]). This methodology is shown on figure 1. SPECIFIC OBJECTIVES

SYNTHESIS - Policy question from objectives - Single indicator that answers the policy question

Figure 1:

SWOT ANALYSIS

DEVELOPMENT

APPLICATION

- Search of Data Source

- Calculation the indicator

- Assessment indicator (Scoring method)

- Indicator fact sheet

INTERPRETATION OF RESULTS - Are we achieving the policies objectives?

-Selecting indicator fact sheet information

Methodology developed for obtaining the set of indicators.

Each stage consists of: a) Synthesis: Indicators selection begins raising a policy question related to a group of objectives. A single indicator that answers the question is obtained. b) Development: After establishing the indicators, a search of data sources is required. For this, it is necessary to make a preliminary analysis of all variables and data required of each indicator and develop a catalogue of them. Once developed the catalogue of sources, the potencial of development of these indicators are evaluated. This assessment shows the weaknesses associated with lack of available data and it is based on the theoretical conditions to be met by the indicators: - Relevant: Related to goals, objectives and priorities. - Reliable: Based on complete and accurate data. - Functional: Useful in decision-making. - Quantifiable: Measurable with relative ease. - Comparable: Obtained at different spatial and temporal scales. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

42 Sustainable Development and Planning V Applying these criteria to define some questions (or sub-criterias) and providing a score depending on the answers, the viability and feasibility of the indicators can be labelled. Criteria, subcriteria and scores are shown in Table 1. Table 1: CRITERIA

Criteria used to evaluate indicators. Sub-criteria

Relevant

Is the indicator related linked to policy targets, objectives or legislation?

Credible

Are data complete and accurate?

Functional

Could the indicator provide understandable information?

clear

and

Could the indicator provide information that is useful to policy decision? Are data easily accesible? Quantifiable

Is the indicador based on direct or indirect measurements? Time series are available?

Comparable Is the indicator linked with other indicators from the same Plan?

Scoring 0= No 1= Yes, indirectly 2= Yes, directly 0 = No data record 1 = Data obtained from various sources 2 = Data obtained from a single source 0= No 1= Interpretation requires prior knowledge 2= Direct interpretation 0= No 2= Yes 0= No 2= Yes 0= No data record 1= Estimates 2= Direct measurement 0= No data record 1= No, only data points 2= Complete data record 0= No 1= Qualitative link 2= Quantitaive link

Sources: (EEA [6]), (Viikari [7])

Table 2:

Interpretation of results: Icons.

If the indicator has a good trend, reaching the objectives. If data shows positive trends, approaching the targets, but not enough to get them. If data trend is away from the target. No data available or there is insufficient data to observe a trend.

After this evaluation, it is selected the indicator fact sheet information, containing the main characteristics, those that justify the choice of the indicator. It also specifies the characteristics of its data or the calculation method, its variables and the sources to obtain the information and how to manage it. c) Application: In this step, it is necessary to calculate specific variables such as rates or ratios. The progress over time is represented graphically and, then, an analysis is performed to define the trends. Both are included in the fact sheet which also includes information that can help to give an overview of the situation such as applicable laws or action lines. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


43

d) Interpretation of results: The results obtained must be compared with the proposed objectives in the Sector Plan. The level of achievement is represented by icons (Table 2). e) SWOT Analysis: SWOT is a classic strategic analysis tool for strategic management. It is the strategic adaptation between resources and capacity. SWOT integrates internal resources of an indicator (strengths/weakness) and external environment analysis (opportunities/threats) (Yang [8]). Table 3:

Indicators associated with the proposed objectives. OBJECTIVES

- Adaptation of manure storage facilities. - Carrying out educational campaigns on the proper use of manure as fertilizer and agri-food, agricultural and livestock waste management. - Favouring the implementation of the Code of Good Agricultural Practice of Good Agricultural and Environmental Conditions and Statutory Management Requirements. - Getting participation of economic operators in waste management. - Establishing monitoring mechanisms to provide reliable and comprehensive information. - Increasing the use of biodegradable plastic. - Minimizing the generation of phytosanitary packaging waste. - Having enough land to value manure, or increasing its territorial base. - Improvement of the agronomic potential of manure. - Reusing 100% cheese whey. - Adjustment rules of the agri-food waste. - Establishing monitoring mechanisms to provide reliable and comprehensive information. - Adjustment rules for managing livestock and agricultural waste. - Implement the management model for cleaning and disinfecting containers and plastics for agricultural use. - Increasing recovery rate of phytosanitary packaging waste. - Establishing monitoring mechanisms to provide reliable and comprehensive information. - Increasing the recovery of residual forest biomass - Increasing the energy production from residual forest biomass. - Promoting the use of pellets as an energy source.

INDICATOR 1. DEGREE OF ADAPTATION OF MANURE STORAGE FACILITIES 2. LEVEL OF DEVELOPMENT OF EDUCATIONAL CAMPAIGNS OF PRIMARY SECTOR WASTE 3. DEGREE OF ECONOMIC OPERATORS PARTICIPATION ON THE WASTE MANAGEMENT 4. LEVEL OF USE OF BIODEGRADABLE PLASTICS 5. LEVEL OF GENERATION OF PHYTOSANITARY PACKAGING WASTE 6. RATE OF USEFUL LAND TO REUSE THE MANURE 7. RATE OF WASTE RECYCLING IN FOOD INDUSTRY 8. DEGREE OF IMPLEMENTATION OF MANAGEMENT MODELS 9. RATE OF RECOVERY OF PHYTOSANITARY PACKAGING WASTE 10. RATE OF RECOVERY OF RESIDUAL FOREST BIOMASS 11. RATE OF ENERGY PRODUCTION FROM RESIDUAL FOREST BIOMASS


44 Sustainable Development and Planning V Table 4:

Catalogue of data sources in the primary sector at different levels.

Regional

National

International

Type of Waste or indicator

Regional Data

Agriculture Indicators Agri environmental Indicators Agri-Waste Indicators

SOURCE

Level

TYPE OF DATA

EURO STAT

SD

SD

SD

-

Manure storage facilities Farmers training level Organics crop area

EEA

SD

SD

-

-

Fertilizer consumption Area of organic farming Intensity of agriculture

OECD

SD

SD

-

-

INE

SD

SD

PS

SD

MMA

SD

SD

-

SD

SIG

-

-

SD

SD

ICANE

SD

-

-

SD

RG

SD

-

-

SD

CIFA

-

-

PS

PS

Agriculture production Area harvested Management of Water Resources in Agriculture Intensity of use of forest resources Waste generated in Agriculture, livestock, hunting and forestry Fertilizer consumption Area of organic farming Environmental efficiency of agriculture Number of cattle Generation of phytosanitary packaging waste Number of cattle Distribution of the surface Organic production Number of cattle Economic aids to agricultural sector Studies and treatment of effluents and waste from cattle farms. Study of serum production in Cantabria, characterization, preservation and pretreatment. Status and prospects for management of whey generated in Cantabria.

Time coverage: Series of Data over time (SD) or Particular Studies (PS); Sources: European Environmental Agency (EEA [9]); Organisation for Economic Co-operation and Development (OECD [10]); Spanish Institute of Statistics (INE [11]); Ministry of Environment of Spain (MMA [12]); Integrated Management Systems (SIG [13]); Institute of Statistics of Cantabria (ICANE [14]); Department of Rural Development, Livestock, Fisheries and Biodiversity of the Regional Government (RG); Center for Agricultural Research and Training (CIFA [15]).

3 Results and discussion The synthesis step was applied with the objectives proposed in the Primary Sector Regional Waste Plan. Then, eleven indicators have been proposed, which are shown in Table 3. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


45

In order to develop indicators there is a need to find quantitative and qualitative information on the primary sector waste and contribute to the possible improvement of the management of this sector in the region of Cantabria. So first, a literature search of previous studies is required as an aid to focus the local problems. For that, it is necessary to elaborate a catalogue of the sources that manage data of the primary sector waste. Table 4 shows the major studios, projects, research and sources of data on waste managed by different agencies on different geographic levels. After this, the indicators were evaluated based on scoring method. The results of each indicator are included in table 5. The selected criteria have non automatic function to determine the feasibility of the indicators. Instead, provide the framework for asking questions and warn of the various properties of the indicators (Kurtz [16]). However, this evaluation allows determine the potential development of these indicators. That is, four of the indicators obtain more than 10 points, so these indicators have a high development potential. The other indicators obtained a score below 10 points, and therefore its development is more complex and will take a long term because the necessary data records should be created. The four most potential indicators, Level of use of biodegradable plastics, Level of generation of phytosanitary packaging waste, Rate of useful land to reuse the manure and Rate of recovery of phytosanitary packaging waste, have already been developed and they are detailed in tables 6, 7, 8 and 9 respectively. Table 5:

Evaluation of indicators based of scoring method. INDICATORS

CRITERIA

Relevant Credible

Functional

Quantifiable

Comparable

Sub-criteria Is the indicator related linked to policy targets, objectives or legislation? Are data complete and accurate? Could the indicator provide clear and easy information? Could the indicator provide information that is useful to policy decision? Are data easily accessible? Is the indicator based on direct or indirect measurements? Time series are available? Is the indicator linked with other indicators from the same Plan? SCORE

1

2

3

4

5

6

7

8

9

10 11

2

2

2

2

2

2

2

2

2

2

2

0

0

0

2

2

1

0

0

2

0

0

2

1

1

2

1

2

2

1

2

2

2

2

2

2

2

2

2

2

2

2

2

2

0

0

0

2

2

2

0

0

2

0

0

0

0

0

1

1

1

0

0

2

0

0

0

0

0

1

2

2

0

0

2

0

0

1

1

0

0

1

1

0

1

1

2

2

7

6

5

12 13 13

6

6

15

8

8



Factsheet information for the indicator 4.

I4: LEVEL OF USE OF BIODEGRADABLE PLASTICS This indicator is based on the use of biodegradable plastic by farmers in Description Cantabria compared to conventionally used plastics. Conventional plastics are polymers that persist in nature for long periods of time Environmental and generate large amounts of waste. For this reason it is proposed as a viable relevance alternative the use of biodegradable plastics. Department of Rural Development, Livestock, Fisheries and Biodiversity of the Data sources Regional Government of Cantabria The use of conventional plastics is estimated from the number of bales used for Methodology of ensiling of forage in Cantabria because this use is the largest volume of plastics consumed in the region. The use of plastics is estimated around 200,000 bales calculation annually with an average weight of 0.70 kg per bale. Data has been remained stable in recent years: CONVENTIONAL PLASTICS USE (Tonnes): 140 Progress over time BIODEGRADABLE PLASTICS USE (Tonnes): 0 Interpretation of results

Table 7:


I5: LEVEL OF GENERATION OF PHYTOSANITARY PACKAGING WASTE This indicator assesses the generation of phytosanitary packaging waste through the use of ecologic farming practices. Plant protection products contain substances classified as dangerous and it is necessary to take appropriate security measures and compliance with the doses Environmental and times indicated on the container security. The packaging waste obtained is usually impregnated with traces of the product. An ecological agricultural relevance practice avoids the use of these products, so that through the hectares for this agriculture, the reduction of the packaging generation can be estimated. Ministry of Environment (Spain) Data sources Methodology of The indicator is calculated as the number of hectares under organic farming and integrated production in Cantabria compared to total hectares of existing farms. calculation Description

Percentage of ecological farming practices 6 5

%

4

Progress over time

3 2 1 0 2002

2003

2004

2005

2006

2007

2008

2009

Cantabria agriculture is mainly oriented towards livestock, with a low presence of agriculture. For this reason the use of pesticides is much lower than in other parts of Spain and is very focused on the use of herbicides. The area used to ecological practices is still small, with a rate of 2.5%. As this data increases, the amount of generated packaging will be reduced. Interpretation of results



Table 8:

Description

Environmental relevance

Data sources

Methodology of calculation

47


I6: RATE OF USEFUL LAND TO REUSE THE MANURE This indicator looks at the amount of agricultural area that would be necessary to reuse the manure generated by livestock without causing environmental damage. Farms have traditionally used manure as agricultural fertilizer due to its high nutrient content. This management, mainly due to nitrate content of manure, contaminated soil on many occasions. It is a valid practice for small farms that have no surface problems using manure, but not for intensive and large farms that have not enough area for this. Therefore, a controlled management of this waste is required to prevent environmental degradation and reduce dumping waste without any control. For that, it is required to study the availability of land for livestock-farm manure, being necessary to ensure correct application rates to avoid soil contamination. Ministry of Environment (Spain) For its calculation, the data of available land is taken from the Yearbook of Statistics, Ministry of Environment. Also, the area required to take the manure is calculated from the number of cattle (also included in the Yearbook of Statistics of the Ministry of Environment), by charging rates of manure generation and content nitrogen. Once the genenerated amount of nitrogen is calculated, with the nitrogen application limit defined (by Directive 91/676/EEC on 170 kgN / ha / year), the amount of required area that would be needed in the region to absorb the amount of manure generated is calculated.

%

Surface to re use the manure

Progress over time

100 90 80 70 60 50 40 30 20 10 0

60

2002

58

2003

56

2004

Required surface

40

36

2005

2006

48

40

37

2007

2008

2009

Available surface

The temporal evolution obtained for this indicator shows that the required area to take the manure generated is less than the amount of existing area in Cantabria. The results shown in this indicator are at regional level and may not reflect the reality of some operations in some municipalities. Interpretation of results

Once developed the most promising indicators, it is necessary to conduct a SWOT analysis to study the current status of each one (Table 10). WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)



I9: RATE OF RECOVERY OF PHYTOSANITARY PACKAGING WASTE This indicator measures the amount of packaging waste recovered compared to the total packaging waste generated in Cantabria. Description Environmental relevance

Tonnes

Data sources Methodology of calculation

As for the management of packaging of plant protection products is different depending on their content, distinguishing the empty containers that contain product packaging and unopened containers removed. SIGFITO an Integrated Management System (SIG) The indicator is derived by dividing the amount of packaging recovered and the amount of packaging consumed by farmers.

Progress over time

Amount of Re cove ry of Packaging Plant Protection 10 9 8,16 8,26 7,98 7,85 8 6,72 7 6 5 4 3 2 1,18 1,30 1 0,18 0,12 0,00 0 2005 2006 2007 2008 2009 Recovered packaging

Packaging placed on the market

Cantabria agriculture is mainly focused on livestock, with a low presence of agriculture. For this reason, the use of pesticides, mainly herbicides, is much lower than in other regions of Spain. However, there is a difference between the amount of packaging recovered and the amount put on the market. This is due to the campaigns to collect them by the SIG has time and spatial constraints (short collection period and only 5 points to collect it in Cantabria). Interpretation of results

Table 10: SWOT ANALYSIS

EXTERN ANALYSIS Opportunities (O) Threats ( T )

INTERN ANALYSIS Strengths (S) Weakness (W)

Management Model Established Integrated Management Systems Existing Infrastructure (Recycling or treatment plants) Collection Points Subsidies/ Economic Aids Courses/ Training Progams Campaigns Specific Legislation Specific Waste Plan Autonomic Register Particular Studies

SWOT Analysis. Indicator 6 7 8

1

2

3

4

5

-

-

-

T

-

T

T

-

-

-

O

O

T

-

-

-

T

-

- - T O - O - O - O T - T - O T T T W - - W W W - - W W W W W - S S - - - -

9

10

11

T

O

T

T

T

-

O

T

T

T

T

-

O

-

T

T O O O W W S S

- T T T W W W W W S -

T W W S -

T O T T W W W -

T O T T W W W -



49

The analysis SWOT shows that there are more Threats (T) and Weakness (W) than Opportunities (O) and Strengths (S). In the future the lack of data for developing the indicators will be improved due to different ongoing activities: integrated management systems implementation, economic aids, educational campaigns and courses and particular studies.

4 Conclusions In order to assess the situation of the waste produced by the primary sector in Cantabria, a set of indicators has been developed for evaluating the proposed objectives on the Primary Sector Regional Waste Plan 2010-2014. The methodology for the development of indicators consists of five stages, including synthesis, development, application, interpretation and SWOT analysis. As a result, eleven indicators related to flows of waste like manure, biodegradable plastics used in agriculture, phytosanitary packaging, residual forest biomass, and food industry have been obtained. After a specific analysis of sources of information some problems have been found. There are many statistics about agriculture and agri-environmental indicators and a lack of regional data about waste streams, although some punctual studies have been obtained. The availability of data for developing indicators has been evaluated through scoring method using different characteristics of indicators as relevance, credibility, functionality, quantifiable and comparability as criteria. The results obtained show that only four indicators obtain more than 10 points over 16 in the evaluation. The indicators developed are: (i) level of use of biodegradable plastics; (ii) level of generation of phytosanitary packaging waste; (iii) rate of useful land to reuse the manure; and (iv) rate of recovery of phytosanitary packaging waste. The SWOT analysis for each indicator shows the current situation and defines the required changes and modifications to comply with the new possibilities. Therefore it can conclude that the applied methodology is a tool for decisionmaking about Primary Sector Regional Waste Plan and can be useful to improve the data and sources of the indicators.

References [1] BOC, Boletín Oficial de Cantabria, Decreto 15/2010, de 4 de marzo, por el que se aprueban los Planes Sectoriales de Residuos, (66), pp.12005-12198, 2010. [2] Aguirre, M.A., Los sistemas de indicadores ambientales y su papel en la información e integración del medio ambiente. Libro de ponencias del I Congreso de Ingeniería Civil, Territorio y Medio Ambiente, Madrid, 2002. [3] Smeets, E. & Weterings, R., (eds). Environmental indicators: typology and overview. European Environmental Agency, Technical report no 25, p 19, 1999.


50 Sustainable Development and Planning V [4] Cifrian, E., Coz, A., Viguri, J & Andrés, A., Indicators for valorisation of Municipal Solid Waste and Special Waste. Waste Biomass Valor, (1), pp. 479-486, 2010 [5] Niemejer, D. & Groot, R., A conceptual Framework for selecting environmental indicator sets. Ecological Indicators, (8), pp.14-25, 2008 [6] European Environment Agency, The IRENA indicator report: Agriculture and environment in EU-15, 2005 [7] Yli-Viikari, A., Evaluating agri-environmental indicators (AEIs)—Use and limitations of international indicators at national level. Ecological Indicators (7), pp.150–163, 2007 [8] Yang, Y., SWOT-TOPSIS Integration Method for Strategic Decision, International Conference on E-Business and E-Government, 2010. [9] EEA, European Environment Agency, www.eea.europa.eu/es [10] OECD, Organisation for Economic Co-operation and Development, www.oecd.org [11] INE, Instituto Nacional de Estadística, www.ine.es [12] MMA, Ministerio de Medio Ambiente y Medio Rural y Marino, www.marm.es [13] SIG, Sigfito Agroenvases, http://www.sigfito.es [14] ICANE, Instituto Cántabro de Estadística, www.icane.es [15] CIFA, Centro de Investigación y Formación Agrarias, www.cifacantabria.org [16] Kurtz, J., Jackson, L.E. & Fisher, W.S., Strategies for evaluating indicators based on guidelines from the Environmental Protection Agency's Office of Research and Development. Ecological Indicators, (1), pp. 49–60, 2001.



51

Promoting sustainable development in the minerals industry: the phosphate project in Saudi Arabia M. Aldagheiri Department of Geography, Qassim University, Saudi Arabia

Abstract The Kingdom of Saudi Arabia is largely considered to be a single-commodity economy in that the oil sector is the most important pillar of the national economy while the non-oil sectors play a relatively weak role. National economic diversification is considered a strategic goal for the Saudi Arabian government. The minerals sector in Saudi Arabia is one of the economic activities which has already started to achieve this strategic goal of diversification away from oil-related activities as the main source of national income. Saudi Arabia has strategic industrial minerals such as phosphate, bauxite, high-grade silica and gypsum as well as industrial raw materials that can be used in the domestic, regional and overseas markets. The industrial minerals sector in Saudi Arabia recognises sustainable development as a vital objective for society and readily acknowledges its responsibility for helping to achieve this critical aim. This paper examines the phosphate project which is considering one of the industrial minerals important to the economy of the Kingdom of Saudi Arabia, focusing on its production, the structure of its industry and the effects of government policies and planning efforts. Keywords: industrial minerals, phosphate, sustainable development, Saudi Arabia.

1 Introduction National economic diversification is considered a strategic goal for the Saudi Arabian government particularly when the exportable natural resources are expected to deplete in the foreseeable future. The minerals sector in Saudi Arabia is one of the economic activities that has already started to achieve this strategic WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110051

52 Sustainable Development and Planning V goal of diversification away from oil-related activities as the main source of national income. Although non-oil mineral activities are far less significant than oil activities, their development has the potential to contribute to the economic diversification of the Saudi economy. Exploration and development of nonhydrocarbon mineral resources has, therefore, been a consistent objective of the government throughout successive Development Plans. The territory of the Kingdom contains abundant strategic minerals such as phosphate and bauxite, as well as industrial raw materials that can be used in the domestic, regional and overseas markets after processing. The diversified geological terrain, strong economy and strategic location of Saudi Arabia in the GCC countries are among the most fundamental features attracting investment in the mineral industry. Furthermore, it is hoped that this sector will become a major source of revenue generation for the Kingdom during the next decade. New mines and associated investments will also create employment opportunities in the Kingdom.

2 The importance of study The Kingdom of Saudi Arabia is largely considered to be a single-commodity economy, in that the oil sector is the most important pillar of the national economy, while the non-oil sectors play a relatively weak role. National economic diversification is considered a strategic goal for the Saudi Arabian government. The minerals sector in Saudi Arabia is one of the economic activities which has already started to achieve this strategic goal of diversification away from oil-related activities as the main source of national income. Saudi Arabia has strategic industrial minerals such as phosphate, bauxite, high-grade silica and gypsum as well as industrial raw materials that can be used in the domestic, regional and overseas markets. The industrial minerals sector in Saudi Arabia recognises sustainable development as a vital objective for society and readily acknowledges its responsibility for helping to achieve this critical aim. This paper examines the Al Jalamid phosphates project which is considering one of the industrial minerals important to the economy of the Kingdom of Saudi Arabia, focusing on its production, the structure of its industry and the effects of government policies and planning efforts.

3 The phosphates in Saudi Arabia Saudi Arabia is home to some of the largest phosphate deposits in the world. These deposits are located mostly in the north and north-western regions in a belt stretching across the entire northern section of the Kingdom (see map 1). The phosphate rock is hosted in a sedimentary sequence of Paleocene to Eocene age that extends to the north into Iraq and Syria and west into Jordan. The phosphate reserves are part of a shelf sequence of rocks that marks the edge of the Tethys Sea, an ocean in past geological time that is now occupied by the Mediterranean and the countries surrounding its shores. It is the largest and most extensive phosphate province in the world [1]. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Map 1:

53

Non-metallic minerals in Saudi Arabia.

According to Ma’aden’s President, Dabbagh [2], the Kingdom’s phosphate is estimated at 3.1 billion tons, of which 1.6 billion tons is an estimated reserve, with 1.5 billion tons as a mineable resource. In addition to the Al-Jalamid Mine Project, there is an estimated 313 million tons of phosphate ore reserve extending for an area of 18 km2. Spencer [3] stated that with private sector investment, Saudi Arabia can exploit the produced phosphate locally to consolidate its position as third ranked exporter of fertilizers in the world. Also, DMMR anticipates that the country will capture 16 per cent of the world phosphate market. Identified future markets for phosphate include China, India, Japan, Pakistan, and Iran. Phosphate accumulations in Saudi Arabia are known in four regions: SirhanTurayf, the coastal Red Sea, and the central and eastern Regions. Deposits with economic potential have been established in the Sirhan-Turayf region that extends into Jordan, southern Iraq and Syria but in the others further work is not justified. Sedimentary phosphorite was first identified in Saudi Arabia in 1965 in the Turayf area during drilling for water wells by ARAMCO close to the Tapline, about 70 kilometers to the east of Turayf city. In the same year, reconnaissance mapping led to another discovery of a phosphate bed in the Thaniyat-Turayf area, 250 kilometers southwest of Turayf. In 1988, the Sannam deposit was discovered by the US Geological Survey (USGS) and Deputy Ministry For Mineral Resources (DMMR). Furthermore, continued exploration works indicate prospects for other resources in Widyan Ar-Rushaydah, Amud and Al-Fihah areas [4]. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

54 Sustainable Development and Planning V Al Jalamid phosphates are considered to be the best explored and largest deposit in the Kingdom, and are located about 120 kilometers east-southeast of Turayf city. Since the discovery of the deposit in 1984, DMMR’s work has advanced from the exploration phase to a feasibility study which was completed in late 1992. The Al-Jalamid deposit is estimated to contain 313 million tons of mineable resource. Ma’aden expects the Al-Jalamid deposit to have an annual yield of 11 million tons/year for 27 years, including 4.5 million tons of phosphate concentrates [5]. Al Jalamid phosphate is the largest single project for the Ma’aden planners and is centered on a world-class deposit of phosphates. This resource could become a significant new source of exportable fertilizer in the form of dominium phosphate (DAP), which contains double the nutrient value of unprocessed rock. This is a big project which would require the establishment of infrastructure for mining, processing and transport. Ma’aden estimates that the deposits within its exploration programmes will lead to the establishment of a phosphate industry and a number of downstream industries in the Kingdom. Ma’aden views the phosphate resources of Al-Jalamid as a nucleus around which a number of industrial projects can be established. Another resource prospect for phosphate mining in the Kingdom is the Umm Wu’al area, situated around 70 kilometers west of the Al-Jalamid deposit. This deposit was under extensive exploration indicating promising techno-economical potential with estimated reserves of about 208 million tons of phosphate deposits. Ma’aden, through international qualified consultants, has conducted the ore reserve evaluation and ore beneficiation and processing tests on both lab and pilot scales with objectives to assess the proven reserves, confirm the ore amenability to beneficiation and chemical processing and optimize its industrial flow sheets. The findings of these studies will be included in a feasibility study and utilized to identify local or foreign joint venture partners to develop this site. Relying on the Saudi Geological Survey (SGS), the Sanam phosphate beds correlate with the Thaniyat member of the Jalamid Formation and consist of two units. The area has not yet been explored in detail, but a resource study in 1999 showed a demonstrated resource of 23 Mt averaging 16.91 per cent. A particular attraction of Sanam is its relative proximity to the Red Sea, 250 kilometers, in contrast to the 1,000 kilometers distance from Al Jalamid to the Arabian Gulf. Thaniyat phosphate occurs at several levels in the Thaniyat Member at the base of the Jalamid Formation. Part of the Thaniyat area was explored under licence by Granges International Mining in 1977-81. Al Amud phosphate beds of the Arqah Phosphorite Member in the Al Amud area are largely covered by basalt and have been explored by only 27 drill holes. In the Quraymiz Area there are two thin and low-grade phosphorite bed outcrops in an escarpment for about 20 kilometers in the Quraymiz area. Six drill holes show no development of phosphorite beds to the north. Moreover, there are several areas in the Kingdom such as the Red Sea region (Maqna massif, Azlam trough and Usfan Area), Central region and Eastern region.



55

4 Al Jalamid phosphates project This project lies in the northern part of the Kingdom, about 120 kilometres eastsoutheast of Turayf city. The feasibility study for this project was prepared by the Ma’aden-Saudi Oger consortium and S.N.C. Lavalin of Canada and Jacobs of the U.S., and this study includes according to Abdullah S. Busfar, vicepresident for corporate projects [6] “The project consists of a phosphate mine and a beneficiation plant at Al-Jalamid, in Northern Saudi Arabia, a fertilizer production complex at Ras Az Zawr, on the shore of the Arabian Gulf.” The feasibility study indicates that the Al Jalamid phosphate is estimated to contain 313 million tons of phosphates able to provide sustained production for at least 27 years. Also, the feasibility study indicates that 11 million tons of Al Jalamid phosphate will be mined annually, upgrading the concentration of ore to 32 per cent to produce 4.5 million tons of phosphate concentrates. This project is considering the largest single project that is occupying the thinking of Ma’aden planners is centered on a world-class deposit of phosphates. This resource could become a significant new source of exportable fertilizer in the form of dominium phosphate (DAP), which contains double the nutrient value of unprocessed rock. This is a big project and its location in the northern undeveloped part of the country would require the establishment of infrastructure for mining, processing and transport [7]. Ma’aden assessed the mining plan at the Al Jalamid project to optimize equipment utilization. The deposits will be exploited by drilling and blasting, while draglines will remove the overburden and front-end loaders. Ma’aden also will provide the Al Jalamid project with a basic infrastructure, in that the energy for the project will be made available via turbine generators fired by fuel oil, with an installed capacity of 28 megawatt. Three water wells drilled and tested at the Al Jalamid site prove a sufficient water resource exists for the life of the project and hydrological modelling of the underlying Tawil aquifer has revealed a sustainable flow rate of 13 million cubic metres per year [8]. The initial plan for this project is to mine and beneficiate phosphate rock. The phosphate rock will then be transported via the North-South Railway (NSR) to the industrial city of Ras Az Zawr for conversion into dominium phosphate (DAP) fertilizer for export. The DAP export is expected to be phased into the market by 2013 to reach about 3 million tons per year. The Ras Az Zawr site is about 60 kilometres north of Jubail Industrial City on the Arabian Gulf. Ras Az Zawr is a huge new industrial centre designed to serve the Kingdom’s emerging minerals sector and has an $8 billion investment which will comprise the industries of the phosphate and aluminum projects. The main elements of the industrial centre at Ras Az Zawr will be three 4.1 million tons per year sulphuric acid plants, three 1.4 million tons per year phosphoric acid plants, and one 650,000 tons per year ammonia plant, to produce about 2.9 million tons per year dominium phosphate. The basic infrastructure of the industrial centre will include accommodation and utility services, port facilities, a 1,800 megawatt power plant, sub-stations and switchgear plus a dedicated port for Panamax-sized ships of up to 60,000 tons. In a press conference after the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

56 Sustainable Development and Planning V inauguration, Ali Al-Naimi, Minister of Petroleum and Mineral Resources and Chairman of Ma’aden Board of Directors, asserted that “Ma’aden will build one of the first Mining Cities in the Middle East that will accommodate in one site all basic facilities for the production of mineral industries from mine to final product. He noted that the city will contribute in a unique manner to the growth of Saudi Arabia’s Mining Industry” [9]. The estimated cost of the phosphate projects at Ras Az Zawr is around $1.9 billion, plus additionally about $400 million to develop the mines at the Al Jalamid site. In an interview the President of Ma’aden Dr. Al-Dabbagh said that the availability of molten sulphur and natural gas from within the Kingdom as a feedstock alongside the local phosphate rock will make it a highly competitive integrated production facility within easy reach of growing Asian markets. Ma’aden intends to use the phosphate rock in the production of a number of value added products, such as fertilizers, chemicals, animal feed, and detergents. After the dominium phosphate plant reaches peak production in five years time, Saudi Arabia will be in direct competition with producer countries such as Morocco, Jordan and the USA, as it will produce a quarter of the world’s DAP production. Furthermore, Al-Naimi [10] said in that the phosphate fertilizer project will boost the Kingdom’s non-oil exports and make the Kingdom the third largest producer of phosphate fertilizer in the world. In general, the development of the Al Jalamid phosphate project relies on the following comparative advantages: - availability of abundant low-cost energy in the form of petroleum and natural gas products; - availability of ammonia at competitive prices in Jubail; - availability of abundant sulphur in Jubail; - geographic proximity of the Jubail complex to the Asian markets; - market opportunities following the decline of production in Florida which has decreased by one third during the past decade; and - approval of the necessary transport link between the Al Jalamid phosphates deposits and Ras Az Zawr. Based on Ma’aden the development initiation of Al-Jalamid integrated phosphate project will be beneficial due to the following: 1. Maintain the Kingdom’s future export capability through diversification of its products where the huge phosphate resources will play a major element; 2. Provide employment opportunities to Saudi work force, which is expected to directly employ about 6,000 personnel; 3. Indirect benefits to Saudi work force and institutions through related industrial and social services about 40,000 personnel; 4. Enhancing urban development in the Northern Region; 5. Provide a transfer of technology in the field of phosphate fertilizers and other related chemical industries; and 6. Enhancing foreign capital investment.



57

5 Conclusion Regarding the significance of the minerals industry, the case study has shown that the mining sector has great potential to play a leading role in the Sustainable development and the diversification of the Saudi economy due to the Kingdom’s enormous and relatively untapped mineral occurrences, large area (more than 2,000,000 square kilometres) and the increasing demand for raw materials both in domestic as well as international markets. The minerals industry in Saudi Arabia, which includes phosphate, will become one of the main activities attracting foreign investment, and during the next decade it is hoped will be one of the causes of considerable economic growth in the region and the country. The minerals sector will become a third pillar of the economy after hydrocarbons and petrochemicals. The mineral industry will also have several positive effects on the national economy, such as constituting a source of additional revenue for the government, increasing exports and contributing to export diversification, creating new opportunities for the creation of industrial activities in the Kingdom. Al Jalamid phosphates will play a major role in the Kingdom’s future exports. This project will enhance urban development in the Northern Region of the Kingdom. The phosphate industry provides a transfer of technology in the field of phosphate fertilizers and other related chemical industries. According to Ma’aden’s estimates the phosphate fertilizer, with encouraging economic indicators, would make the Kingdom the world’s third largest producer of phosphate fertilizer. According to Ma’aden the minerals industry will create employment opportunities which will generate 6,000 direct jobs and 40,000 indirect jobs for Saudi citizens who will work in the building and operating of the industry and associated projects.

References [1] Ma’aden, Exploration, Mining and Processing, Ma’aden Magazine, Riyadh, Saudi Arabia, 2004. [2] Dabbagh, A, Saudi Arabia to Offer Gold Mining Licenses to Foreign Firms, Ma’aden News Letter, Riyadh, Saudi Arabia, 2004. [3] Spencer, H., Industrial Minerals of Saudi Arabia and their Uses in New Material, Internal Report, Jeddah: DMMR, 1999. [4] DMMR, The developing of Mineral Exploration in The Kingdom, Ministry of Petroleum and Mineral Resources, Jeddah, Saudi Arabia (in Arabic), 1999. [5] USABC, The Mining Sector in The Kingdom of Saudi Arabia, Report, U.S. - Saudi Arabian Business Council, 2005. [6] Busfar, A., Maaden to Build the Largest Phosphate Plant in 2005, Arab News, March 01, 2005. [7] Ma’aden, Exploration, Mining and Processing, Ma’aden Magazine, Riyadh, Saudi Arabia, 2004.


58 Sustainable Development and Planning V [8] Ma’aden, Phosphate: Fertilizer for the future, Ma’aden News Letter, Issue 3, Riyadh, Saudi Arabia, 2003. [9] Ma’aden, Al-Naimi Inaugurates Mining City Civil Works, Ma’aden News Letter, Issue 4, Riyadh, Saudi Arabia, 2005. [10] Al-Naimi, A., $4.1b Phosphate Ventures Open to Foreign Investors, the Saudi Gazette - March 28, 2004.



59

Towards a sustainable system: application of temporal analysis on flood risk management Z. Alsaqqaf & H. Zhang Griffith School of Engineering, Griffith University, Australia

Abstract The escalating frequencies and changing patterns of climate change impacts, such as precipitation rates and sea levels, question the reliability of the existing engineering infrastructure, in terms of design and planning criteria for which designers and decision makers need to or account for. The objective of this paper is to assess the performance of an existing engineering infrastructure by measuring three variables: Vulnerability (β), Reliability (α), Resiliency (γ). These variables will be implemented temporally to a floodplain catchment, where performance and engineering sustainability can be depicted. The depiction will define the system’s behaviour upon a natural event such as precipitation or sea-level rise. Nevertheless, Flood Risk Index (FRI), which depends on (β, α and γ), will be applied as an overall index to demonstrate the trend context as well as give implications of the sensitivity significance of β, α and γ. The main outcome of this paper is to depict the relative sustainability or as known as the performance assessment indicators temporally; and to examine the correlation between the indicators on a real-flow data. These procedures shall ultimately provide implications on the implementation of the indicators to achieve a relatively sustainable system. Keywords: reliability, vulnerability, resiliency, flood risk index, sustainability, performance assessment.

1 Introduction In the last decade, more frequent storms and sea level rises have been observed and monitored in Australia due to climate change especially southeast Queensland; which results in the increase of floods in many areas that already prone to flood. Consequently, new floodplains will emerge to cope with such an WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110061

60 Sustainable Development and Planning V impact, placing assets like humans and properties at risk. The escalating impact of climate change in Australia makes it necessary to reassess existing flood protection systems and to assess the need for new ones in areas that were not previously at risk from floods. In flood prone areas, having an adequate flood protection system in place is essential to lives and livelihood of residents and businesses in the area. In addition, catchments in coastal areas are prone of flooding due to cyclones and severe storms. In face of increased flood potential due to climate change, it is essential that the current system of structural flood inhibitors be examined to make certain that they offer the maximum protection for the predicted future flood scenarios. One of the examination tools that can be used is performance assessment. The purpose of this paper is to assess the performance of a floodplain catchment. In a way, to depict the behaviour of the system under a flood event temporally. The paper will examine the feasibility of applying the performance assessment , or as known as the engineering relative sustainability indices, which are: Vulnerability (β), Reliability (α), Resiliency (γ), as well as an overall index called Flood Risk Index (FRI). Sustainability plays an important role in the advancement of modern societies. it has become an inevitable factor in enhancing the implementation of an efficient strategic development and planning. Consequently, governments and city councils start to merge sustainability in their existing and future visions. In addition, many scholars have illustrated a constructive argument on a feasible definition of sustainability. Yet, they all hover under the umbrella of a continuous validity of a healthy development that perpetuates a long life status without confronting the needs of future generations as illustrated in many studies [1–3]. Engineering sustainability, as the name implies, is a characteristic of an engineering system that provides a self maintained robust system, which assures a quality standard for the demanded service and overcomes the deterioration factors that influences the engineering system over time [4]. Ultimately, it should lead to a different type of approach that will assist in solving current and future challenges on the engineering infrastructure. Hence, it is necessary that the performance of an engineering system constantly tested and evaluated to cope with such challenges. One method can quantitatively measure the engineering sustainability called relative sustainability or as known as the performance assessment indicators of an engineering system [5]. Similarly, according to Loucks [1], there are three commonly used indicators to measure engineering relative sustainability: reliability, vulnerability and resiliency. In other words, they provide the reflective behaviour of a system under defined impact or influence. Basically, so far, these indicators were measured subjectively. However, this paper is in the first phase of rallying towards measuring these indicators objectively and accurately than the predecessor methodologies in the sustainability or performance assessment filed. Moreover, this paper is intending to implement the engineering relative sustainability, or as known as performance WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


61

assessment indicators, on a real-flow data temporally to test the behaviour of the indicators.

2 Performance assessment and flooding According to one of the pioneer studies of engineering performance assessment (Hashimoto et al. [5]), there are three main indices that actually characterise the performance assessment of a system: reliability, vulnerability and resiliency. The performance measurement of an engineering system has been described by Moy et al. [6] as the ability of a system to deliver the targeted demand. As an illustration, they have applied performance assessment on a water supply reservoir by measuring three performance indices, reliability, vulnerability and resiliency. Where, the ability to supply the needed target release is referred to as reliability. And, the maximum shortfall form the targeted release, referred to as vulnerability. Also, the number of consecutive periods of deficit is referred to as system resilience [6]. These three measurement parameters constitute the most common performance measures of a reservoir system. Following the work of Hashimoto [5], there have been several applications in the criteria of performance assessment. Datta and Houck [7] have applied performance assessment on different problem areas in the water resources field. They have compared multiple operation strategies reflecting the relative importance of divergence from targets for reservoir release versus reservoir storage divergence. Then, Weeraratne et al. [8] applied the reliability, resiliency and vulnerability to estimate reservoir release polices corresponded to different target flow levels at failure or critical points in the system. Nevertheless, Moy et al. [6] examined the trade-offs between reliability, resiliency and vulnerability in the context of reservoir operation for water supply using a multi-objective mathematical model. After that, Burn and Simonovic [9] have introduced an improved real-time operation model for reservoirs, that utilises the trade-off between flow predict reliability and the performance of the reservoir operation. The performance goal of any reservoir system is to reduce the shortfall, resulting in decreased vulnerability. The greater farther the maximum shortfall; the greater the vulnerability. Likewise, the shorter the maximum length of deficits, the greater the resilience. Using mixed-integer linear programming, a trade-off was found between reliability, vulnerability, and resilience. As the reliability increases or the maximum length of consecutive shortfalls decreases, the vulnerability of the system to greater deficits in supply increases. These relationships are inversely proportional to some degree, depending on the system [6]. On a similar point of view, Simonovic et al. [10] have simply defined the three performance indicators: as “reliability is the likelihood of system failure, vulnerability is used to describe the severity of the failure and resiliency measures how quickly the system recovers from the failure state”. Scientists and researches up to the year 2000 have applied performance assessment to examine water supply reservoirs as part of the engineering infrastructure. However, Simonovic [11] has introduced the first application of WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

62 Sustainable Development and Planning V performance assessment on flood protection systems. Then, followed by a collaborative work of Simonovic and Li [12] to establish a methodology in implementing performance assessment on flood protection systems under the effect of climate change and supported by system dynamics. After that, Elbaroudy and Simonovic [13] have enhanced a methodology to evaluate the performance of water resource system using fuzzy sets, as well as the performance indicators. Nevertheless, Ahmad and Simonovic [14] have applied the Geographic Information System (GIS) and fuzzy analysis to simulate the water resource system spatially and temporally. Finally, Simonovic [15] illustrated a new method for spatial and temporal analysis of risk in water resources management. Apparently, all the previous benchmark researches mentioned above have set a profound and respectable foundation in evaluating and assessing the performance of a system. Yet, it exposed a gap in the compatibility between the phases of evaluation throughout their phases of methodology. In addition, there was a complication in defining the avenues of a system’s failure status, and classifying the spectrum of the acceptable range in a system. In summary, designing a failure free system is next to impossible. Even the best system designs are susceptible to fail. In the case of flood protection systems, it is difficult to predict the impacts that natural forces will place on the system. Even the best-designed system can be inundated by extremes from nature, causing ultimate system failure. Therefore, as a decision maker the performance assessment indicators should reveal the reliability, resiliency, vulnerability and FRI must be applied to examine the robustness of the existing systems, as well as it should be considered as an essential planning and designing factor not just for floodplain catchments, but for any engineering infrastructure system. The terms reliability, resiliency, and vulnerability were typically applied to water supply systems including water reservoirs. Yet, the problem addressed by this paper is not one of supply, but one of deterrence. The system will be modelled and tested with the goal of impeding water from reaching communities and populations within the catchment. Developing a system that can accurately describe the ability of the flood deterrence system to prevent damage and injury to persons living in the flood plain, as well as human assets is the purpose of this paper. The same terms used to describe the reliability of a water supply system can be applied to a water deterrence (protection) system as well. All the performance indicators will be elaborated in the following sections. 2.1 Reliability The reliability of a system can be defined as the satisfactory state. Also, it can be expressed as the probability that a system is operating in a satisfactory state at any given time. Inversely, the reliability can refer to the probability that no failure occurs within a given amount of time [5]. The reliability which is considered the opposite of risk is defined in eqn (1) as: N

∑

N


(1)


At the time ti ,

1 , if 0 , if

63

where α is the reliability. z i is the state of the flood control system at the time ti , is the water level at time ti, is the reference water level at time ti , and N is the maximum number of time intervals. For the present research, the failure state is considered to be at the time when the water level exceeds both catchment and river channel capacity on the entire grid of study domain. In other words, failure occurs when water depth exceeds the capacity depth of the catchment or river channel. Not to mention, zi is a count function of xi and xref [12]. 2.2 Vulnerability Vulnerability basically means measuring the extent of the failure. It is simply defined as the difference between the reference and calculated values of a certain variable including water depth [12]. This can be used to measure the overall impact that flood have on the overall functional ability of a flood protection system as shown in eqn (2). For yearly basis at time ti : 0 , ,

(2)

where is the vulnerability. In addition the statistical vulnerability is defined in eqn (3),

∑

and

∑ X

.

(3)

where is the mean vulnerability, f is the counter of failure states, Nf is the total number of failure states during the operating period, and is the normalized mean vulnerability. As for this paper, the failure state will be all water level values (xi) more than the catchment level (xref). 2.3 Resiliency Resiliency describes how quickly the system is likely to recover once a failure occurs [5]. In the event of a failure, it is important that a system is able to recover quickly and return to a state of stability. This can be expressed in eqn (4).

(4)

where is the resiliency, M is the maximum number of consecutive time intervals of failure state in a year, Ns is the number of days in a year and, N f is the number of failure state time intervals in a year. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

64 Sustainable Development and Planning V The application of the resilience equation will indicate the historical behaviour of the system. However, by plugging in climate change simulated and projected data, it should signify the expected behaviour in the future. 2.4 Flood risk index (FRI) Zongxue et al. [16] have stated that FRI is an overall behaviour indicator that uses a weighted function of reliability, resiliency, and vulnerability to assess the flood risk potential for an area. It combines all three performance indicators in one equation as illustrated in eqn (5). This method takes into account, not only if a flood is likely in an area, but also how severe it may be and how long it may take to recover [16].

. 1

. 1

.

(5)

in which ∑

1. 0

(6)

where P is the flood risk index, α is the reliability, is the vulnerability, is the resiliency and ω1, ω 2, ω 3 are predetermined weights. For the time being, it will be assumed that every predetermined weight is the same as in eqn (6).

3 Case study The intention of this case study is to test the indicators on a real flow data to depict the behaviour of the performance assessment (relative sustainability) indices. Fig. 1 shows the trial daily flow data for a site in southeast Queensland, Australia. The daily flow data is dated from 1928 to 1960. 0.4 0.35

Flow (m³/s)

0.3 0.25 0.2 0.15 0.1 0.05 0 0

0.5

1

1.5

2

Date Position (Daily)

Figure 1:

Daily flow data (m3/s).


2.5 x 10

4


65

Reliability (α)

The calculations of the indicators were based on the flow data above. Fig. 2 shows the deduced values of the performance assessment indicators after the substitution for eqns (1), (2), (3), (4), (5), (6). It is notable that all the indicators have the results between 0 and 1, which it can be also represented in a percentage form. The reliability indicator as shown in fig. 2 demonstrates the satisfactory or no failure state in a given event. Explicitly, it behaves the opposite of the vulnerability indicator. 1 0.99 0.98 0.97 0.96 0.95 1928

1938

1948

1958

Vulnerability (β)

Date (year) 1 0.8 0.6 0.4 0.2 0 1928

1938

1948

1958

1948

1958

Date (year)

Resiliency (γ)

1 0.95 0.9 0.85 0.8 0.75 1928

1938 Date (year)

Figure 2:

Performance assessment indicators.


66 Sustainable Development and Planning V The representation of the performance assessment showed a consistent relationship with the flow data tested. For example, when looking at the dip of year 1955 on the reliability and resiliency trend, one can note that the vulnerability showed a spike in the same event. In the same time, the resiliency trend showed a significant sensitivity, due to a longer consecutive failing state. Apparently, the indicators have behaved as expected. They have shown a proportional correlation between the water level and the vulnerability index as well as the FRI index. Also, they have shown an inverse correlation between the water level and the reliability and resiliency indices. As a matter of fact, FRI illustrates a combined indicator of all of the three performance assessment indices as presented in fig. 3. The main objective of this indicator is firstly, to identify the sensitivity of each indicator. Secondly, to calibrate and verify the results according to the site studied. Thirdly, to set the acceptable risk ranges, which are the highest and lowest ranges that the decisionmaker deems to be acceptable. 1

FRI

0.8 0.6 0.4 0.2 0 1928

1933

1938

Acceptable Ranges Figure 3:

1943

1948

1953

1958

Date (year) Flood risk index.

The acceptable risk ranges shown in fig. 3, depends on the definition of failure, perception of risk and the applied constrains such as budget available. Consequently, by setting these ranges, the indicator is capable of providing implications for flood risk management, in such an optimum plan or design can be achieved.

4 Conclusion and future work This paper is the first part of a project series in implementing the performance assessment indicators to evaluate the sustainability of an engineering system as well as indentifying the risk significance in the case of flooding. However, the main purpose of this paper is to illustrate the risk incurred from an increase of the water level above the catchment level. And, to depict temporally the indicator’s behaviour. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


67

The performance assessment (relative sustainability) indicators have been applied and tested on a real flow data. The results have shown a proportional correlation between the water level and the vulnerability, as well as the FRI index. Also, it showed an inverse correlation between the water level and the reliability and resiliency indicators. Speaking of future work, it is intended to apply the performance assessment indicators temporally and spatially. It will involve a 2-dimontional hydraulic simulation to enhance the accuracy of the indicators, and to overcome limitations that involve subjectivity and ambiguity in identifying risk in an engineering system. Nevertheless, the spatial hydraulic simulation can accurately depict the extent of the risk or flood spatially, which in turn will identify the significance, and the sensitivity of the influencing elements that contributes to the risk paradigm.

References [1] Loucks, D. P., Quantifying trends in system sustainability. Hydrological Sciences Journal, 42(4), pp. 513-530, 1997. [2] Simonovic, S. P., Risk in sustainable water resources management. In: Sustainability of Water Resources Under Increasing Uncertainty: the Rabat Symposium. IAHS Publication, 240, pp. 3-17, 1997. [3] Sahely, H. R., Kennedy, C. A., & Adams, B. J., Developing sustainability criteria for urban infrastructure systems. Canadian Journal of Civil Engineering, 32, pp. 72-85, 2005. [4] American Society of Civil Engineers (ASCE) and United Nations Scientific, Educational and Cultural Organization (UNESCO), Sustainability Criteria for Water Resource Systems, ASCE, Reston, Va., 1998. [5] Hashimoto, T., Stedinger, J. R., & Loucks, D. P., Reliability, resiliency, and vulnerability criteria for water resource system performance evaluation. Water Resour. Res., 18(1), pp. 14-20, 1982. [6] Moy, W.-S., Cohon, J. L., & ReVelle, C. S., A programming model for analysis of the reliability, resilience, and vulnerability of a water supply reservoir. Water Resour. Res., 22(4), pp. 489-498, 1986. [7] Datta, B., and Houck, M. H., A stochastic optimization model for real-time operation of reservoirs using uncertain forecasts. Water Resource Research, 20, pp. 1039-1046, 1984. [8] Weeraratne, J. R., Logan, L. And Unny, T. E., Performance evaluation of alternate policies on reservoir system operation. Canadian Journal of Civil Engineering, 13, pp. 203-212, 1986. [9] Burn, D. H. And Simonovic, S, P., An improved methodology for short-term operation of a single multi-purpose reservoir. Water Resources Research, 25, pp. 1-8, 1989. [10] Simonovic, S. P., Venema, H. D., & Burn, D. H. 1992. Risk-based parameter selection for short-term reservoir operation. Journal of Hydrology, 131(1-4), pp. 269-291, 1992. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

68 Sustainable Development and Planning V [11] Simonovic, S. P., Assessment of the impact of climate variability and change on the reliability, resiliency and vulnerability of complex flood protection systems. Rep. to the Natural Resources Canada, London, Ontario, 2001. [12] Simonovic, S. P., & Li, L., Methodology for assessment of climate change impacts on large-scale flood protection system. Journal of Water Resources Planning and Management, 129(5), pp. 361-371, 2003. [13] El-Baroudy, I., & Simonovic, S. P., Application of the fuzzy performance measures to the city of London water supply system. Canadian Journal of Civil Engineering, 33, pp. 255-265, 2006. [14] Ahmad, S. S., & Simonovic, S. P., A methodology for spatial fuzzy reliability analysis. Applied GIS, 3(1), pp. 1-42, 2007. [15] Simonovic, S., A new method for spatial and temporal analysis of risk in water resources management. Journal of Hydroinformatics, 11(3-4), pp. 320-329, 2009. [16] Zongxue, X., Jinno, K., & Kawamura, A. et al., Performance risk analysis for Fukuoka water supply system. Water Resources Management. 12, pp. 13-30, 1998.


Section 2 City planning



71

The small world of stakeholder groups: cascading concepts for urban change M. Ganis, J. Minnery & D. Mateo-Babiano The University of Queensland, School of Geography, Planning and Environmental Management, Australia

Abstract This research seeks to understand why some stakeholder groups adopt novel urban design notions and others tend to lag in the uptake of these ideas. Key stakeholder groups participated in a semantic differential task of bipolar urban design qualities. A concept mapping task revealed those groups who aligned in their concept of good urban places and by implication, those that differed. The results showed that architects and planners are early adopters of urban design concepts, engineers, developers and the community are an early majority of adopters and landscape architects and councillors are the late majority. A small world metaphor offers a model for the spread of ideas between groups. Keywords: perception of place, small world networks.

1 Introduction Urban change is sometimes fraught with difficult planning negotiations. Such difficulties occur because stakeholders’ planning expectations are not often satisfied. We need to elicit an underlying conceptual structure of their expectations for urban places. This discussion will consider firstly: the perception of place as a cognitive process; the role of small world network theory in understanding the process of the spread of ideas; and finally, the results of an empirical study interpreted in the context of a small world approach in understanding stakeholder groups’ acceptance of novel ideas in planning urban change.



2 Adaptive perceptual cycle In planning for urban change we need to understand stakeholders’ perception of the urban context. The Adaptive Perceptual Cycle describes how people perceive their world and adapt to changes in it [1–4]. The Adaptive Perceptual Cycle (Figure 1) illustrates how we experience a place guided by existing expectations (or schemata). Information is absorbed as we experience a place (physical, social, cultural etc.) that tests our expectations or schemata. This contextual information may either ‘fit’ our schema or conflict with it. If our schema is not a ‘good fit’ a crisis of relevance occurs and a choice must be made to either adapt or not. This is the point of criticality [2] whereby the schema either resists change (systemic rigidity) or adjusts and adapts to the new context (systemic shift). CRITICALITY

Adjust

Systemic rigidity

SCHEMA

Systemic shift

ADAPTATION

Test

CONTEXT

Explore

Direct

T

I M E

Figure 1:

Adaptive Perceptual Cycle [1–4].

Resistance to change threats the stability of a whole system – small local instabilities engulf a whole system (schema) and threaten global instability (criticality) creating a change imperative (self organisation). This self organising change in the Adaptive Perceptual Cycle is its point of criticality [3]. Synergetics (from the Greek word meaning, ‘working together’) contributes to the idea of self-organising adaption. Consider the complex network of factors that make up an urban context (these might be political, economic, social etc.). These factors present order parameters (such as regulations, policies, traditions etc.) which help structure personal and social knowledge structures. Order parameters WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


73

compete to capture control of a knowledge structure. As Haken puts it, the order parameter that ‘captures’ and ‘enslaves’ its competitors wins [5]. The point of ‘enslavement’ represents a critical shift or a phase transition. Just as synergetics captures ideas until dominant concepts emerge, the Adaptive Perceptual Cycle tests concepts until a point of criticality demands adaptation. In an urban context, our knowledge structure is challenged by many order parameters from culture to politics; and pressures from population to climate change. Many powerful protagonists such as developers, politicians, economists, environmentalists, design professionals, community and so on contest an urban change context. A network of ideas frames their knowledge structure of the urban concepts with which they grapple. Here, this network of urban design ideas is plotted as a concept map and interpreted using network typology.

3 Network typology A network is a relationship of vertices (nodes or points) and edges (links or connectors). Traditionally, network topology identifies the stability of a regular network and the instability of a random network Figure 2). Within the last decade or so, a middle way between regular and random networks has emerged termed ‘small world’ networks derived from the Milgram’s sociological notion popularly known as ‘six degrees of separation’ [7]. These ‘degrees’ are the connections across social groups that expedite our social affiliations purportedly an average of six affiliates between any two people on the planet – this is the ‘small world’.

WS small world model Watts and Strogatz (1998)

REGULAR

BA scale free model

SMALL WORLD (2 types) Figure 2:

RANDOM

Network topology [8, 9].

A small world network is one that combines the characteristics of a regular, ordered network with those of a random, flexible one. Regular networks are characteristically coherent, but slow to change. Random networks are incoherent, but change rapidly. A small world network has the stability of coherence as well as the flexibility of rapid adaptation to change [8, 9]. To begin at the beginning, imagine living in a caveman world (Figure 2). In each cave lives a group of cavemen who only know each other and no one else. One curious caveman ventures out and meets another caveman passing by: “their propensity to be acquainted immediately becomes very high and stays that way WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

74 Sustainable Development and Planning V regardless of how many additional mutual friends they may have” [6]. Now that our caveman world is connected, imagine a social gathering during which one caveman randomly meets another and on discovery of a mutual acquaintance exclaims “Small world isn’t it!”. This mutual acquaintance is a random, longrange ‘short cut’ between formerly distant clusters of cavemen. Affiliations via such ‘short cut’ acquaintances beyond one’s own cave significantly increases the import of novel ideas and innovations, which may challenge the stability of traditional concepts or schemata. 1

2

3

4

Figure 3:

Watts’ caveman world [6].

A small world network combines the stability of a regular network and the creativity of a random one. If we apply this small world network metaphor to the Adaptive Perceptual Cycle this represents how schemata are enriched and changed by novel ideas and innovation. We test this new schema in the real world until the real world experience no longer ‘fits’ that schema. New information arises that triggers a battle of order parameters and eventually impels a cascade of change.

4

Cascades, thresholds and the spread of ideas

In the context of the Adaptive Perceptual Cycle the threshold is the level of criticality and the cascade represents the systemic shift of a concept. Cascades are a characteristic dynamic of complex systems. Cascades appear as critical failures in many complex systems from built form infrastructure to the progression of climate change. The structure of such complex systems withstands many shocks over time and yet can fail unpredictably. This suggests that the structure of complex systems is ambiguously robust yet fragile [11–13]. Is it the structure of the system or the intensity of the shock that impels a cascade of change? Gladwell [10] purports that a special person triggers a cascade of change – such as “shocking!” Hollywood starlets who trigger cascades of changing fads and fashions. Watts [14] and Watts and Dodds [25] counter the special person argument with this analogy – the spark that ignites a forest fire is no different from any other spark. A forest fire is fuelled by a combination of temperature, WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


75

wind and vegetation – it is the structure of the forest system rather than the quality of the spark that triggers a forest fire. The difference is that Gladwell’s world is steered by the star-power of a principal actor [10, 15] whereas Watts’ world is a constellation of random rocks and gases. Thresholds set a system’s level of robustness or fragility. Some people have a high threshold of change (robust) and align with convention. Those with a low threshold of change (fragile) willingly align with unconventional people. This means that in any given social group for any given fad the timing of cascades will differ - some people are early adopters, some are the early majority, some are the late majority and some are laggards [16–18]. The first step in the adoption of a novel idea is the awareness of its advantages or ‘good fit’ with an existing concept. Novel ideas that are compatible with existent schemata offer a familiar, stable conceptual framework from which to explore an unfamiliar or complex concept. Conversely, a ‘bad fit’ idea is likely to be rejected. Finally, adoption of a novel idea is evaluated through testing and observation of how successful the novelty is. Success observed or reported by others drives a novel idea via the few early adopters, the early majority who popularise a novelty and eventually spread it to the late majority and finally, possibly to the few laggards [16, 17]. Novelty needs an innovator. The innovator is the one who ventures forth out of their conceptual ‘cave’ and initially broadcasts the seed of a novel idea [11, 16]. Fertile soil is found in a low threshold context in which new ideas are compatible with the schemata of susceptible individuals. Early adopters are open to novelty particularly if there is an expectation from their colleagues that they are somewhat avant-garde and creative. If this group of susceptible early adopters is a homogeneous, like-minded close-knit group the novelty is rapidly adopted. However, if a homogeneous group has such strong ties that they know only each other and no one else – much like an isolated caveman – the novelty remains predominantly within the group and trickles slowly throughout the wider community. Conversely, a heterogeneous group exposes a novel idea to diverse people with different interests connecting them beyond the group’s conceptual ‘cave’. This heterogeneous group of lesser-like-minded people have diverse acquaintances (weak ties) and act like a conduit for the spread of ideas [19–22]. The ‘strength of weak ties’ is that they generate a cascade of early majority adopters via their tacit connections with affiliates of other diverse groups [6, 16]. An early majority is a mass movement of followers that spreads novelty. The early majority generates the acceptance of a novel idea because the more people are attracted to a following the more people follow. Early majority cascades demonstrate a level of certainty that a novelty is tried and tested, acceptable and popular. This reassures the high level threshold that the risk-averse late majority needs before adopting a novel idea. And finally, the small group described as laggards [16–18] are those who adhere fiercely to conventional ideas despite the cascades of change around them. They resist the external shocks that persistently test their schemata of the world. Some may retreat into isolation and others may


76 Sustainable Development and Planning V form exclusive communities who adhere to age-old ideas and practices and are impervious to the new. Network structure influences the global spread of novel ideas [11] [26]. The points (vertices) of small world networks represent ‘adopters’ and the lines (connectors) represent the ‘ties’ between adopters. There are two types of small world networks (Figure 2). The first is the Watts and Strogatz [8] WS small world network model and the second is the Barabasi and Albert [9] BA scale-free network. The difference between these two small world models is the connectivity distribution, the growth mechanism and the composition. The key similarities that characterise both as small world networks are that they exhibit dense clusters, shortest path connectivity and self-organising evolution over time. The WS small world network is a homogeneous model in which ‘adopters’ connect with their nearest neighbour [8, 21, 23, 24]. It is an exponential growth model that tends towards a sparse distribution of dense local clusters (hubs) connected via long range short-cuts to the global network - somewhat like road network of towns and cities. The BA scale-free network is a heterogeneous model in which ‘adopters’ exhibit preferential attachment connecting with the rich and powerful – a ‘rich get richer’ power law distribution mechanism [9]. The BA model forms a densely connected giant component (hub) that dominates the global connectivity of the network – somewhat like an airline network of major airports around the world. Network robustness and fragility are affected by the different structure of small world networks [11–13]. A WS small world model is a homogeneous network in which the low threshold of like-minded colleagues creates cascade fragility enabling the early adoption of ideas. However, the fragility of the cluster of early adopters does not affect the robustness of the WS small world network because of the sparse distribution of clusters – ideas will cascade incrementally. The BA scale free model may have the robustness of heterogeneity but the network is dominated by a giant component to which most adopters attach. A targeted attack on this dominant hub fragments the whole network and ideas will cascade catastrophically. 4.1 Method Empirical case studies of small world networks have been described for many real world contexts but as yet, research into psychological networks is limited [29]. The intent of the concept mapping task is to reveal the stakeholders’ schemata of urban design qualities that make good urban places. Multidimensional scaling (MDS) is a relational statistical method traditionally used in psychology and social network analysis [15, 27]. Cluster Analyses (CA) support the interpretation of the MDS plots. If there is ambiguity between the MDS and the CA the MDS result takes precedence [28]. A Kendall Tau correlation elicits those groups whose schemata are similar and those that are different. A semantic differential task presents bipolar categories of urban design qualities derived from a content analysis of the urban design literature. The participant groups consist of a stratified random selection of design, development, community professionals and a lay group. These stratified groups WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


77

are selected because they represent the usual stakeholders in an urban change process: Architects (10); Councillors (elected local government representatives) (8); Developers (7); Landscape Architects (7); Planners (24); Transport Engineers/Planners (11); and, Others (9) a total of 76 participants. The participants are instructed to respond from the perspective of their professional or community role. The urban change scenario is described so that their responses are framed by a real world context with which they are familiar – South East Queensland, Australia. “The predicted growth in South East Queensland over the next 20 – 25 years will trigger changes for existing urban centres. These changes will have an impact upon the urban design qualities of urban centres. Please mark with an X, the ranking number that best fits your idea of good urban design qualities for South East Queensland.” The bipolar categories of urban qualities that the participants rank (from 1–7) are: Table 1: Var. 1 Var. 2 Var. 3 Var. 4 Var. 5 Var. 6 Var. 7 Var. 8 Var. 9

Coding and bipolar categories for semantic differential task. Compact, Distinct Centres - Dispersed Sub-centres Local Character Building Style - Unusual, Landmark Architecture Clear Way-finding - Mysterious Exploration Technical Efficiency - Sensory Experience Small-scale Local Infrastructure - Large-scale Regional Infrastructure Adventurous Places - Safe Places Urban-Rural Fusion - Ecological Conservation Evolving Places - Completed Places Movement Network Connectivity - Movement Network Separation

4.1.1 Results The MDS plots consist of clusters of variables (shown as groups of dots) and dimensions (shown as a line or curve of dots). The plots are two-dimensional for clear interpretation. The stress value of an MDS analysis is an evaluation the results’ ‘goodness-of-fit’: a stress value of 0.25 is a ‘bad fit’. A low stress value indicates greater reliability and a high the stress value indicates less reliability because the results may be too complex to interpret. The results indicate a range of stress values for each group between >0.01 and 4000 wh/m2/day

2500–4000 wh/m2/day

< 2500 wh/m2/day

2. Climate zone

Zone 1

Zone 2

Zones 3 and 4

3. Hours of light

> 8 h/day

5 – 8 h/day

< 5 h/day

4. Main roads distance

500 m – 1000 m

1000 m – 2000 m

< 500 m, > 2000 m

5. Land slopes (degrees)

< 10°

10°– 15°

> 15°

> 10 m3/ha/year

5 – 10 m3/ha/year

< 5 m3/ha/year

1. Beam sun

6. Biomass availability

Three performance maps have thus been created, referring to the three parameters of energy sustainability used in the analysis. These maps, as shown in figures 7, 8 and 9, allow us to make comparisons between the sustainable energy performances of the different urban forms. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 7:

Figure 8:

Energy saving and conservation.

Energy efficiency.



Figure 9:

143

Renewable energy sources.

When we look at the energy saving and conservation criteria the form of a settlement does not seem to affect energy performance; there is no significant difference between the city and the small towns. Energy efficiency, however, seems to be highest in the city, while the small towns are at a disadvantage. From the point of view of renewable energy resources the small centers seem to perform best and it is the city’s turn to be handicapped.

5

Conclusions

The initial assumption of this paper was that, considered from the perspective of sustainable development, the opposition between the compact city and the diffuse city is losing its validity. This is because very soon all type of settlement will have to adapt to criteria of sustainability like energy saving and conservation, energy efficiency and renewable energy sources. It is therefore a question, without setting them up in opposition to each other a priori, of verifying the ability of the different urban forms to adapt to these criteria and, if necessary, to take action, through planning practices, in order to create the conditions of such an adaptation. In order to demonstrate this we have used the criteria of sustainable use of energy resources referred to above to compare the energy performance of different urban forms. The following conclusions may be drawn from our analysis: WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

144 Sustainable Development and Planning V Our methodology proved to be effective in describing the sustainable energy performance of urban forms through both morphology and compactness gradient. The hypothesis that urban compactness is not the only approach to be used in planning practices to achieve high levels of sustainable use of energy resources is confirmed by the empirical observations presented in our study. We see, in particular, that although compact cities are more energy efficient, less densely built areas are more suitable for renewable energy generation. The analysis of energy performance from a morphological point of view allows us to identify critical of intervention in order to bring them into line with sustainability criteria. The lack of data and the ad hoc methods used for our spatial analysis has forced us to make some approximations. It was not possible to use a single unit of measurement for the spatial patterns of energy performance. This means that the results have been subject predominantly to visual comparisons. Likewise, it isn’t possible to compare performance data from other studies conducted using different methodologies. Future developments should identify a unit of quantitative measurement of energy performance and the necessary conversion formulae to be used in the research works.

References [1] European Environmental Agency, Urban sprawl in Europe. The ignored challenge, Report 10, EEA: Copenhagen, 2006. [2] Jenks, M., Burton, E. & Williams K., The Compact City: A Sustainable Urban Form? Oxford University Press: Oxford, 1996. [3] O’Mehara Sheenan, M., City Limits: Putting the Brakes on Sprawl, Worldwatch Paper 156, Worldwatch Institute: Washington DC, 2001. [4] International Energy Agency-Organization for Economic Co-operation and Development, City, town and Renewable Energy. Yes In my Front Yard, IEA/OECD: Paris, 2009. [5] Gartland, L., Heat islands: understanding and mitigating heat in urban areas, Earthscan: London, 2008. [6] Owens, S.E., Energy, Planning and Urban Form, Pion: London, 1986. [7] Alberti, M., Advances in Urban Ecology. Integrating Humans and Ecological Processes in Urban Ecosystems, Springer: Washington, 2008. [8] European Commission, Intelligent Energy Europe. Mapping of previous integrated energy approaches, Part 2, EU INTEND project, task 2.1, EIE06-021-INTEND, EU: Bruxelles, 2005. [9] Rubin, J., Optimal Classification into Groups: An Approach for Solving the Taxonomy Problem, J. Theoretical Biology, 15, pp. 103-144, 1967. [10] U.S. Green Building Council, LEED Reference Guide for Neighborhood Development. 2009 Edition. USGBC: Washington D.C., 2009. [11] Hanova, J., Dowlatabadi, H., Strategic GHG reduction through the use of ground source heat pump technology, Environmental Research Letters, 2 (4), pp. 1-8, 2007. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


145

Sustainable aspects of traditional Ottoman neighbourhoods in modern Turkish urban settlements G. Koca & R. Karasozen Anadolu University, Department of Architecture, Eskisehir, Turkey

Abstract Ottoman settlements have nature and human originated concepts, both physically and socially. The smallest unit of the Ottoman urban settlement is the quarter which has an organic texture. It can also be defined as an administrative and social unit. The houses of the rich and the poor were located next to each other and dwellings of a neighbourhood had always had the responsibility of helping and protecting each other with close neighbourhood relations. The existence of public participation in social organizations including humanistic values can be realised. The feeling of belonging had raised the environmental quality both physically and socially. The rapid and dense growth of cities and socio-cultural transformation of the society from traditional to modern have destroyed the neighbourhood order. As the dwellers of them have no common backgrounds and cultures, the relations get weakened. People who live in these modern settlements have not felt themselves belonging to the place and neighbourhood relations have weakened, and as the responsibility of protecting and watching each other has disappeared the crime rate at the common spaces of the settlements has increased. The neighbourhoods of the rich and the poor have been entirely separated. Some of them are designed using the traditional forms which cannot be defined as sustainability of traditional socio-cultural values which are independent from changing life styles. Sustainable aspects of traditional Ottoman neighborhoods in modern Turkish settlements with their physical and socio-cultural environmental features will be examined in this paper. Keywords: sustainability, neighbourhood, traditional Ottoman settlement, modern Turkish settlement.



1 Introduction Sustainability is the capacity to endure, which includes policies and programs that integrate social, environmental, and economic elements. The sustainability of neighbourhoods, which is the subject of this paper is involved in social dimension which includes peace, security, social justice, human relationship to nature and human settlements (wikipedia.org [1]). Culture is gradually emerging out of the realm of social sustainability. UNESCO defined the cultural dimension of community development as being “the whole complex of distinctive spiritual, material, intellectual and emotional features that characterize a society or social group. It includes not only the arts and letters, but also modes of life, the fundamental rights of the human being, value systems, traditions and beliefs”. Cultural sustainability means change occurs in a way that respects cultural values. Sustainability must include an understanding of culture as well as of the place in which it occurs (www.creativecity.ca [2]). Traditional Ottoman settlement is a synthesis of nomadic and semi-nomadic, Islamic and Anatolian cultures with its sustainable cultural values. This synthesis affected their view of life, nature, place, beliefs, social relations and family and settlement organizations.

2 Features of traditional Ottoman neighbourhood Ottoman cities had three main functions as housing, market and religious centres (Cerasi [3]). It is a character of traditional Turkish settlements that the dwelling and shopping areas are completely separate. Housing texture in Ottoman period was divided into small communities which are called as neighbourhood and were detached from market places (Kuban [4]). The houses in a neighbourhood were built around a religious complex. The characters of a neighbourhood have common features with the settlement of nomadic tribes. As each nomadic tribe created their separate neighbourhoods, they were interrelated tightly both socially and physically. Each neighbourhood inhabited around a central square, a spring or a religious centre separate from others (Kucukerman [5]). The nomadic worldview has great influences in forming the character of traditional Ottoman town. According to nomadic worldview, the temporariness of life and the material, respect to nature and human were the main principles, so they preferred the natural environment to the artificial one (Koca and Karasozen [6]). They built their houses with temporary materials such as wood and mud brick while using stone and brick for the monumental buildings. As the continuity of their nomadic traditions, they created a nature-oriented environment with green gardens. Any of the houses cut another one’s sight and sunlight and shows respect to each other. Each building is unique itself as a part of the whole. As the physical structure of the land, climate, building methods and materials change, the main principals of the settlements does not change. The effect of Anatolia on traditional Ottoman neighbourhood was mainly at physical features with use of local materials and building techniques by local WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


147

builders. On the other hand, the tissue of traditional Ottoman towns is affected from nomadic culture and devoid of rational order. The arrays of houses with spontaneously formed plans create narrow, irregular and picturesque road structures which lead to the centre and blind alleys as the extensions of main axes. There were no roads before the houses had been built and they were formed naturally and spontaneously. Although it hasn’t got a rational worldview of an organized society, this tissue has been appeared by a functional and organic development (Kuban [4]) (Figure 1).

Figure 1:

Traditional Turkish neighbourhood.

Neighbourhood in the Ottoman system can be defined as an administrative and social unit (Cadirci [7]). The houses of the rich and the poor were located next to each other and were not distinguished from each other as location and building principles except for the dimensions and building details of the houses. Dwellings of a neighbourhood had always had the responsibility of helping and protecting each other with close neighbourhood relations (Koca and Karasozen [6]). Islamic culture also had effects on traditional neighbourhoods with its family organisation, understanding of privacy and position of women. They had patriarchal system and lived as large families. Privacy of women and family life shaped both the settlement and house planning with introverted life style by the effects of Islamic culture. Public and private spaces of the settlement were absolutely separated, thus the ground floor walls form a distinct barrier between the interior and exterior, in some cases having a fortress-like impregnability. It opened to the outside visually only by projecting bay windows of the upper floors covered with lattices. As the garden was used as an open space of the house for women, they also had high walls combining with the ground floor walls (Kucukerman [5]). The access to the house was indirectly from the garden and the threshold between public and private spaces was the garden gate until the Western effects in 19th Century (Koca and Karasozen [6]). WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


3 Formation of modern and squatter settlements Westernisation movement of the Ottoman Empire had started in the 19th century and also affected the urban form. New building types, new architectural styles and new urban spaces had been added to the city life such as regular streets, passages and apartment buildings. Houses of traditional settlements became more extroverted with their ground floor windows and direct accesses to the houses. The foundation of the Republic of Turkey in 1923 gave acceleration to the modernisation process. The earliest urban plans of Turkish cities had been started to be made with regular boulevards and streets, squares, parks and modern buildings. Modernisation project of the Republic has not only affected its physical image but also its social structure. Secular system decreased the role of religion and the position of women has changed. Life styles became more extroverted, large families split and transformed into nuclear families. While modernism was being internalized by people who live in cities, traditional culture has been kept on at rural areas of the country (Koca and Karasozen [6]). Beginning from the 1950s, migration from rural areas to cities started and caused deterioration on both physical and social environments, especially in big cities. The need for housing, which appeared as a consequence of dense immigration, led to an uncontrolled and unforeseen physical growth through the squatters of cities. This illegal growth has reflections from traditional texture of rural areas with their spontaneously developed irregular texture. As a negative result of their having legality and having permission for multi-storey buildings later on, some of these settlements which have a close location to the city centre have been transformed into low-quality apartment houses without physical and socio-cultural infrastructure (Koca and Karasozen [6]) (Figure 2).

Figure 2:

Squatter neighbourhood.



149

Residents of the squatter houses usually prefer having a house among the people from their home towns or villages and built their houses collectively, so that they have strong neighbourhood relations. They live as large families and continued the patriarchal family system and introverted life style. The second and third generations are under the control of the first generation members who have succeeded in becoming house owners. The houses have flexibility. It is seen that the house can be extended horizontally by adding rooms to the garden or additional stories can be added as the youngsters get married and families get larger later on. For that reason, these houses usually have no roof or no external plaster, and always look incomplete (Senyapili [8]). Since the residents can only afford the very basic needs of houses, they don’t pay any attention to the standards of outdoors. It can be said that the early examples of the squatter settlements had traditional effects. Even though they are single or two-storey houses and have gardens, they are denser than the traditional (Senyapili [8]). People who migrated from rural areas and continued traditional culture have not only brought their spatial understanding but also traditional life style with them, creating new cultural problems in addition to inadequate physical conditions. It was a culture of transition from being traditional to modern and from being peasant to citizen. Their overpopulation is the main factor that slows down the process to become urbanized and creates a new culture in between. They both cannot internalize the urban culture and continue the traditional values completely. In planned areas, modern settlements started to appear completely different from traditional texture. People adopted quickly and preferred modern houses to the traditional ones for their facilities and better building and comfort standards. Modern settlements appeared in different ways. One of them was by demolishing the traditional buildings and building the modern multi-storey ones instead of them before the conservation act at the 1980’s. The other one is the production of mass housing by the government or private sector on the planned areas. Both implementations have supplied an important number of housing stocks while deteriorating the traditional tissue and social life (Koca and Karasozen [6]) (Figure 3). The unity of the traditional settlements and each building being unique in itself produced a common language and variety, now replaced with ordinary and monotonous settlements. As these new settlements are not nature and human oriented, environments have less green areas and less respect to each other’s view and sunlight as the planning decisions of these settlements are not given by the users but by the contractors and planners. The traditional neighbourhood organization has also deteriorated at the new settlements. As the dwellers of these new neighbourhoods have no common backgrounds and cultures, the relations between them get weakened. As people who live in these modern settlements have not felt themselves belong to the place, it has turned to a neighbourhood that people do not know each other on the contrary to the traditional neighbourhoods. As the responsibility of protecting and watching each other has disappeared, the crime rate at the common spaces of the settlements has increased. The neighbourhoods of the rich and the poor have been separated absolutely. The socio-economic and cultural difference of people WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 3:

Modern neighbourhood.

from various sub-cultures has been so deep that it is impossible to be integrated in modern settlements different from the unity of traditional neighbourhoods. The homogenous structure of traditional culture replaced with the heterogeneous structure of modern culture (Koca and Karasozen [6]).

4 Conclusion Cultural change is inevitable for development of societies and it is impossible to rebuild the traditional in modernity as the modernity rejects the traditional. On the other hand, it is a problem that the positive traditional values not being transferred to the latter generations. Adopting positive aspects of traditional settlements to the present and future society is an important dimension of cultural sustainability. As the family structure and understanding of privacy have changed in modern Turkish society, positive socio-cultural sustainable aspects of traditional Ottoman neighbourhoods in modern Turkish urban settlements can be determined as follows: 

Respect to nature and humans, ( houses do not cut off another one’s sight and sunlight and shows respect to each other, buildings fit human scale)



Nature-oriented environment (tissue fits topography, green gardens)



Use of local materials



Good neighbourhood relations



Sense of belonging



Self-control for security



Each building being unique itself as a part of the whole (not being monotonous as modern settlements)



151

Squatter neighbourhoods have the potential of sustainability of traditional values with these positive features above as a traditional society trying to adapt to modern urban life. Self-help building process and flexibility of houses are the additional social values as sustainability. The problem is their having negative physical conditions and being out of legal process or lack of laws suitable to sustainability. Modern neighbourhoods are devoid of achieving the positive sustainable social values of the traditional settlements existing in squatter settlements although their high standards of designed environments. Integrating the positive aspects of the traditional and the modern neighbourhoods will be the most appropriate solution for sustainability.

References [1] http://en.wikipedia.org/wiki/Sustainability#Human_settlements, 2011. [2] http://www.creativecity.ca/se-newsletters/special-edition-4/key-contexts2.html, 2011. [3] Cerasi, M., Osmanli Kenti, YKY, Istanbul, 1999. [4] Kuban, D., Turk ve Islam Sanati Uzerine Denemeler, Arkeoloji ve Sanat Yay., Istanbul, 1982. [5] Kucukerman, O., Turkish House in Search of Spatial Identity, Turkish Touring and Automobile Ass., 3rd Ed., Istanbul, 1988. [6] Koca G., Karasozen R., “The Change in Traditional Identity of Turkish Urban Settlements”, The Multiple Faces of Identity in the Designed Environment ADGD Conference, Nottingham, 2009. [7] Cadirci, M., The Neighbourhood in Anatolian Towns, Housing and Settlement in Anatolia a Historical Perspective, Habitat II, pp. 257-262, History Foundation Publications, Istanbul, 1996. [8] Senyapili, T., New Problems / Old Solutions A Look at the Gecekondu in the Urban Space, Housing and Settlement in Anatolia a Historical Perspective, Habitat II, pp. 345-354, History Foundation Publications, Istanbul, 1996.




153

From scoring to orienting: the development of a compass for evaluating sustainable urban development at the neighbourhood scale H. Vandevyvere Department of Architecture, Urbanism and Planning, Katholieke Universiteit Leuven, Belgium

Abstract Recent tools for the evaluation of sustainable neighbourhood performance have been conceived as measuring instruments that deliver an unequivocal outcome in the form of a score. The benefits of these tools in terms of benchmarking, communication power and marketing are obvious. However, the complex tradeoffs that characterize urban development projects complicate a straightforward translation of ‘sustainability aspect’ to ‘score’, not at least because quantitative and qualitative criteria must be combined into a final judgement. The quantitative data uncertainties characteristic of many urban surveying processes further add to the problem. Quantifying the unquantifiable may therefore be considered as the Achilles’ heel of these evaluation tools. A more processoriented guidance can then offer an alternative. The present contribution describes an approach that combines scoring with arguing as a way out of the difficulties of mere quantification. Attention is deviated from the single score to the wider panorama of contributing factors. Three elements provide the basis for the development of the method. Referring to research in political sciences, indicators are primarily conceived as ‘boundary institutions’ that facilitate information exchange between scientists, decision makers and stakeholders. A new form of radar diagram is developed for a better visualisation of complex valuations, minimizing perception bias while maximizing useful information content. Performance thresholds and qualitative accounting are finally added as indispensible components of the judgement palette. The resulting tool thus functions as a compass rather than a gauge. Keywords: sustainable urban development, indicator system, neighbourhood, assessment, multimodal system analysis, radar diagram. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110141


1 Introduction Evaluating the sustainable performance of urban fragments has gained much attention in recent years. The advent of market-based instruments like LEED for Neighborhood Development [1] and BREEAM Communities [2] in 2009 is illustrative of this trend. It coincides with the emerging consciousness that aggregated sustainability benefits appear at the urban scale level compared to optimizing single buildings for sustainability, or inversely, that ignoring sustainability factors at the urban scale results in deficient overall system performance. Evaluation does not come without methodological difficulties, however. At the level of the neighbourhood or the city, the complexity of framing and assessing sustainable performance is considerable. Two major contributing factors to this complexity are the intricate mix of environmental, social and economic border conditions for sustainability on the one hand, and the difficulties of quantitative modelling and corresponding data collection on the other hand. The first factor can further be interpreted in terms of a tension between quantitative and qualitative evaluation, or between the determinative conditions for environmental sustainability and the normative conditions that define the sustainability of society as a whole [3, 4]. Starting from the observation that a mixed quantitative-qualitative evaluation will thus meet difficulties in uncontested scoring, an alternative scheme for sustainability evaluation has been developed. Elements of such strategy can also be found with other acquainted assessment tools (e.g. [5]), but it is not the approach of commercial labels and official rating instruments (e.g. [6]), as these aim at an undisputable outcome for reasons of benchmarking and regulation. The alternative approach delivers a compass rather than a gauge, and has particularly been thought of as an instrument for reflexive governance [7].

2 Preconditions for the assessment instrument Starting from both a literature review and field inquiries, a set of preconditions for the assessment instrument has been determined. These are, summarizing [4]: To provide a comprehensive and transparent way of assessing sustainability so that professional actors can go through the evaluation process with a larger group of participating stakeholders [8, 9];  To consider sustainability components through indicators that are effective at the micro-urban scale level. Efficiency can be gained by integrating input from other evaluations carried out at the same time, e.g.: EIAs (environmental impact assessments), EPR calculations (energy performance regulation), building simulations, compulsory water management checks, life cycle assessments (LCA) and life cycle costing (LCC);  To cover, by extension, all modal spheres of sustainable functioning;  To focus on results rather than on the means to achieve these results;  To provide a strategy to deal with uncertainties; WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


155



To be flexible enough to allow adaptation to the unique context of a particular project;  While not remaining so undefined or elastic that individual actors can divert the evaluation process towards their sectorial concerns, thus harming the common interest or the overall sustainability targets (e.g. 10]). The completeness in terms of modal spheres refers to a methodological concept based on the philosophical work of Herman Dooyeweerd [3, 4, 11–13]. By evaluating qualitative results, rather than the means to achieve these results, the method adopts a different approach compared to pure rating systems. For example, spatial quality will be assessed in se and will not be valued procedurally, e.g. by controlling if a spatial quality surveyor has been assigned during the development process. The above preconditions have led to three strategic options for working out the instrument:  The selected indicators shall function as boundary institutions that facilitate the exchange of knowledge between the spheres of science, policy and society [14];  Rating will be complemented by other assessment techniques, in particular the introduction of performance thresholds and the composition of (qualitative) arguments;  A new type of radar diagram will be developed, in particular to respond to problems of perceptive bias that occur with some commonly used radars. Performance thresholds must guarantee that essential conditions for sustainable functioning are fulfilled, regardless of the obtained overall score.

3 Indicator system and composite tool The present section explains the components of the evaluation. 3.1 Indicators A set of indicators makes up the basis of the system. As mentioned higher, these indicators are thought of as boundary elements that facilitate knowledge transfer between concerned parties. Main indicators can be composed of up to 4 subindicators. Two major inputs guide the selection of these indicators: a survey of existing indicator systems on the one hand, and multimodal control for completeness of the set on the other hand. Complementary input was obtained from an expert panel (see also further). The resulting system of main indicators with its inputs is represented in figure 1. The indicators are grouped in four categories that correspond to the classical 3P division (planet, people, prosperity), completed with a category that controls process quality and integrity. This may be compared with ISO 14031’s distinction between operational performance indicators (3P categories) and management performance indicators (steering category) [15]. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 1:

Inference diagram for the main indicator system.

With the aim of constructing a working basis, several types of existing indicator system have first been screened for valuable input. The analysed systems can be distinguished as belonging to 4 major spheres: academic and research-oriented; market-based; mixed; and ad hoc or project-based. Mixed instruments refer to tools that result from a collaboration between research institutes, consultancies and/or (local) authorities. In total, 19 indicator systems have been analysed this way [4], among which LEED for Neighborhood Development, BREEAM Communities, the Hammarby Sjöstad Model [16] and BedZED’s 21 Steps Chart [17], to name a few of the better-known examples. The resulting pragmatic set of possible indicators has subsequently been reworked and controlled for completeness. At the top of figure 1, the modal aspects to be accounted of are represented as knowledge spheres. Two types of knowledge input, direct and indirect, may be distinguished. For example, WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


157

mathematics, while belonging to the numerical realm, has a supportive role in delivering tools for analysing other spheres, e.g. the social realm by means of statistics or the economic realm through monetizing techniques. Such indirect aspects are labelled as feeders in figure 1. An in-depth discussion of multimodal analysis and its application in sustainability evaluation is beyond the scope of the present article, but can be found in [4]. An observation should be made about the independency of the indicators. It appears that a workable set is always composed of indicators that influence each other, and so are not strictly independent. For example, the sustainability of the transport system analysed under mobility influences spatial quality and physical quality of life (absence of harmful emissions and nuisance), and thus indirectly many other environmental and social aspects. A similar reflection can be made about economic behaviour viewed as a social construct, or about any other links between modal aspects. This phenomenon is recognized in multimodal system analysis, and explained in terms of the inevitable anticipations and retrocipations that exist between the modal spheres. In fact, the only independent variable for our analysis appears to be the integrated sustainability itself. However, when assigning effects to particular indicators, it remains important to avoid double-counting. For example, energy use for transport will here be considered under the indicator energy, and so not again under the indicator mobility. Sub-indicators make up the technical layer for the assessment. As an example, the sub-indicators for energy consumption during the use phase and for spatial quality are explained here. Energy use is assessed by considering:  Fossil energy consumption in buildings and infrastructures during their exploitation, expressed as surface-averaged kWhprimary, fossil/m², year or as kWhprimary, fossil/person, year;  Environmental quality of the building and infrastructure energy use expressed as proportionally averaged Ecopoints/kWh;  Fossil energy consumption for transport of inhabitants and users, expressed as kWhprimary, fossil/person, year. Energy embedded in building and infrastructure materials is included in the materials indicator through an LCA-score. The energy assessment is thus not a pure LCA-analysis, but reflects a series of actual priorities as follows: (1) to reduce the fossil energy consumption of buildings and urban infrastructures; (2) subsequently, to fill in the remaining energy demand as environmentally friendly as possible; and (3) to add the location impact of settlements on transport energy in order to complete the energy consumption figure of the urban fragment. This approach is similar to the principles of the trias energetica. Moreover, the subdivision allows to handle certain problems of data collection and modelling: at the neighbourhood scale it is very difficult to assess mobility effects, whereas estimating intrabuilding energy figures is more feasible. The sub-indicators allow thus to give relief to the information in terms of uncertainty degrees. Of course, this relief is


158 Sustainable Development and Planning V lost at the aggregation level of the main indicators, but the processed information remains available for in-depth analysis. In contrast with the quantitative assessment of energy use, spatial quality is judged in exclusively qualitative terms. The valuation is structured by a nonexhaustive series of aspects to be judged, as follows:  gradations of public and private character, transitions between these spheres, buffer areas, and corresponding changes of scale;  articulation of the different programmatic elements with respect to each other; in particular the relation between buildings and infrastructures and the possible barrier effects of the latter;  meaningful integration of green structures and green-blue networks into the urban landscape;  visual landscape quality and scenic beauty;  legibility and permeability of the urban tissue;  integration of different architectural concepts in a given setting or masterplan; and the articulation and integration of existing patrimony herein;  authenticity and architectural quality of individual buildings. The final score is normative, but could be numerically composed by assigning symbolic ratings to each of the individual aspects, and subsequently weighting them. In the present state of the instrument, such partial scoring and weighting has not been provided for spatial quality. Whether or not this is done depends on how far users want to instrumentalize the evaluation. This problem is very similar to the challenges of judgement formulation in, for example, architectural competitions. Mixed sets of sub-indicators are used as well. This means they include quantitative (determinative) and qualitative (normative) aspects. Symbolic rating and weighting allow aggregation into the corresponding main indicator score. 3.2 Scores and weighting factors All indicators and sub-indicators are scored on a scale from 0 to 10, independent of their quantitative / qualitative character. To arrive at an overall score, sub-indicators and indicators are aggregated by means of a weighted sum. For aggregating the main indicators, a set of weighting factors has been established by an expert panel. The consulted panel included 20 professionals from academia, government functions and the private sector (designers, consultants, project developers,…). The experts were selected for their authority and familiarity with problems of sustainable urban development in Flanders, the context of the research. The reference situation to be weighted was an urban development with a dominantly residential program. Apart from assigning weighting factors, the experts were also asked for intrinsic feedback about the indicator system (cf. supra). Table 1 resumes the averaged weightings obtained from 17 respondents.



Table 1:

159

Rounded indicator weights and corresponding standard deviations (s.d.).

Category / Indicator

%

s.d.

Category / Indicator

%

s.d.

Environmental aspects Materials+ Energy+ Water+ Land use Mobility Emissions and nuisance

37,5 5,0 8,5 5,5 7,0 7,0 4,5

1,95 5,47 1,75 3,86 2,48 1,55

Socio-cultural aspects Safety Servicing effectiveness Integration Sociability Future social value Spatial quality Identity

25,5 3,0 4,0 3,5 3,5 3,5 4,5 3,5

1,14 1,88 1,66 1,46 1,89 1,53 1,32

Economic aspects Life cycle cost Economic embedding Legal certainty Future economic value

18,5 5,0 4,5 4,5 4,5

2,17 1,65 2,25 1,96

Process aspects Process quality Participation Integrity

18,5 6,5 6,5 5,5

2,61 2,98 2,73

The standard deviations are fairly proportional to the weight values. As a critique, the averaged opinion of a group of experts could be judged as being ‘grey’ or levelled off. On the other hand, the procedure assures a higher degree of robustness while some tendencies still remain clear, in particular the dominance of the environmental category. Particular contexts can justify a different weighting set, as far as arguments are brought in for doing so. For example, an urban development around a railway station may require increased attention for mobility, nuisance prevention and servicing effectiveness, at the cost of other factors. The assessor in charge of the evaluation (see also further) controls this contextual adaptation in consultation with the different stakeholders. The above weight factors then serve as a benchmark. Weighting factors for sub-indicators have not yet been assigned on the basis of an expert consultation, but are derived from arguable working hypotheses. 3.3 Exclusion thresholds In order to avoid compensation effects whereby a satisfactory overall score is obtained while severely underperforming on one or more indicators, a set of minimum requirements for sustainable functioning has been defined. A development can thus not be considered sustainable if one of the following requirements is not met:  an appropriate location (expert judgement);  space heating and cooling demand in new buildings under 50 kWhprimary/m², year (European moderate climate);  an acceptable service level of public transport (calculated sub-indicator score of minimum 5/10);  sustainability investments with a simple pay-back time of 5 years are automatically carried out (compared to common practice on basis of legal minimum standards). WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

160 Sustainable Development and Planning V 3.4 Radar diagram A new type of radar diagram representing the indicator scores has been developed, with the aim of reducing perception biases that are characteristic of common radar types. The biases originate from two effects:  a strong angular and surface distortion near the centre of the circular representation;  a different shape of score-connecting lines and figures, depending on the sequence in which the scores are represented. The solution for this problem consists of keeping all graphical elements away from the circle centre. For maximum legibility of the aggregated score, the radar diagram is set up as follows (see figure 2):  the surface of a score block is proportional to the indicator’s weight factor in the overall score;  the colour of a score block represents the actual indicator score (going from red for 0, over orange for 4.1-5, to dark green for 9.1-10);  the actual score is annotated in the score block;  the 4 indicator categories are marked by a graphical segmentation.

Figure 2:

Radar diagram. Colour tones from red over orange to green have been replaced by shades of grey (black = 0; light grey = 10).



161

3.5 Argumentation As stated higher, the present evaluation is intended to serve as a compass that facilitates an approach of reflexive governance, rather than as a gauge for awarding labels. This implies that actors and stakeholders acquire a deeper insight into the sustainable performance of an urban project and do not solely focus on end scores. Eventual barriers and shortcomings that hinder sustainable development need to be surfaced and understood, in order to enable targeted remediation. Providing a consolidated integrity check is of particular importance. Actors and stakeholders have to verify if the sustainability claims they forward stand the proof of integer, holistic sustainable development. If this is not the case, the sectorial agendas of concerned parties may need adjustment. Because of its debatable nature, the entire evaluation process will preferably be managed by an independent assessor. This ‘quality control’ partner assures that quantifiable inputs are correctly handled, qualitative judgements properly balanced, and the aspirations of the different actors and stakeholders considered by referring to a solid definition of sustainable development. Intrinsic quality discussions hereby present the obvious risk of conflicting valuations, but also the opportunity of reaching the core issues of sustainable development. Such strategy coincides with the goal of a result-oriented instrument, rather than a means-oriented one. It avoids the pitfalls of trying to quantify the unquantifiable.

4 Feedback from the application in three case studies In its present state, the instrument has been tested in three case studies as part of a doctoral research project. The selected case studies are an urban brownfield redevelopment (Antwerp docklands), a peri-urban infill project (Mechelen) and a greenfield development at the city fringe (Sint-Niklaas), all in the northern part of Belgium. Some preliminary conclusions about the methodology can be drawn from these applications. First, even if data uncertainties prevent to construct a clear image of sustainable functioning, it is still possible to obtain a useful quick scan of a development project. In this case the evaluation delivers a concise SWOTanalysis. In particular, a lack of data may in itself reflect a weakness of the sustainability targets, and so provide indications for improvement. The same holds for detecting misleading sustainability claims. Second, using the tool has indicated that a lot more research about sustainable urban functioning is needed, particularly in terms of life cycle assessments at the urban scale level. In a similar way, clients need to be methodologically supported from the early programming stages so as to assure the deep sustainability of the development, since a common pitfall is to try to ‘green up’ a traditional project.


162 Sustainable Development and Planning V Third, a tension between local context factors and general sustainability goals may be expected to occur in any practical case. There are however no standard rules to resolve this conflict. And finally, qualitative judgements can be made more robust if the instrument is used to compare projects or development scenarios with each other. Similar reasoning can then be applied in a systematic and comparative way to effectively differentiate between developments and their possible variants. In the case study for Mechelen, a different development scenario was proposed and subsequently analysed as part of the PhD research. This proved that an alternative approach could drastically improve sustainable performance, even while having recourse to market-conform solutions.

5 Conclusions The compass for evaluating sustainable urban development at the neighbourhood scale presented in this paper has set out to adopt an alternative approach to sustainable performance evaluation, as compared to instruments that adhere to a strictly quantitative setup. So an important challenge was to accommodate for qualitative judgements in a structured, but non-mechanistic way. We need now to question if the initial border conditions for the tool have been met. A first aspect to be reconsidered concerns manipulation: can a tool be qualitative and context-sensitive without becoming an idle measure? We venture to conclude that such can be the case under certain conditions: there must be a solid frame of reference with sufficient built-in controls, and the instrument must be used by an instructed and independent assessor, however working in close collaboration with concerned actors and stakeholders for the sake of optimum transparency. This coincides with an approach of reflexive learning. The introduction of a steering category for evaluation and integration of the underlying 3P aspects is an essential component of this strategy. Even if qualitative judging may, from a theoretical point of view, be considered as intangible by definition, it should be noted that it does occur as a common practice. Architectural or urban planning competitions provide us with an excellent instance. The qualitative choices made by competition juries are accepted even if the economic consequences for the participants are far-reaching. The accessibility of the evaluation results to actors and stakeholders is increased by using a concise set of main indicators divided into four categories that are easy to grasp. Practical application has indicated that data uncertainties allow, if not to compose a reasonable score, at least to perform a SWOT-analysis or quick scan. This analysis can be particularly instructive within the development process, because it indicates gaps in the frame of reference that has been put into place for a given project. Further adaptations to the evaluation instrument can consolidate the response to its initial claims. If desirable, minimum thresholds can be turned into quantitative-only criteria by developing a set of measurable location conditions, WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


163

so that a ‘minimum label’ can be accorded in an undisputable way. An expert panel can further evaluate and weigh the sub-indicators, while new and more LCA-data could allow to support more informed calibrations of the indicators and sub-indicators. Some qualitative indicators could be more structurally assessed by an explicit enumeration and weighting of the different aspects to be judged. Further use of the instrument in practice is currently pending, but would allow to effectively engage with its refinement.

References [1] Congress for the New Urbanism, Natural Resources Defense Council, U.S. Green Building Council, LEED 2009 for Neighborhood Development Rating System, USGBC, www.usgbc.org/DisplayPage.aspx?CMSPageID =148 [2] BRE, BREEAM Communities SD5065B Technical Guidance Manual, BRE Global Ltd, www.breeam.org/filelibrary/breeamcommunities/SD5065B__BREEAM_Communities_Technical_Guidance_Manual.pdf [3] Brandon, P. & Lombardi, P., Evaluating Sustainable Development in the Built Environment, Wiley-Blackwell: Oxford and Ames, 2011. [4] Vandevyvere, H., Strategieën voor een verhoogde implementatie van duurzaam bouwen in Vlaanderen. Toepassing op het schaalniveau van het stadsfragment / Strategies Towards Increased Sustainable Building in Flanders. Application on the Scale of the Urban Fragment, PhD dissertation, K.U.Leuven: Leuven, 2010. [5] Blum, A., HQE²R – Research and demonstration for assessing sustainable neighbourhood development (Chapter 20). Sustainable Urban Development Volume 2: The Environmental Assessment Methods, eds. M. Deakin, G. Mitchell, P. Nijkamp & R. Vreeker, Routledge: London and New York, pp. 412-428, 2007. [6] IVAM (2005), DuurzaamheidsProfiel van een Locatie (DPL), www.ivam.uva.nl [7] Voss, J-P., Bauknecht, D. & Kemp, R. (eds). Reflexive Governance for Sustainable Development, Edward Elgar: Cheltenham, 2006. [8] Rotmans, J., Methods for integrated assessment: the challenges and opportunities ahead. Environmental Model Assessment, 3(2), pp. 155-179, 1998. [9] Lombardi, P. & Brandon, P., The Multimodal System Approach to Sustainability Planning Evaluation (Chapter 3). Sustainable Urban Development Volume 2: The Environmental Assessment Methods, eds. M. Deakin, G. Mitchell, P. Nijkamp & R. Vreeker, Routledge: London and New York, pp. 47-64, 2007. [10] Nijkamp, P., The role of evaluation in supporting a human sustainable development: a cosmonomic perspective (Chapter 5). Sustainable Urban Development Volume 2: The Environmental Assessment Methods, eds. M.



[11]

[12] [13] [14] [15] [16] [17]

Deakin, G. Mitchell, P. Nijkamp & R. Vreeker, Routledge: London and New York, pp. 94-109, 2007. Lombardi, P. & Brandon, P., Toward a multi-modal framework for evaluating the built environment quality in sustainability planning (s.n.). Evaluation of the Built Environment for Sustainability, eds. P. Brandon, P. Lombardi & V. Bentivegna, E&FN Spon: London, pp. 7-24, 1997. Basden, A., The critical theory of Herman Dooyeweerd? Journal of Information Technology, 17(4), pp. 257-269, 2002. Lombardi, P. & Basden, A., Environmental Sustainability and Information Systems: The Similarity. Systems Practice, 10(4), pp. 473-489, 1997. Bauler, T., Indicators for Sustainable Development: A Discussion of their Usability, PhD dissertation, Université Libre de Bruxelles: Brussels, 2007. ISO, International Standard ISO 14031: Environmental management Environmental performance evaluation – Guidelines, ISO: Geneva, 1999. Stad Stockholms/GlashusEtt, Hammarby Sjöstad – a unique environmental project in Stockholm, GlashusEtt: Stockholm, 2007. Simmons, C., Ecological Footprint Analysis: a useful method for exploring the interaction between lifestyles and the built environment (Chapter 11). Sustainable Urban Development Volume 2: The Environmental Assessment Methods, eds. M. Deakin, G. Mitchell, P. Nijkamp & R. Vreeker, Routledge: London and New York, pp. 223-235, 2007.



165

Whole-building design for a green school building in Al-Ain, United Arab Emirates S. K. Elmasry & M. A. Haggag UAE University, United Arab Emirates

Abstract Energy efficiency in school buildings has been an international concern for the last few decades. Green-schools initiatives and benchmarks have been developing worldwide, for example Leadership in Energy and Environmental Design (LEED) for school buildings by the U.S. Green Building Council (USGBC), Energy Smart School Program by the U.S. Environmental Protection Agency (EPA). Also, the UK has been producing energy benchmarks and performance guides for almost 30 years, such as Good Practice Guide 343, which includes typical and best practice values for primary school. In 2009, the Estidama Pearl Rating System for school buildings emerged as a local effort in the United Arab Emirates following the Estidama sustainability initiative under the umbrella of the AbuDhabi plan 2030. As part of the Pearl Building Rating System, sustainable performance of schools buildings is assessed against seven main criteria, namely Integrated Development Process (IDP), Natural Systems (NS), Precious Water (PW), Resourceful Energy (RE), Stewarding Materials (SM), Innovating Practice (IP), and finally Livable Buildings (LB). Based on this initiative and the hot arid climatic condition of Al-Ain city, a research team at the United Arab Emirates University has initiated a study of whole-building design of an International School as part of a long-term research agenda for sustainable applications in school buildings in the area. The building is currently performing with photovoltaic panels’ installations, grey water recycling strategies as well as green wall applications. This paper previews the sustainability approaches and systems established in the building, and examines the integrated performance of the building against the Estidama rating criteria recommended for the area. The paper concludes a set of recommendations for


166 Sustainable Development and Planning V sustainable design criteria for school buildings following the Estidama initiative tailored for school buildings using the whole-building design approach. Keywords: Estidama, hot arid climate, school building, UAE, whole-building design.

1 Introduction Schools are generally buildings of high energy consumption due to their highoccupancy levels and their unique occupancy patterns. According to estimates of the US Department of Energy, 25% of the expenses on energy in schools could be saved through better building design and using energy-efficient technologies combined with improvements in operations and maintenance [1]. Classrooms, as the most common functional space, result in very large values of the internal heat sources (approximately 5 kW). As a result, existing design guidelines for low energy consumption in residential [1] or office buildings [2] may not hold for classrooms design, where usage pattern is different and internal heat gains are much larger [1, 3]. In the city of Al-Ain, United Arab Emirates, a local sustainable school initiative was taken by the administration of Liwa International School (LIS). The school is sited in the south west end of Al-Ain city, the inner desert oasis of the UAE. The school building was constructed in 1992 and converted from conventional to sustainable green building in 2010. As a member of the global network of UNESCO affiliated schools, LIS has participated in the World Future Energy Summit 2010 with a sustainable green building project. This project aimed to increase energy efficiency in buildings by introducing green building technologies. As part of an experimental work which was carried out by the authors in 2010 [4], this pilot project was selected as a case study to investigate the performance of the installed systems as part of developing the future agenda of energy-efficient school buildings in the U.A.E. The school occupies 2 separate buildings located in the south west end of Al Ain city; the northern building or the main building (A) hosting the elementary and secondary classrooms as well as the administration, and the southern building (B) hosting the kindergarten section. The campus is specifically located at latitude 24° 16′ and longitude 55° 36′ E., as illustrated in Figure 1. The 2010 project of transforming the building into an energy-efficient educational facility has resulted in introducing 3 systems to the buildings, namely (a) the green wall system; aiming at reducing the heat gain through the building facades. The system has been installed in phases on all building facades consequently. (b) Photovoltaics; installed on the roofs on both buildings, aiming at providing the capacity needed for night lighting and irrigation of the green walls, and (c) grey water recycling system, aiming at producing the capacity of water needed for irrigation. It is essential however to discuss the need for and the efforts towards energy efficiency in general and in school buildings in specific as the umbrella under which this project falls. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


167

A

B

Figure 1:

Satellite image for the LIS campus showing the main building (A) and the Kindergarten building (B). Front image of the main building.

2 Energy efficiency and assessment tools for school buildings Starting the 1990s, energy efficiency in buildings emerged as a global concern given that buildings contribute to 20 – 40% of global energy consumption in developed countries [5]. A number of building assessment tools, benchmarking, and rating systems have been introduced to the building industry offering new values in terms of building performance in general and its environmental responsiveness in specific. When it comes to the special nature of school buildings, developers were conscious enough to tailor these tools to the needs of building type with its unique occupancy patterns, and energy demands. The following sections illustrate international and local efforts in the area. 2.1 International building assessment tools Building assessment tools address building performance from diverse approaches. LEED for example, provides third-party verification that a building or a development was designed and built using strategies which provide performance across a number of the metrics; energy savings, water efficiency, CO2 emissions reduction, improved indoor environmental quality, and stewardship of resources and sensitivity to their impacts [6]. Building performance in LEED is measured and evaluated a point-scale system. BREEAM is another tool which measures sustainability of buildings in the UK. It assesses the building components along its lifecycle to ensure that the accreditation is still valid [7, 8]. SBTool [9], formerly known as GBTool [10, 11] is intended to be used for the assessment of potential energy and environmental performance of buildings. It can handle types of buildings: Multi-unit residential; Office and School. In GBTool, scores are assigned in a range of -2 to +5, where: - 2 and -1 are levels of performance below the acceptable level in your region, for occupancies specified; 0 is the minimum level of acceptable performance in WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

168 Sustainable Development and Planning V your region for occupancies specified; 3 is Best Practice; and 5 is the best technically achievable, without consideration of cost. When it comes to energy performance and assessment of school buildings, it is often devoted in the literature to savings via specific features such as utilization of solar energy, construction features, such as thermal insulation, thermal mass, and shading, HVAC performance, and geothermal pumps [2, 3, 12]. However, basic assumptions regarding thermal comfort, indoor air quality, occupancy and acclimatization schedules, internal loads, and architectural features of the school building are not identical in the various publications, and are usually based on local preferences [3]. International efforts have thus been aiming to develop tailored strategies to meet the specific demands for school buildings, and to meet local or regional demands. Green schools benchmarks have been developing worldwide, for example Leadership in Energy and Environmental Design (LEED) for school buildings by the U.S. Green Building Council (USGBC) [12], Energy Smart School Program by the U.S. Environmental Protection Agency (EPA) [2], The Benchmarking Guide for School Facility Managers as part of the pilot benchmarking and best practices program undertaken by Natural Resources Canada's (NRCan’s) Office of Energy Efficiency (OEE) [13]. Also, the UK has been producing energy benchmarks and performance guides for almost 30 years, as Good Practice Guide 343, which includes typical and best practice values for primary schools [14]. These tools proved success in terms of meeting the patterns of energy consumption and savings in school buildings. 2.2 Estidama, a local Emirati assessment tool The implementation of any of the previously mentioned assessment tools in the context of UAE is in fact inappropriate, since they do not particularly address the local environmental, economical, cultural and social contexts, which are the derivers the broader goal of sustainability. In May 2008, the Estidama Pearls Rating System was initiated in Abu-Dhabi, U.A.E. and added to the international list [15]. The system targets the mid-east region and addresses the impact which the built environment has in establishing sustainability in an integrative design process, taking into consideration four pillars of sustainability; the local environment, economy, culture and society. Estidama is distinguished from previous building evaluation tools by the following [15–17]: 1. The system is organized around five core concepts specifically targeting sustainability; Living Systems, Livable City, Precious Water, Resourceful Energy, and Stewarding Materials. 2. The ‘how to’ is enabled by the Estidama Integrative Design Process (EIDP) concept and Innovative Practice. Under this structure stakeholders will be driven to think about sustainable development as an integrated process of design, construction and operation [16].



169

3. Building sustainability is evaluated holistically within the local context of the U.A.E., the regional context of the mid-east, as well as within the global context (5 pearls rating). 4. Building evaluation occurs as well as through the building life cycle. 5. Each building type use typologies adopted by Estidama has a different emphasis or weighting in the context of Abu-Dhabi. For example, points accredited for development density is weighed by 2 credit points for office buildings, 4 credit points for retail, while it is not considered for residential buildings. In 2009, Estidama Pearl Rating System for school buildings emerged as a local effort in the UAE following the Estidama initiative [18]. As part of the Pearl Building Rating System, sustainable performance of schools buildings is assessed against seven main criteria, namely Integrated Development Process (IDP), Natural Systems (NS), Precious Water (PW), Resourceful Energy (RE), Stewarding Materials (SM), Innovating Practice (IP), and finally Livable Buildings (LB) which covers 2 subcategories; Livable Outdoors (LBo), and Livable Indoors (LBi). In LIS, the school building under study, the main sustainable additions to the building were in the form of 3 systems; green walls, Photovoltaics and grey water recycling systems. These systems directly address the Estidama criteria of Integrated Development Process (IDP), Natural Systems (NS) Precious Water (PW) and Resourceful Energy (RE), as explained in the following sections.

3 Estidama criteria and sustainable building systems at LIS 3.1 The green wall and natural systems criteria (NS) The Estidama NS criteria extend to the concept of creating a ‘green gradient.’ It also reflects the ‘green infrastructure’ strategy in plan and form, as well as in implementation, leading to healthier ecosystems, habitats and ultimately communities [18]. The Green wall system installed at LIS, directly addresses this criteria. More specifically, it directly establishes the following according to the rating system; the provision of a natural system design and management strategy; enhancement in ecological value; and habitat creation, restoration and provision of habitat connection. A number of studies have been studying the impact of green walls on reducing cooling demand in buildings [19–23]. In their study, Wong et al. [19] concluded that in Canada, there is proven evidence that vertical greenery systems can reduce air conditioning load by shading walls and windows from incoming solar energy resulting in a 5.5°C reduction in the immediate outdoor temperature and a corresponding energy reduction by 50–70%. While the shading effect was found to reduce the energy cooling load by about 23% and the usage of fans by 20% resulting in an 8% reduction in annual energy consumption. Results also show that vertical greenery systems can block incoming solar radiation, thus minimizing the amount of heat through the façade. To achieve the intended


170 Sustainable Development and Planning V amount of thermal reduction, the thermal transfer value of the envelope and the leaves coverage of a plant are useful design variables. Also, acts of urbanization worldwide result in significant changes in the thermal properties of surface materials and phenomena such as Urban Heat Island (UHI) effect have been forced. Alexandri and Jones [20] highlight the important effect of green walls is reducing the heat island effect in microclimates in urban settings. The study also suggests that if applied to the whole city scale, green roofs and walls could mitigate raised urban temperatures, and especially for hot climates, achieve energy saving for cooling buildings from 32% to 100%. Green walls also contribute towards sound reduction, which is an influential issue in school applications. They have an acoustical insulation that is far better (up to 30 db) than that of exposed wall [22]. The degree of sound insulation provided by the green wall depends mainly on factors that influence noise reductions including depth of the growing media, type of plants, the materials used for the structural components of the living wall system, and the layer of air between the plants and the wall. The use of green walls as visual attractants increases the value of the building. Moreover, green walls can help to address the lack of green space in urban environments. Plants improve human health, capture airborne pollutions, and filter harmful gases. In addition to absorbing heat and increasing thermal performance, the green wall helps to filter the air moving across it. In LIS, The existing buildings’ skin is composed of 20 cm. hollow block wall covered with plaster. A green wall was installed on the building facades as illustrated in Figure 2. The system is composed of the following elements: - Holding boxes: 30 X 30 X 25 cm plastic boxes made of installed connectively on the facades. - Drip irrigation pipes: 13 mm pipes are installed within the boxes as a drip irrigation system for the vegetated wall, and - Plant Foliage: holding a variation of plant species. As of date, this system is the only one experimentally monitored across the school building. Using temperature data loggers, measurements were taken on and around the internal and external surfaces of wall as well as the ambient temperature on both sides of the wall. Temperature measurements were taken in two situations: (a) locations with the vegetated walls installations, and (b) locations without vegetated wall installations. The readings took place in 2 weeks during October and November 2010. It was observed that the temperature difference between green and bare facades was higher at the start of the experiments at end of October which continued to decrease as the experiments proceeded towards mid of November. In order to further understand the effect of green façade on the indoor climate the trend in temperature difference between outdoor and indoor ambience is shown in Figure 3.



Figure 2:

171

Green wall installations at LIS, Al Ain.

11 Nov.

10 Nov.

9 Nov.

8 Nov.

7 Nov.

4 Nov.

3 Nov.

2 Nov.

1 Nov.

31 oct.

28 oct.

27 oct.

26 oct.

25 oct.

6 5 4 3 2 1 0 24 oct.

dT (*C)

A_out_Green ‐ A_in_Green

Day Figure 3:

Trend in temperature profiles to predict seasonal performance of the green wall installation at LIS.

Figure 3 shows that the temperature difference continued to decrease as was the gradient of decrease because the outdoor ambient temperatures started decreasing due to approaching winter. The temperature difference dropped from little above 4°C to little above 1°C in three week time. Provided the trend in temperature decrease continues, a negative temperature difference is expected in winter months which means the indoor temperature would be higher than WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

172 Sustainable Development and Planning V outdoor which is exactly what is required. The higher indoor temperature would increase thermal comfort in the winter months, however long time data is required to validate this prediction unavailable at this stage [4]. 3.2 Grey-water recycling and precious water criteria (PW) Because of the limited annual rainfall, hot climate, and the significant energy embodied in potable water due to desalinization in the UAE, water conservation is a priority for Estidama. It is a distinct possibility that the UAE will become even drier due to the effects of global warming. Coupled with projected population increases, the importance of accelerating water conservation and reuse efforts is clear [18]. Grey water is a strategy which may be considered to meet these criteria. Wastewater composes 50 – 80% of residential wastewater, while the remainder being sewage or black water [24]. In many urban areas with water shortage, grey water is recorded as the second source of domestic water supply with an average of 50% after the municipality water supply and the most common source of water for the gardens and landscaping (35%) [25]. Grey water recycling system has a number of benefits: (a) reducing water consumption by minimizing fresh water usage;(b) reducing the chemical used for water treatments; and (c) reducing energy use; and increasing plant growth. In LIS, two purification tanks are installed with a capacity of 3000 Gallons each. However, the actual collected grey water per day is 1.47 m3 from each tank (with a total of 2.94 m3 per working day). This amount of grey water is used only for irrigating the green walls along with municipal supplies. The irrigation system covers only two 5-6 minutes irrigation cycles per day. It should be mentioned that this system is currently under monitoring by the research team and in terms of reduction in annual consumption, and potential reductions in utility bills. Figure 4 illustrates the water tanks and filters installed.

Figure 4:

Grey water tanks and filters installed at LIS.



173

3.3 Photovoltaics and resourceful energy criteria (RE) Within the Estidama Resourceful Energy section emphasis is on reducing the demand for energy through passive environmental design, appropriate selection of highly efficient mechanical and electrical equipment, and the facilitation of renewable energy installations [18]. Photovoltaic panels installations directly contribute towards these criteria. When they displace conventional building materials, savings in the purchase and installation of the latter lowers the net cost. They can, in high-volume production, lead to lower substrate, distribution and installation costs. Roofs in particular offer an attractive location for this kind of installation because of unshaded solar access and that flat-roofs generally enable more optimal solar cell placement and orientation. All PV manufacturers provide performance information at STC and which include open circuit voltage, short circuit current, MPP voltage current, power and efficiency and temperature coefficients. All these parameters at STC are not sufficient to predict the operation of each PV technology under outdoor conditions. Because of this the performance outcome of the energy yield, the outdoor efficiency and performance ratio (PR) from independent outdoor PV technology assessments are becoming important [25]. Performance of PV systems is directly related to environmental and operational conditions. An assessment of the effects of irradiance, temperature, soiling and power rating on the performance comparison of each technology has been made [27]. At LIS, 62 photovoltaic panels of Maximum Power (Pmax) = 128 W, are installed on the roof of the main building (A). Two groups of batteries, 62 12V200AH batteries collectively, are located in an adjacent room. On the roof of the kindergarten building (B), 12 panels are similarly installed along with 12 batteries for storage. The energy collected from this system is currently used for night landscape light and operating the grey water purification plant. Productivity of the system and resulting, energy savings are currently under investigation by the research team.

Figure 5:

Photovoltaic panels installations at LIS.



4 Conclusion The Estidama rating system developed with the aim of introducing Estidama to the Emirati built environment is an essential consideration for future school buildings which are characterized by its unique occupancy and energy consumption patterns. In the city of Al Ain, an individual attempt for transforming a conventional school building into a sustainable campus, has resulted in integrating 3 systems; namely the green wall, photovoltaic panels and grey water recycling, which contribute directly in the following Estidama criteria: - Integrated Development Process (IDP): this directly relates to the design process. However, it falls beyond the scope of this paper. - Natural Systems (NS): this criteria was met in the pilot school under study through the installation of green walls, which proved to be an efficient system in the duration of the initial data acquisition and analysis process in a number of ways, one is that during winter months it is expected that during winter months, the temperature inside the green wall is expected to be higher than the outdoor temperature. - Precious Water (PW): this was addressed through a grey water recycling system which efficiently supplies the irrigation system for the green wall with support from the municipal supplies. The system is currently under monitoring for further analysis and developing digital models simulating system performance for future practice. - Resourceful Energy (RE): a criterion which was addressed by installing photovoltaic panels which provide the energy for night light as well as operating the filters of the grey water system. The pilot project presented in this paper illustrates an early attempt for school buildings in the UAE to adopt sustainable approaches to enhance their energy performance. This project is currently under monitoring and analysis, and the results are being used to draw design recommendations which support the Estidama rating for future school buildings in the UAE.

References [1] Perez. Y., & I. Capeluto, Climatic considerations in school building design in hot-humid climate for reducing energy consumption, Applied Energy, 86, pp 340-348, 2009 [2] U.S. Environmental Protection Agency (2007). ENERGY STAR® and Other Climate Protection Partnerships 2007 Annual Report. http://www.energystar.gov/ia/news/downloads/annual_report_2007.pdf. Access Date: December 2010. [3] Becker, R. et al., Improving energy performance of school buildings while ensuring indoor air quality ventilation, Building and Environment, 42, pp 3261-3276, 2007



175

[4] Haggag, M. et al, 2010, Integrating Advanced Facades for Low-Energy Building Performance: Intelligent Design Criteria for the UAE, Individual Research Project, UAEU [5] Perez-Lombard, L. et al. A review of benchmarking, rating and labeling concepts within the framework of building energy certification schemes. Energy and Buildings 41, pp.272–278, 2009. [6] U.S. Green Building Council. http://www.usgbc.org/DisplayPage.aspx? CategoryID=19. Access Date: October 2009 [7] BREEAM. http://www.breeam.org/ .Access date: March 2011. [8] BREEAM, Wiki. http://en.wikipedia.org/wiki/BREEAM Access Date: March 2011. [9] SBTool. http://greenbuilding.ca/iisbe/sbc2k8/sbc2k8-download_f.htm Access Date: October 2009 [10] GBC2000. http://www.iisbe.org/gbc2k/gbtool/gbtool-main.htm. Access Date: March 2011 [11] GBTool.http://www.petus.eu.com/left.php?sct=6&sbsct=2&pageid=155&p agesect=0&pagelang=en. Access Date: March 2011 [12] U.S. Green Building Council (2007). LEED® for Schools for New Construction and Major Renovations. http://www.usgbc.org/ ShowFile.aspx?DocumentID=2593. Access Date: December 2010 [13] Natural Resources Canada, Office of Energy Efficiency (2001). Benchmarking guide for school facility managers. http://oee.nrcan.gc.ca /Publications/commercial/pdf/m92-221-2001E.pdf. Access Date: December 2010 [14] Hernandez, P. et al., Development of energy performance benchmarks and building energy ratings for non-domestic buildings: An example for Irish primary schools, Energy and Buildings, 40, pp. 249–254, 2008. [15] Estidama. http://www.estidama.org/Default_en_gb.aspx. Access Date: March 2011 [16] Estidama, The Pearls Design System: New buildings rating method (May 2009) Update Release. [17] Urban Planning Council, Abu Dhabi. Integrated Design as a foundation for Estidama. (January, 2009), http://www.estidama.org/$Common/Doc/ IntegratedDesignAsAFoundationForEstidama.pdf. Access Date: October 2009 [18] AbuDhabi Urban Planning Council (2010). The Pearl Rating System for Estidama Building Rating System, Design & Construction (Version 1.0). http://estidama.org/template/estidama/docs/PBRS%20Version%201.0.pdf .Access Date: December 2010. [19] Wong, N. et al., Energy simulation of vertical greenery systems, Energy and Buildings, 41, pp 1401-1408, 2009 [20] Alexandri, E. & P. Jones, Temperature decreases in an urban canyon due to green walls and green roofs in diverse climates, Building and Environment, 43, pp 480-493, 2008 [21] Wong, N. et al., Thermal evaluation of vertical greenery systems for building walls, Building and Environment, 45, pp 663-672, 2010 WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

176 Sustainable Development and Planning V [22] Kontoleon, K. & E. Eumorfopoulou, The effect of orientation and proportion of a plant-covered wall layer on the thermal performance of a building zone, Building and Environment, 45, pp 1287-1303, 2010 [23] Eumorfopoulou, E. & K. Kontoleon, Experimental approach to the contribution of plant-covered walls to the thermal behavior of building envelopes, Building and Environment, 44, pp 1024-1038, 2009 [24] Mississippi Agricultural and Forestry Experiment Station. http://msucares.com /lawn/landscape/sustainable/greywater.html Access Date: April 2011. [25] ABS, 2007, Environmental Issues: People’s Views and Practices, March 2007 (cat. no. 4602.0) [26] Makrides, G. et al., Temperature behavior of different photovoltaic systems installed in Cyprus and Germany, Solar Energy Materials and Solar Cells, 93, pp. 1095-1099, 2009 [27] Zinsser B. et al., Rating of annual energy yield more sensitive to reference power than module technology, 35th IEEE Photovoltaic Specialists Conference Proceedings, pp. 1095-1099, 2010



177

Eco-industrial parks: technologies and procedures for low environmental impacts A. Boeri & D. Longo University of Bologna, DAPT, Faculty of Architecture of Cesena, Italy

Abstract Negative environmental impacts related to the production system entail the rethinking of existing industrial areas and its organizational and technical requirements. An eco-industrial area is a new organization of the production site that aims to facilitate companies to achieve their environmental objectives. The model of this area is based on the assumption that infrastructures and services are present in the industrial site and managed so to create business development, reducing environmental impact. This new concept of industrial area, characterized by organizational and technical requirements aiming at minimizing the environmental impacts, arises from the need to replace the so-called end-of-pipe approach with the principle of prevention one, therefore removing, as much as possible, pollutants from the production cycle. An ever increasing number of countries are regulating new and existing industrial areas, through specific standards that provide measures and actions taking into consideration the ecological aspects. The production model of ecological industrial areas is based on the principle of low environmental impact, assured through planning of infrastructures, services and production cycles resulting in territory and companies’ development, while preventing and controlling environmental pollution. This paper focuses on the importance of technological innovation. In particular it aims at defining the performance of industrial areas and at contributing to the definition of specific environmental factors monitoring: the greenhouse effect, CO2 emissions, the presence of toxic elements, the consumption of non renewable resources (energy and materials), the exploitation of natural resources, the depletion of biodiversity, soil contamination, water and air pollution, as well as noise and electromagnetic pollution. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110161

178 Sustainable Development and Planning V This paper highlights the critical aspects and considers the objectives to be achieved for attending the “best situation”. The analysis of the critical factors of the industrial area should correspond to their ranking in terms of dimensions and of coping with their conscious choices. Some best practices are described as reference. The aim is to propose low environmental impact industrial areas, including the transformation of existing ones, highlighting the importance of a sustainable integrated management in relation to the urban or suburban area they are in. Keywords: innovation, technology, sustainability, environmentally friendly industry, university research.

1

Introduction

The definition of a productive area ecologically equipped (fig. 1) supposes the use of clean technologies for the installation and management of industrial areas [1]. A recent standard provides that in production areas specific performance-related requirements, ensuring the health and safety as well as hygiene at work, aimed at preventing and reducing air pollution, water and soil contamination, are complied with. These requirements also concern the proper disposal and the possibility of waste recycling, as well as the treatment of wastewater, a reduction in energy consumption and its efficient use; prevention, control and management of risks of accidents; a suitable and efficient access for people and goods. This approach presumes the application of ecological-related technologies and infrastructural solutions, foreseeing, for instance, the installation of energy production plants from alternative sources or of high efficiency plants (solar, cogeneration, micro generation) and the use of green building techniques for industrial constructions [2].

Figure 1:

2

Le Corbusier – the green industry (1944).

The methodological approach

The model of eco-friendly productive area with high environmental performances should be aiming at [3]: WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


-

-

179

facilitating small and medium sized companies in reaching a better level of their own environmental performances, through the adoption in common of infrastructures and services of high quality they otherwise wouldn’t be able to have access to or manage, individually; allowing the control and reduction of the combined impacts, generated by all said small and medium sized companies; easing a more efficient control of environmental impacts by the relevant authorities; facilitating the environmental certification of each single company, from technical and economical point of view, through the production area environmental management; facilitating or not requiring companies in obtaining the environmental licenses both for issue or renewal purposes; simplifying all procedures related to the set up and establishment of companies in the production area; applying the principles of precaution, prevention and reduction of pollution; involving the companies in the process of an ongoing improvement of the environmental performances in the production area and in a process related to environmental responsibility.

The environmental performances of eco-industrial parks are monitored by the Management Authority which is also responsible for coordinating the implementation of an area-related environmental plan to the common benefit of all companies. The Management could have the power to undersign collective agreements (e.g. energy supply contracts), promote the area under an economic and environmental point of view, to implement waste recycling, wastewater treatment, manage the lighting networks, issue the environmental licenses related to the services it provides for the common use of all companies. The advantages for a company deciding to establish itself in the productive area such as this are tied to the use of common infrastructures and their related management and to the services provided. The development of industrial areas of high environmental energy quality level can improve the general competitiveness of the production system, offering costs savings, infrastructures and services in common, a shared environmental management and a costs reduction for the energy supply [4].

3 Definition of eco-industrial park performance related profile The new industrial areas which are developing in some Italian regions have been designed to assure specific energy and environmental requirements, therefore planed so to integrate R&D and facilitate companies. This approach involves high investments costs and presents higher problems for the regional, district and area authorities during negotiation with private companies [5]. The area attractiveness can be increased by improving its overall image through a revision of the urban planning, the quality of its architecture, a presetting of mitigation works and of natural setting, highlighting the ecological quality of the area, while offering information and support to companies for the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

180 Sustainable Development and Planning V access to European funds – even for the different environmental certifications – and promoting and developing all necessary territorial marketing initiatives in order to facilitate the transfer of companies reputed leaders in the own field, today delocalised. As regards the performance related characteristics, one of the most interesting and comprehensive reference is the legislation on the matter of technical coordination and guide-lines concerning the realization of eco-friendly industrial areas in Emilia Romagna, as provided by the Regional Law. The objective of this instrument is to define the modalities for the realization and the management of eco-industrial parks in the region and for a whither and increasing establishment of productive areas equipped with technical and organizational requirements, aiming at limiting and managing the impact on the environment to prevent pollution as well as support a sustainable production and economical development. To this purpose, the choices to be adopted as regards the systems present in the area are as follow: the economical system, the set up, infrastructures and transport system, water supply, hydro-geological safety, landscaping, energy supply, waste management. For each of the above, the activities aiming at ensuring environmental, economical and social sustainability are as follows [6].

4

Economic and establishment system

Provide the establishment of activities granting environmental, social and economical sustainability. The ecosystem approach to be adopted in the definition of the characteristics of eco-industrial parks refers to planning, within the scope of which decisions of primary importance have to be taken, such as for instance the location of the plant, the buildings ratio index, the use allowed, the applicable technologies related to environmental quality, to a responsible production and consumption, to a high quality level of the work place, to the end of the resources natural cycles. The objective is to ensure /assure wellbeing and comfort for the end-users, high performances of buildings in terms of energy saving, integration of the buildings within their specific environment.

5

Infrastructure and transport system

Increase the efficiency of road and rail networks, of the exchange centres and of the logistic platforms to optimize the access to the area. Eco-industrial park infrastructure system has to foresee optimal access for goods and people through the local public transport system, the area mobility management and opportunities of a more structured flow of goods moved by the logistic systems. An efficient access road system has to be matched by a good internal organization of the production area, which will ensure a suitable environmental



181

management, thanks to also the use of proper signs and an improved service and promotion of the local public transport. The road set up allows a rationalization of logistics, with subsequent costs reduction for the companies and a decrease of vehicles in circulation contributes to limit in emissions. The role of a Mobility Manager should be taken into consideration, responsible for the company mobility to optimize the home-work transfer of the employees; this role could be covered also by the Management Authority in order to identify activities that benefit the SME. The Mobility Manager should plan and evaluate the goods transport system in the area and coordinate the logistic network.

6

Water supply and hydro-geological safety

In the eco-industrial park area over-ground and underground water systems should be controlled and improved to protect water supplies (fig. 2), reduce consumption and waste; at the same time the soil fertility has to be protected, avoiding any erosion and contamination processes, caused by specific activities carried out or by accident spillages.

Figure 2:

7

Integrated application of technologies for management and collection of rainwater. Calculation of the coefficient of runoff of water and the achievement of minimum standards of permeability that could be required for each industrial building.

Landscaping system

Improve the quality of open spaces. The objectives to be achieved during the planning of an eco-industrial park include a guarantee quality of the open spaces (fig. 3). WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 3:

A green area to be preserved by the plan of a future eco-industrial park.

It is possible when the intervention results in harmony with the natural and anthropic elements of the landscape it is set in. The eco-industrial park urban landscaping plan should take into consideration the pre-existing elements to be promoted and/or reused. Among these, one of the most important elements is any water courses present because they are considered very important ecological corridors as they are used as a crossing route by the local flora and fauna. Improve the quality of the existing and new buildings. Besides the quality of open spaces, but not secondary to it, the quality of buildings is another objective to be achieved, through the experimentation and application of new materials and design solutions, as well as the development of innovative methods for diagnosis and monitoring of energy consumption and overall performances.

8

Energy supply system

Reduce consumption of energy for thermal-humidity indoor control. Energy consumption must be reduced by at least 20% when compared to the current one, according to the international agreements on climate changes. A minimum standard of energy efficiency class should be provided through incentives aiming at reducing planning application fees together with the requirement of using solar panels (fig. 4).

9

Waste management system

Waste management plays a significant role in developing a sustainable environmental strategy. The models of integrated waste management aim at not only preventing and reducing the environmental impact of the management WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 4:

183

Solar panels on an industrial building roof.

cycle, but also at the overall improvement of the “man-environment” system and at a more sustainable use of resources. In general the industrial sector should be paying more attention to the technologies for reducing and recovery/recycling waste in the relevant manufacturing processes, prompted and encouraged by technical and economic requirements and by an in depth knowledge of their production cycles.

10 A case study: the Nonantola (MO) eco-industrial park, a detailed plan – PIP production area “Gazzate” 10.1 Location and characteristics of the area The area is located to the west of the town of Nonantola, near an existing production area, known as “Gazzate” (fig. 5), representing the area natural and consequent expansion to the north. The existing production area covers about 550.000 square meters. The total land area of the project (ST) is of 171.612 m². Here it’s possible to built max 61.530 m² of floor area for productive use. A preliminary study has identified the main issues and has defined possible action-lines for improving and streamlining the agglomeration. In particular, a feasibility study was prepared by the Agency for Energy and Sustainable Development of Modena in order to achieve energy saving in energy production and distribution facilities. The planned expansion will be carried out under the guidance of a single responsible body, the Consortium for Productive Activities Areas and Services, which shall be responsible for planning, Plan implementation and for managing WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 5:

Satellite image of the area of Gazzate.

the industrial area, paying particular attention to the environmental compatibility aspects. 10.2 Social-economical and establishment system Common spaces and services. Within the area 1.200 m² are designated for services for industries and the site personnel. This forecast is closely linked to the requirement on the matter of environmental and social aspects, laid out in the so-called draft agreement. In the area there is cars only parking place, a parking lot for heavy vehicles, a building for community services and a co-generation plant. A small park surrounds the area to the south. 10.3 Sewers and water purification systems Systems for reducing water runoff and for ensuring the quality of surface water. The management of storm water run-off is also provided through the collection and treatment of rainwater and, where possible, its partial reuse. Systems for ensuring the disposal of waste water and for providing water purification systems. Separate networks for collection systems of rain water and sewage are provided and particular attention is paid to ensuring a suitable treatment plant. 10.4 Water supply system Systems for reusing of rainwater. Realization of public and privately owned irrigation systems fed by rain water basins in order to avoid or limit the number of connections to the public water system. Adoption of systems to optimize the water cycle: - installation of solar plants for the production of hot water: 128 m2 of solar collectors are forecasted; WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


-

185

a reduction of water runoff peaks through the implementation of green roofs on top of the industrial buildings; use of water saving bathroom fittings; limiting of soil sealing ensuring a significant green area both public and privately owned lots; collection of rainwater in the productive area in order to purify it rather than leaving it to seep into the ground; assessment of water needs of the area and inspection of the area for the water presence.

10.5 Energy supply system Reduction of energy consumption for the thermo-hygro indoor control: - thermal insulation of the buildings envelopes compliant with the energy parameters set by law (LD 311/2006 and subsequent amendments and supplements); - adoption of shielding systems for the glazed surfaces, suitably positioned and sized to avoid glare and overheating in the summer; - natural ventilation systems or in combination with passive solar systems to ensure air circulation inside; this is important for improving the levels of indoor comfort; - district heating network fed by high-efficiency cogeneration system; - heating system by using floor radiant panels (fig. 6); - heat pumps instead of traditional boilers are particularly suitable for emitting heat at low temperatures in combination with under floor heating system; - the exposure was planned to provide the maximum intake of natural light and maximize passive solar energy; - the distance between buildings is such to ensure each building the right sunlight intake and with no shadows, projected from the surrounding buildings, as checked by 21st December;

Figure 6:

Radiant panels for heating system.


186 Sustainable Development and Planning V -

the glazed surfaces are sized in relation to the orientation and to the needs of sunlight; the production areas inside the buildings receive light through shed openings located on the roofs and installed with a 30 degrees slope and suitably spaced to avoid shading; this system enables the installation of solar/photovoltaic panels on the south side (fig. 7).

Figure 7:

Photovoltaic panels on shed roofs.

Area common energy management. In the industrial area a particularly efficient energy management is possible since all companies can be supplied by a single district heating system powered by high efficiency cogeneration plant. The district heating network (fig. 8) enables to centralize the thermal energy production and therefore to better control the emissions and efficiency of the plant/s connected to the network.

Figure 8:

The eco-industrial area of Gazzate. Proposal for district heating network.



187

10.6 Infrastructures and logistics The objective of the program developed by the Institute for Transport and Logistics of the Emilia Romagna Region with the Consortium and other major companies of Modena is the reduction of mobility and optimization of the logistics of the companies already established or to be established in the area. Through a planning of the movement of goods and people significant advantages can be obtained in terms of efficiency, traffic relief, a reduction of energy consumptions, costs savings and environmental benefits (fig. 9).

Figure 9:

The reduction of mobility in the area could lead a reduction of energy consumption and decrease in traffic.

To this end, the work plan developed involves the testing of a model for transport sharing between the companies. 10.7 Landscaping system Quality of open spaces. The project aims at minimizing the impact of the intervention on the landscape through the establishment of suitable green area. Improve the quality of the existing and new buildings. The goal of achieving high standards of urban and ecological-environmental quality leads, first of all, to the decision of adopting the relevant current Standards. The method adopted strives to combine different aspects: economical, social and environmental ones, with a view to create a “workplace”, where the production function is positively influenced by a series of factors that determine, at the same time, its environmental compatibility.



References [1] Gibbs David, Deutz Pauline, Implementing industrial ecology. Planning for eco-industrial parks in the USA, Geoforum 36, pp. 452-464, 2005 [2] Cavallo Marino, Stacchini Valeria (edited by), La qualificazione degli insediamenti industriali. Verso la costruzione di Aree Produttive Ecologicamente Attrezzate, CLUEB, 2007 [3] Bollini Gabriele, Borsari Luca, Stacchini Valeria (edited by), Insediamenti Industriali e Sostenibilità. Linee guida per la realizzazione delle Aree Produttive Ecologicamente Attrezzate della Provincia di Bologna, Alinea Editrice, 2007 [4] Tarantini Mario, Dominici Arianna, Analisi dei parchi eco-industriali europei, ENEA, PROTP135-090, 2005 [5] D’Angelo Emidio, Manna Carlo, Marani Mauro (edited by), Energia e ambiente. Enea per le regioni e i distretti produttivi, Dossier Workshop Roma. 5 luglio 2006 [6] Boeri Andrea, Longo Danila, Criteria and technologies for ecological industrial areas. Collaboration between industry and University, in INTED 2010 – Proceedings of International Technology, Education and Development Conference, Valencia, march 2010, IATED, pp. 2238-2248



189

Overview of current energy policy and standards in the building sector in Iran M. Riazi1 & S. M. Hosseyni 2 1 2

Energy Rating Services, UK Islam ic A z ad University, A z adshahr B ranch, Iran

Abstract The enormous growth in urbanisation worldwide, particularly in developing countries, has negatively affected the local, regional and global environment. It will have a profound impact upon world demand for energy, if this trend continues. It should be noted that the major source of energy use in Iran is fossil fuel, which inevitably leads to exhaustion of energy supplies as well as environmental problems (notably air pollution and greenhouse gas emission). According to the energy balance 2008, the Iranian building sector accounts for about 42% of total energy use. This huge amount of energy consumption has pointed out the need for more restricted energy efficiency policies to address a substantial reduction of CO2 emission in the building sector and consequently ensuring climate security for future generations. The authors made a careful consideration of the code for energy efficiency of buildings, the Iran national standard and the renewable energy status in the country. In this paper, relevant facts and figures about the Iranian building energy consumption and CO2 emission have been presented. The current energy efficiency policies have been reviewed, including: the national code for sustainable design- Code No. 19- and National standards related to energy efficiency. The government policies on development of environmentally friendly energy resources and their progress during the last decade have been presented. Code 19 and renewable energy policy have been implemented by 20 and 38 percent by 2010 respectively. Accordingly, it is essential to establish more efficient strategies in these cases to meet the government target. The paper


190 Sustainable Development and Planning V concludes by presenting possible solutions to overcome barriers in implementation of building energy regulation in Iran. Keywords: energy policy, building sector, energy efficiency, renewable energy, Iran.

1 Introduction Iran, with its young population, is the second largest country in the Middle East. The growing needs for housing and the lack of energy efficiency in existing buildings causes a considerable increase in the energy demand building sector. As the major source of energy use in Iran is fossil fuel, the chief environmental problem associated with energy consumption is greenhouse gas emission. Building energy consumption accounts for 41.9% of the total energy use in Iran in 2008. The main sources of energy consumption are: natural gas 66%, Petroleum 20%, electricity 2.5% and other sources 1.5% [1]. Average energy consumption in the residential sector compared to the same conditions in Europe is over 2.5 times higher and in comparison with cold regions in Europe is over 3.5 times higher [2]. This shows the importance of this sector in energy efficiency policies. In this paper, first, relevant facts and figures about the Iranian building energy consumption and their resources presented. Then the authors describe the general energy policy in Iran including; the national regulation and energy efficiency standards in the Iranian building sector. Finally, the government policies on development of renewable energy sources and their progress during the last decade reviewed. The paper concludes by discussing possible solutions to overcome barriers in implementation of energy efficiency policies in Iran.

2 Analyses of the building energy consumption in Iran

Million barrels petrolium equivalent

As mentioned before, building energy consumption accounts for 41.9% of the total energy use in Iran in 2008. Fig. 1 illustrates the building energy consumption in comparison to the total energy use in Iran from 2001 to 2008. 1200 1000 800 600

Total energy consumption

400

Building energy consumption

200 0 2001 2002 2003 2004 2005 2006 2007 2008

Figure 1:

Building energy consumption in Iran [3].



191

Despite the growth in the energy consumption in the building sector during the last decade, there has been a slight decrease from 44.5% to 41.9% between 2007 and 2008, fig. 2. This achievement shows the positive impact of some policies, such as a price reform for energy, compiling Code No.19 (the national code for sustainable design) and incentive programmes. 46.0

Percentage

45.0 44.0 43.0 42.0 41.0 40.0

Figure 2:

2001

2002

2003

2004

2005

2006

2007

2008

43.7

45.1

43.7

44.4

44.1

45.1

44.5

41.9

The percentage of building energy consumption in Iran [3].

As part of the building energy resources, natural gas and petroleum products account for 66% and 20% respectively, electricity 13% and renewable energies just 1%. Figure 3 illustrates the proportion of share of fossil fuel resources, including natural gas and oil products, comprising the largest share of energy resources in the building sector. Considering the negligible share of renewable energy among energy sources a stricter response is obvious. 1% Natural gas

13%

Oil products 20% 66%

Electricity Other sources

Figure 3:

Share of energy resources in building sector in Iran [3].

Figure 4 shows the share of different energy consumers in buildings in Iran. Heating, cooling and hot water account for 83% of the overall usage, appliances WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

192 Sustainable Development and Planning V for 8%, lighting and other elements for 9%. As heating, cooling and hot water are the main energy consumers in buildings, energy efficiency programmes in this area will have a profound impact on the energy consumption in the building sector. 4% 5% 8% Heating and cooling Hot water Appliance

22%

Lighting

61%

Other

Figure 4:

Share of energy consumers in building sector in Iran [4].

The significant consumption of energy in the building sector causes a considerable CO2 emission from buildings. The building sector accounts for 38%, transport 34%, industry 24% and agriculture 4% of the total CO2 emission in Iran. 4% Agriculture 38%

34%

Transport Industry

24%

Figure 5:

Building

Share of CO2 emission resources in Iran in 2008 [5].

This paper investigates the Iranian buildings potential for greenhouse gas mitigation through the following aspects; -

Energy conservation policy in buildings Replacement of fossil fuel with renewable energy

3 The energy conservation policy for the Iranian building sector 3.1 General energy efficiency policy In the Iranian second five-year plan (1995–1999), energy conservation issues have been considered. Following the assessment of initial projects during that WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


193

period, further schemes and new ideas were developed in the third and fourth five-year plans. Here are some examples of these: - Preparing technical specifications and standards for equipment. - Imposing tariffs for importers and manufacturers who do not follow the consumption patterns related to energy efficiency standards. - Allocating an appropriate fund for research into energy efficiency (equivalent to two percent of the total interest of energy sales). - Preparing energy efficiency regulations in the design and construction of buildings in order to avoid energy waste. - Setting up policies to encourage the use of efficiency standards in existing buildings. - Incorporating energy efficiency schemes in education. - Promoting energy efficient equipment and technologies for factories. - Developing the principles of sustainable development in various regions. 3.2 National energy efficiency regulation; Code No. 19 The first national building code on energy conservation, Code No. 19, was approved in 1991 by the Ministry of Housing and Urbanism. It was revised several times and in 2001 finalised and imposed on construction and building organisations. Code No.19 considers buildings energy conservation in different part of buildings, include [6]: - External wall insulation - Install double glazing windows with thermal brick frames, wooden or standard PVC - Insulation of air channels, pipe installations and hot water production system - Installation of local control systems such as thermostatic valves on the radiators - Installation of weather compensators. Currently Code No. 19 is mandatory for all public buildings. For other buildings a schedule has been introduced to apply improvements. Table 1; demonstrates the categorisation of provinces according to the climate they are located in. The priority in the schedule is for buildings with high demand of energy, for example cold and hot regions. Table 1:

Current Iranian counties categorised on energy demand [7].

Category

Energy demand

A

High

B

Medium

C

Low

Province Hormozgan, Bushehr, East Azerbaijan, West Azerbaijan, Chahar mahaal and bakhtiari, Ardabil, Hamedan, Khoozestan and zanjan Isfahan, Semnan, Kordestan, Qazvin, Kerman, Kermanshah, Markazi, Fars, Ilam North Khorasan, South Khorasan, Razavi Khorasan, Lorestan, Gilan, Qom, Golestan, Mazandaran, Sistan and Baluchistan, Kohgiluyeh and Boyer-ahmad, Yazd


194 Sustainable Development and Planning V Although the implementation of Code No. 19 in a building results in 5% increase in initial cost, in the long term it will reduce the total building costs. The capacity of heating and cooling systems will be reduced by 40%, which leads to a reduction in building expenses in the future [7]. 3.3 Barriers to the implementation of code no. 19 Progress in the implementation of Code No.19 is disappointingly slow, and has been only achieved to a level of approximately 20% of the target by 2010 [8]. The barriers to the implementation of Code No.19 include: - Low energy price in the country - Lack of the special code for residential buildings (Code No. 19 is a general code for all buildings) - unrealistic legislation which is not considering executive potential of the country - The high cost of code No. 19 and energy efficiency standards implementation - Lack of assessment system to evaluate energy wastage and CO2 emission (Energy Performance Certificate) - Lack of controlling bodies for Code No. 19 in order to control new buildings step by step - Lack of co-operation and liaison with relevant organisations (Engineering, municipalities, Ministry of Housing and Institute of Standards, IFCO and ...) in the implementation of Code No. 19 - Insufficiently trained engineers, supervisors and architects for Code No. 19 - Lack of skilled workers in the fields of Code No. 19 (insulation, installing double glazing windows, Thermostatic valves and …)

4 Renewable energy development policy Today the increased consumption of energy worldwide and consequently the risk of quick exhaustion of fossil resources has forced the countries to look for further alternative energy resources. The decreasing level of fossil fuels is not the only reason to look into renewable energy. The main reason to switch to cleaner energy production is global warming. Burning of fossil fuel is the main source of carbon dioxide emission. Countries like Iran, with abundant oil and gas reserves, should not rely on those resources. Instead an energy policy should be introduced to encourage the use of a variety of alternative resources. Iran is considered to be one of the richest countries in the world with regards to different energy resources. Although it holds significant non-renewable fossil fuel resources, like oil and gas, it also has a great potential in terms of the renewable energies, like wind and solar energy. In Iran, further to policies made by the Ministry of the Energy’s Deputy Directorate for Energy, Iran Renewable Energy Organization (SUNA) has been looking into this area since 1995, in order to gain further knowledge and develop technology for the utilization of WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


195

renewable energy resources. Measurement of potentials and execution of various projects, including solar, wind, geothermal and biogas energy can be other alternatives. 4.1 Solar energy Iran, in spite of being very rich in conventional energies, has also great potential for a large-scale application of solar energy systems. The country consists of 60% desert with high solar energy potential. The annual average sun radiation is 20–30 MJ/m2 in a day. The sunshine hours during the four seasons are as following: 700 hours during spring, 1050 hours in the summer, 830 hours during autumn and 500 hours in the winter [9]. As mentioned before, approximately 22% of the total energy consumption in residential buildings accounts for preparing hot water in buildings. With solar heaters around 70% of total energy usage for hot water could be saved [10]. Accordingly, the total energy demand in the building sector could be reduced by 15%. In order to encourage individuals and the private sectors to use solar water heaters and photovoltaic converting systems the Iranian government has provided incentive policies such as substantial subsidies. As it can be seen in Figure 6, solar power capacity has been 21 MW in 1998, and this increased dramatically to about 110MW in the year 2001. In 2002 due to the replacement of old equipment with modern technology, it reduced. Subsequently numerous power stations underwent repair works and thus the progress slowed down in 2005 [11]. Due to the unsatisfactory progress in Iran, on the one hand, and rapid progress in countries such as China and Turkey on the other hand, the need for swift action, along with International co-operation, becomes inevitable. 160 140 120

MWh

100 80 60 40 20 0

1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 21

Figure 6:

20

85.4 110.1 49.1 121.5 140.2 53

79

71

The solar power generation in Iran [11].


75

196 Sustainable Development and Planning V 4.2 Wind energy After the development of the environmental issues and critical concerns in the exploitation of non-renewable energy resources, the generation of wind energy is growing increasingly compared with other energy resources. Iran is blessed with four completely distinctive seasons and has a number of vast deserts. The land of Iran is mostly mountainous; the Caspian Sea is located to the north and the Persian Gulf and Oman Sea are located in the southern part of the country. The geographical location of the country and its climate indicates the availability of areas with high wind energy potential. Furthermore, the country also experiences various tropical wind flows. These are the central flows from Central Asia during the winter and the Indian Ocean during the summer, the western flow from the Atlantic Ocean and the Mediterranean Sea during the winter, and the north western flow during the summer. Therefore, windelectricity generators could be a suitable substitute for non-renewable resources. Studies and evaluations regarding the wind potential in Iran demonstrate that in 26 regions (including more than 45 suitable areas) the nominal capacity of the sites is approximately 6500 MW, considering a general efficiency of 33% [12]. Figure 7 illustrates the growth in the production of electricity with wind power in Iran between 2001 and 2008. The capacity of installed wind farms in Iran has shown an upward trend. In 2001 it was 10.8 MW, which increased dramatically to 89.9MW in the year 2008. 100

MW

80 60 40 20 0

Figure 7:

2001

2002

2003

2004

2005

2006

2007

2008

10.8

11.4

16.85

24.88

47.58

58.81

73.99

89.83

The capacity of installed wind farms in Iran [13].

The wind farms are mainly located at Gilan and Khorasan province. The Gilan wind farm capacity is 61.18 MW at present; plans exist to enhance production up to 100 MW. Furthermore, the installation of another 60 MW wind farm in the Qazvin province is currently being considered [13]. 4.3 Geothermal energy Interest in geothermal energy originated in Iran when James R. McNitt, a United Nations geothermal expert, visited the country in December 1974. In 1983 the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


197

result of several investigations identified the Sabalan, Damavand, Khoy-Maku and Sahand regions as four prospected geothermal sites in the northwest of Iran. Over the past decade SUNA has conducted a series of countrywide investigations in order to evaluate suitable zones for future investments. Ten potential geothermal sites were discovered in the country in addition to the four previously defined areas in the north-western part. Sabalan was identified as the region with the highest potential in producing geothermal energy. Since 1995, surface exploration and feasibility studies have been carried out and five promising areas were discovered. Among those prospective areas around Sabalan region, the northwest part was selected for comprehensive sample testing to estimate the reservoir’s characteristics and capacity [14]. At present, the main project in geothermal energy production is located near Meshkinshar in the Sabalan region, with a capacity of 50 MW and the possibility of 370 MWh annual energy productions [15]. 4.4 Biomass and biogas plants The main sources for biogas energy are domestic and industrial sewage, animal waste, and surplus of agricultural products as well as 80% of the country’s domestic productions [9]. There are several benefits of using biogas, notably: - Converting waste into two useful products - Providing a smokeless fuel for cooking, lighting and generating electricity - Transforming organic waste into high quality fertilizer (slurry) - Keeping households and surroundings clean (waste management) - Reducing fuel wood consumption and thus saving our forests - Reducing environmental pollution and promotes family health - Using human waste as a raw material for bio-latrines as bio-digesters. Unlike fossil fuel combustion, biogas production from biomass is considered CO2 neutral and therefore does not emit additional Greenhouse Gases into the atmosphere. Hence, the focus is not only on the power production or its quantity, but on a healthy environment as the biomass energy resources are the best options. At present, two projects for this source of energy is considered in Mashhad and Shiraz with the capacity of 650 and 1060 KW power respectively, from the solid waste of the two cities. The future target is to produce 10 MW power from the waste of several large cities. A pilot prototype project for biogas is operating in Saveh, south west of Tehran, with a capacity of 600 KW power [16]. 4.5 Barriers to the implementation of renewable energy in Iran Despite the advantages of the geographical location of Iran for the extensive use of renewable energy sources, only 38 percent of the government target in the implementation of renewable energy policies has been achieved [17]. To meet the government targets, more detailed planning and a meticulous schedule should be introduced. The barriers to the implementation of renewable energy policies have been reviewed below: WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


The lack of a comprehensive national plan with relevant detailed guidelines Incorrect timing of the release of funds Lack of skilled specialists, consultants and controlling bodies Ignorance of the need for development of renewable energies as a result of highly subsidised energy carriers Low public awareness of the importance of renewable energy and the role of public participation in the development of renewable energy.

4.6 Conclusions and suggestions There is a great potential to reduce building energy consumption in Iran. In recent years the government has paid more attention to building energy conservation. National energy and environment policies in the government’s national development plans, has resulted in the establishing of Renewable Energy Organization (SUNA) and Iranian Fuel Conservation Company (IFCO), have addressed the serious attempts of the government. Programmes focusing on energy efficiency and renewable energy sources have been introduced in order to reduce the negative impact of the enormous fossil fuel energy consumption. Furthermore, Code No. 19 has been compiled in 1991 in the building sector as a result of this strategy. However, there is still a significant gap in energy efficiency between Iran and other developed countries. In 2010, Code No. 19 and renewable energy policies have been implemented by 20 and 38 percent, respectively. Accordingly, it is essential to establish more efficient strategies to meet the government targets. Possible solutions to overcome barriers in implementing such policies are as follows: - Preparing a code for energy efficiency in residential building designs with detailed specification and guidelines (Code No. 19 is set for all buildings and is not just for residential buildings). - Producing local energy efficiency policies considering the vast climate diversity in Iran. - Setting incentive policies to enhance the interests of the private sector in energy conservation in buildings. - Allocating appropriate funds to all areas of the countries; (big cities, small towns and rural areas). - Introducing strict legislation and controlling bodies by local governments to enhance the implementation of regulations and policies in buildings at all stages. - Replacing fossil fuels with renewable energy sources in building designs. - Promoting environmentally compatible and highly energy-efficient building materials. - Setting up a monitoring, evaluation and impact assessment system and producing the energy performance certificate which illustrates energy efficiency and CO2 emission rating in domestic properties. The EPC WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


-

199

(Energy Performance Certificate) will increase the occupant’s awareness of environmental impact of buildings. Training and educating professionals in the sector in order to raise their environmental consciousness. Educating building occupants and the public to raise their environmental consciousness and responsibility towards the environment. Improving the international co-operation in order to exchange experiences and to share knowledge of advanced technologies with the country.

Abbreviations 1. 2.

Iranian fuel conservation company (IFCO) Iran Renewable Energy Organization (SUNA)

References [1] Energy planning office, Energy Balance 2008, Ministry of Energy: Tehran, pp. 303, 2010. [2] Iranian Fuel Conservation Company (IFCO), Buildings office website, 2010 http://ifco.ir/building/amozesh/catalog/guide.pdf, pp3. [3] Energy planning office, Energy Balance 2008, Ministry of Energy: Tehran, pp. 42, 2010. [4] Iranian Fuel Conservation Company (IFCO), Buildings office website, 2010 http://ifco.ir/building/amozesh/catalog/solar_final.pdf, pp10. [5] Energy planning office, Energy Balance 2008, Ministry of Energy: Tehran, pp. 269, 2010. [6] Iranian Fuel Conservation Company (IFCO), Buildings office website, 2010 http://www.ifco.ir/english/building/energy/title19.asp# [7] Energy planning office, Energy Balance 2008, Ministry of Energy: Tehran, pp. 308, 2010. [8] Kazemi, Government notification website, April 2010 http://www.dolat.ir/NSite/FullStory/?id=188530 [9] Ghorashi, A.H. & Rahimi, A. Rahimi, Renewable and non-renewable energy status in Iran: Art of know-how and technology-gaps, Renewable and Sustainable Energy Reviews, Volume 15, PP. 729-736, 2010 [10] Iranian Fuel Conservation Company (IFCO), Buildings office website, 2010 http://ifco.ir/building/amozesh/catalog/solar_final.pdf, pp9. [11] Energy planning office, Energy Balance 2008, Ministry of Energy: Tehran, pp. 241, 2010. [12] Renewable Energy Organization of Iran (SUNA), February 2011 http://www.suna.org.ir/executive-windandwaves-windoffice-en.html [13] Energy planning office, Energy Balance 2008, Ministry of Energy: Tehran, pp. 236-237, 2010.


200 Sustainable Development and Planning V [14] Noorollahi, Y., Yousefi, H., Itoi, R. & Ehara, S., Geothermal energy resources and development in Iran, Renewable and Sustainable Energy Reviews, Volume 13, PP. 1127-1132, 2009 [15] Energy planning office, Energy Balance 2008, Ministry of Energy: Tehran, pp. 243, 2010. [16] Energy planning office, Energy Balance 2008, Ministry of Energy: Tehran, pp. 245, 2010. [17] Fadai, D., Esfandabadi, Z. Sh. & Abbasi, A., A Review on the Causes of Failure in Achieving the Goals of Iran’s Renewable Energy Sector in the Fourth Development Plan, Iranian journal of Energy, Volume 34, PP. 2334, 2010



201

Integrating passive cooling techniques for sustainable building performance in hot climates with reference to the UAE M. A. Haggag & S. K. Elmasry UAE University, United Arab Emirates

Abstract On-going development in many parts of the United Arab Emirates has consequences on the urban environment. The use of glazed facades in modern buildings has come with an increased operational cost due to the higher solar gain. However, such strategies have increased in popularity mainly in the local building industry. Thus, improving the ecological performance of buildings and minimizing the impact of urban development on the natural environment are the main concerns for developers and stakeholders in the country at present. These goals have been acknowledged by national and international architectural firms and building developers such as Foster & Partners, Creative Kingdom and Mirage Mille; which have been incorporating ecological and sustainable approaches in significant projects such as Masdar City in Abu Dhabi, and Madinat Jumeirah in Dubai, where various concepts and techniques have been used to promote energy-efficiency in the buildings and avoid increased cooling loads. The use of passive cooling techniques including natural ventilation, thermal mass, shading devices, and responsive landscaping have been adopted in significant projects to maintain the new vision of the country towards building sustainability. Other cooling techniques such as green roofs and green façades have also been practised recently in a number of projects across the country. This paper investigates alternative passive strategies for reducing energy consumption in contemporary building design and construction in the UAE. Four techniques are examined in the study: natural ventilation, thermal mass, shading strategy and green walls, and are illustrated in three case studies: Masdar City, Madinat Jumeirah, and Liwa International School in the cities of Abu Dhabi, Dubai and Al Ain respectively. The design and performance of these projects are analyzed and evaluated, with emphasis on passive and sustainable strategies. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110181

202 Sustainable Development and Planning V The study concludes that sustainable building practices in the UAE in terms of cooling load reduction have been acknowledged not only in traditional buildings, but also in a number of significant contemporary projects. The study also demonstrates the potential benefits of passive cooling strategies to minimize the negative impact on the natural environment, and finally it proposes guidelines for architects and developers on passive design and construction strategies as pertains to the UAE environment. Keywords: low energy building performance, green wall, passive cooling techniques, sustainability, UAE.

1 Introduction Following the 1971 federation and the discovery of oil, fast urban development completely changed the character of traditional cities of the UAE. The country is characterized by scarce rainfall and high temperature, humidity and sunshine. Summer daytime temperatures range from 35ºC to 50ºC. Winter daytime temperatures range from 25ºC to 35ºC [1]. The traditional urban pattern of the UAE cities was the result of the hot and humid climate. High-density buildings were constructed close together, creating narrow alleys, which were shaded most of the day. These alleys tended to run from north to south and ended at the creek, permitting the prevailing winds to pass through. The main traditional architectural features are the courtyard and the wind-tower. Most rooms look inward with a shaded veranda overlooking the courtyard, which provides a reservoir of cool air. Wind-towers are unique and elegant architectural elements, acting as conduits for trapped air to be directed to the rooms beneath. A typical traditional architectural pattern is presented in the old district of Bastakiya in Dubai, as shown in figure 1.

Figure 1:

Traditional architectural pattern of Bastakiya district (narrow alleys, courtyards and the wind-towers).

The modern urban pattern (see figure 2), which was established during the second half of the 20th century, was concerned with highly specialized building techniques. A number of enormous mega-projects have been developed mainly in Abu Dhabi and Dubai, including Burj Khalefah (the world's tallest tower located in Dubai); Madinat Jumeirah (the largest modern resort in Dubai); AlRaha Beach; Saadiyat Island; and Masdar City in Abu Dhabi. Although UAE is WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


203

one of the hottest countries in the Gulf region, the use of glazed façades has increased in popularity, usually with increased operational costs and energy consumption due to the higher solar gain, and negative environmental impacts. Minimizing this impact on the natural environment and the efforts to improve the ecological performance of any project are the main concerns of sustainable building development during and after the construction period [2]. Thus, energy efficiency, healthy environment, and the protection of biodiversity are now the key issues in urban development in many cities such as Abu Dhabi and Dubai. How can cities with rapid urban development sustain their building practices in terms of energy consumption?

Figure 2:

New urban and architectural patterns of Dubai.

Burj Khalefah.

2 Sustainable development and passive cooling strategies Sustainable development refers to a socio-ecological process characterized by the fulfilment of human needs while maintaining the natural environment. Sustainable Building is an approach to architectural design that emphasizes the place of buildings within both local ecosystems and the global environment. It is the practice of increasing energy efficiency, while reducing building impact on human health and the environment through better siting, design, construction, operation and maintenance [3]. Effective sustainable buildings require careful attention to the full life cycle impact of resources. Building materials, one of the key issues of sustainable architecture, should be "green" and obtained from local sources including rapidly renewable plant materials like palm fronds and bamboo, coral stone, recycled material, and other products that are reusable and renewable. Reducing energy loads is another issue for sustainable buildings. It is important to orient the building to take advantage of cooling breezes in a hot climate, and sunlight in a cold climate. To minimize the energy loads, passive solar design can be effective. Masonry building materials with high thermal mass are efficient for retaining the cool temperatures of night throughout the day. Moreover, buildings are often designed to capture cool winds. Passive solar design relies on the integration of a building's architecture, materials selection and mechanical WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

204 Sustainable Development and Planning V systems to reduce heating and cooling loads, taking into consideration local climatic conditions to create climate-responsive, energy conserving structures that can be powered with renewable energy resources [4]. The most important step in the passive cooling process is to develop an energy efficient building envelope to minimize heat gains and catch cooling breezes, for example: orienting more windows to the north; incorporating adequate shading to prevent solar radiation; incorporating thermally massive building materials; suitable insulation; high performance glazing to reduce heat gain and admit natural light. Landscape and outdoor spaces are also important passive cooling strategies. Vegetation, green roofs, green walls, water ponds and fountains are efficient cooling techniques. In the UAE, where cooling is a primary concern, much can be done to capture natural breezes to keep buildings cool. Combining proper ventilation, courtyards, wind-towers, shading devices, thermal mass, vegetation and insulation can reduce energy loads for cooling. A natural passive cooling system is an option for sustaining a cool building and reducing air conditioning costs. About 30% of the unwanted heat comes in through the building roof, and more than 40% through windows [5]. To minimize the effect of radiant energy, a reflective waterproof coating and installation of a radiant barrier on the underside of the roof are essential. This can reduce heat gains by about 25% [5]. Light-coloured surfaces effectively reflect most of the heat. Reflective window coatings can also reduce the heat gain by about 35% [6]. Sun-coating films can reflect as much as 80% of the incoming sunlight [5]. Shading, insulation, plantation, and landscaping are good strategies to block the heat. In most cases, shading can reduce indoor temperatures by 10ºC [5]. Effective shading can be provided by well-placed trees and shading devices. Exterior shading is more effective than interior as it blocks sunlight before it enters windows. Insulation helps seal and protects buildings against the heat. The upper roof is the most important place to start insulating. Wall insulation is not as important as roof insulation because of differences in outdoor temperature between roof and wall. Floor insulation has little and sometimes no effect on cooling. Natural ventilation helps remove heat and maintains indoor temperatures close to outdoor temperatures. This strategy only works when the inside temperature is higher than outside temperature. In hot climates, a building designed for passive cooling would be as open as possible to ensure the maximum possible cross ventilation [7]. East and west walls should have a minimum of windows in order to exclude the low angle sun-rays. However, north and south walls should have enough windows to allow cross ventilation. A thermal chimney can be used to ensure ventilation by creating a warm zone with an exterior outlet. The wind-tower is another dramatic device for using the cooling potential of the available breezes. The courtyard is a common architectural feature and is considered as a microclimate modifier, which improves thermal comfort conditions in the enclosed as well as the attached built environment. The courtyard provides thermal environmental conditions through its design concept, forms and heights. During the day, the shading arcades, trees, WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


205

and vegetation protect the building from direct solar gain, and the cool mass in the courtyard floor absorbs a significant amount of solar radiation. A massive courtyard floor surrounded by a building provides cooling, primarily by radiation to the cool, clear night sky. The night time radiation cools the mass and the air trapped in the courtyard.

3 Madinat Jumeirah, Dubai Madinat Jumeirah (City of Jumeirah), one of the largest resorts in Dubai, was constructed in 2004 in the heart of new Dubai. It reflects the rich cultural heritage of Dubai and resembles an ancient Arabian architectural style. Madinat Jumeirah comprises two 5 stars hotels (Al-Qasr and Mina Al-Salam), courtyard summer houses (Dar Al-Masyaf), a traditional market and cultural village, a conference centre, and recreational facilities. Nearly 4km of waterway runs through the entire city. Madinat Jumeirah forms a virtual island looking down upon wind-towers, courtyard houses, pools, meandering waterways with traditional water taxis, and a private beach. The outstanding architectural concept of Madinat Jumeirah was based on a theme of old Dubai in a luxurious context. It was designed by an international multidisciplinary design firm (Creative Kingdom) and developed by Mirage Mille. The project was designed and built in an ecological and resource-efficient manner. The combination of green design techniques used in the project will not only reduce energy consumption and environmental impact, but also reduce running costs, create more pleasant indoor spaces, improve occupants' health, and reduce pollution and legal liability. Various concepts and techniques were used to design and develop energy-efficient buildings and cooling load avoidance in Madinat Jumeirah. Design strategies that minimize the need for mechanical cooling systems were adopted, including proper shading, natural ventilation, thermal mass, careful siting and orientation decisions, and good landscaping. 3.1 Shading devices Fixed shading devices are installed mainly on the south-facing windows. They are carefully designed to allow the sun to penetrate only during determined times of the year. In the summer, the overhangs block the high sun; however they allow the low winter sun to enter the windows (see figure 3). 3.2 Vegetation and landscaping Trees and vegetation are properly located and used for shading. Vegetation, pools and canals around buildings contribute to an evaporative cooling strategy. Plants improve aesthetically the surrounding spaces of buildings and decrease ambient air temperature. Based on an analytical study which was carried out by the authors, plantations can reduce the air temperature nearby buildings by up to 5°C [8] in the surrounding areas. The application of plants around buildings and WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Dar Al-Masyaf (courtyard summer houses).

Jumeirah traditional market. Figure 3:

Al-Qasr Hotel – inner court.

Mina Al-Salam Hotel.

The use of passive cooling strategies in Madinat Jumeirah (Shading devises, vegetation and landscaping, wind-towers, and courtyards).

radiation and thus reduce energy consumption in buildings. This application can act as a protective barrier which provides buildings with better solar protections that can reduce the effect of the external load and the cooling need. 3.3 Natural ventilation: wind-tower and courtyards Buildings in Madinat Jumeirah were designed to take advantage of natural ventilation which uses the passive stack effect and pressure differential to bring fresh cooling air through buildings with limited or no mechanical systems. This strategy has been adapted by incorporating different means of outdoor air intake, including operable windows. East and west windows are limited and the majority of them are north-facing windows to reduce direct solar gain. The wind-tower has been used in Madinat Jumeirah to increase the air flow in buildings (see figure 3). Other features include fresh air inlets located near floor level, use of atriums, and courtyards that have been adapted to enhance the stack effect and to speed the indoor air flow. As shown in figure 3, courtyards have been used not only to improve indoor comfort but also to provide a pleasant outdoor environment. They help achieve desirable thermal environmental conditions not by mechanical devices but by architectural design (form, materials, floor covers and landscaping). WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


207

3.4 Thermal mass The building skin, which separates the interior spaces from the outdoor environment, is an important concept for energy efficiency and a major factor in determining the amount of energy used in buildings. External insulated dense materials (opaque mass wall) like concrete, bricks, and other masonry covered with plaster have been used in Madinat Jumeirah in passive design way to absorb, store, and re-release thermal energy. This strategy increases comfort and reduces energy consumption by moderating internal temperatures by average day/night extremes. Building forms, volume, and orientation also have significant impacts upon the efficiency of the building skin in Madinat Jumeirah. Openings are limited and mainly directed to the north. The comparison analysis of the performance of various building skins, which was carried out by Straube, proved that the opaque mass wall has the lowest thermal transmission coefficient (U-value), and the highest sound control [9].

4 Masdar City, Abu Dhabi Masdar City was initiated in 2006 as one of the most sustainable cities in the World. It is being constructed 17 km away from the centre of Abu Dhabi, and targeted to a 2016 completion date. Designed by Norman Foster, Masdar city is planned to be the first city where carbon emissions are zero, waste is converted to energy, desalinated water production reduced by 75%, and 80% of water will be recycled and powered by 100% renewable energy [10]. The city includes Masdar Institute of Technology, laboratories and research facilities, commercial spaces for energy related companies, and a science museum. The city will host 50,000 people, in addition to 40,000 commuters. Masdar, as a car-free city, will be linked to the centre of Abu Dhabi by a new mass transit railway [10]. Electric buses and personal rapid clean-energy vehicles are provided as inner city transport system, while a light railway is proposed to link the city with the metropolitan area. Most private vehicles are to be kept in parking lots located at the edge of the city. The city is designed to be self-sustaining; therefore, the surrounding land outside the city will contain photovoltaic and wind farms, research fields and plantations, desalination plant, water treatment plant, a recycling centre, and visitors’ parking. The outstanding architectural concept of Masdar City was based on traditional planning ideologies, characterized by narrow shaded alleys, courtyards, and wind-towers (figure 4). The city was designed in an ecological and resourceefficient manner. The street grid pattern is oriented on a southeast-northwest axis to catch the cooling breezes, provide shading, and reduce thermal loads on building façades. The combination of the applied green design techniques will not only reduce energy consumption and environmental impact, but also reduce running costs, create more pleasant spaces, and improve occupants' health. To produce lower greenhouse gas emissions, a variety of renewable energies are considered within the city development [10]. These technologies include: i) Solar Energy: the use of photovoltaic technology, as a solar power system is planned WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Narrow shaded alleys.

Figure 4:

Shading devices and thermal mass.

Wind-towers and courtyards.

The use of passive cooling strategies in Masdar city.

to provide almost 50% of the electricity required. ii) Wind Power: large-scale wind farms are proposed and will be connected to the city electric power transmission network. iii) Concentrating Solar Power: a field of mirrors and tracking systems is provided to focus a large area of sunlight onto a specific small beam. The concentrated light is used as a heat source for a conventional power station. iv) Geothermal Heat: a heating and/or cooling system that uses the earth’s ability to store heat in the ground or water thermal masses. v) Waste-toEnergy: the process of creating energy in the form of electricity from the controlled combustion of municipal solid wastes. Water management has also been planned in an environmental manner. A solar-powered desalination plant will be constructed to provide the city with a water supply. About 80% of the water used will be recycled and reused for irrigation and other domestic uses. It is also planned to reduce the city’s waste to zero [10]. Biological waste will be used as fertilizer; municipal solid wastes will be utilized as an additional power source; and industrial wastes will be recycled. Construction waste is heavily reused in the building industry. Waste steel, concrete, plastics, and timber are collected in a Materials Recycling Centre for processing and use in new buildings. Various passive cooling strategies have been applied to the architectural concept of Masdar City; buildings are designed in an energy-efficient manner. Intelligent shading devices are used to reduce heat gain on building façades, while increasing natural light. Pedestrian walkways are shaded with retractable awnings which can be opened at night to catch the cooling breezes. Modern wind-towers are located in the main piazzas to collect cooler upper breezes and direct them downward to the public spaces and courtyards (see figure 4). Building façades are designed in an energy-efficient way that accommodates change in the environment and in occupant needs; using self-regulating thermal protection and solar control measures, using natural, renewable energy sources. Two strategies have been taken into consideration in designing building façades: keeping cooling losses low, and avoiding undesired heat gains through solar radiation. This has been achieved by the number of glazing skins incorporated in the design and the use of solar control devices. Some buildings façades are covered with cushion-shaped ETFE (Ethylene Tetrafluoroethylene) backed by WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


209

reflective foil to develop an intelligent façade with low thermal mass. This strategy limits heat-gain and reduces cooling need inside the buildings [11]. The above strategies have an ecological and environmental significance since they reduce the global greenhouse effect by limiting carbon emissions; and reduce the investment and operational cost of building technology.

5 Liwa International School, Al-Ain Liwa International School (LIS) is sited in the south west end of Al-Ain City in the inner desert oasis of the UAE. The school building was constructed in 1992 and converted from conventional to sustainable green building in 2010. As a member of the global network of UNESCO affiliated schools, LIS has participated in the World Future Energy Summit 2010 with a sustainable green building project. This project aimed to reduce energy consumptions and increase energy efficiency in buildings by adopting green wall technique, using solar energy, and recycling grey water. As part of an experimental work which was carried out by the authors in 2010 [8], LIS was selected as a case study to investigate the performance of the integrated building façade with the application of green wall system in the hot climate of Al Ain city. A vegetated living wall was installed on the building façades as illustrated in figure 5. Data gathering took place immediately after installation during October and November when temperatures drop significantly in Al Ain. Orientations of the building facades were taken into consideration as well as the times when the sun has a perpendicular azimuth on the facades. Using temperature data loggers, measurements were taken on and around the internal and external surfaces of wall as well as the ambient temperature on both sides of the wall. Temperature measurements were taken in two situations: i) locations with the vegetated walls installations, and ii) locations without vegetated wall installations.

Figure 5:

Liwa International School, Al-Ain – green wall application.

To analyse the thermal performance of the green façade, the temperatures on the indoor and outdoor surfaces and ambient were recorded to investigate: i) the outdoor microclimate; ii) the reduction of wall temperature; iii) resistance to heat flow; iv) the reduction of cooling need. Figure 6 shows a difference of temperature up to 2.5ºC in the last week of October. (The larger temperature difference is explained by local heat loss due to evaporation of the planting



Figure 6:

The temperature difference on the outdoor ambience of green and bare façades to determine the microclimatic effect of the green façade.

irrigation system and local convection due to wind flow patterns due to the thermocouples being located very close to the vegetation). To determine the local cooling effect produced by the green façade on the external wall, the external surface temperature of the green façade is compared with the corresponding external surface temperature of the bare façade, as shown in the figure 7. The green facades maintained a lower temperature which was higher at the start of the experiments and continued to decrease with few exceptions. The decreased temperature on the green facades was achieved by: i) Decreased heat gain of the green façade compared to bare façade due to incident radiations being blocked by the vegetation leaves, soil mass, and the assembly carrying the plants; ii) The evaporative cooling caused by the irrigation water to the plants; and iii) heat resistance due to low thermal conductivity of the plants compared to the masonry wall acting as heat insulators to the ambient heat gain by the wall.

Figure 7:

The cooling produced by the vegetation on the external wall of the green façade.



Figure 8:

211

The resistance to heat flow offered by the green facade into the inside wall surface.

The green facade reduces heat flow from the external surface to the internal surface of the masonry wall shown by the temperature difference between the internal wall surfaces of the green and bare façade in figure 8. The effect of the green façade on the cooling demand reduction is determined by comparing indoor ambient temporaries obtained with the green and bare facades as shown in figure 9. The lower indoor ambient temperature decreases the cooling demand of the building. The lower temperature reduction can be attributed to the fact that: i) The green facade was just at the stage of inception and was not mature enough to produce a thick layer of vegetation to block substantially direct and diffused radiations and the ambient heat gains which resulted in higher indoor surface and ambient temperatures; ii) The measurements were taken late in the summer which further reduced the cooling effect due to decreased ambient temperatures. This would have led to an erroneous measurement procedure as it neglected the thermal mass effect and the time delay for the cooling effect to pass through the façade to produce reduced temperatures indoors. These mentioned problems will be addressed by: i) Taking measurements when the plants have grown enough to provide heat insulation and radiation sink; ii) Measuring data over a year for the whole day to see the effect

Figure 9:

Comparison of indoor ambient temperatures of the green and bare facades as an indicator to cooling load reduction.


212 Sustainable Development and Planning V of the seasonal variation, thermal mass and time lag of cooling effect to transfer into indoors; and iii) Taking measurements in the hot summer months when the outdoor temperatures are extreme and the green façade will make a difference.

6 Conclusion Recent on-going developments in UAE have consequences on the urban environment. Minimizing the impact of urban development on the natural environment and the trend to improve the ecological performance of buildings are the main concerns of the sustainable building practices in the country. These ideologies have been acknowledged by national and international architectural firms to develop new projects that are energy efficient by incorporating ecological and sustainable approaches in their designs. The development of Madinat Jumeirah and Masdar City is a significant sustainable development that aims to reduce cooling loads and increase occupants' comfort. Various passive cooling strategies have been used to develop energy-efficient buildings and cooling load avoidance. The use of natural ventilation, thermal mass, proper shading, careful siting and landscaping have been adopted in these projects. Other cooling techniques have been used, including wind-towers and courtyards. The use of green wall as a passive technique was successfully adopted not only in the new construction projects but also in the old building façades as applied to Liwa International School at Al-Ain City. The combination of the passive cooling strategies will not only increase energy efficiency in buildings and reduce environmental impact, but also increase sound insulation and create more pleasant indoor spaces and air quality improvements.

References [1] www.datadubai.com/technical-info [2] Botta, M. 2005, Towards Sustainable Renovation Three Research Projects. KTH, Stockholm. [3] Wheeler, S. and T. Beatley, 2004, The Sustainable Urban Development, New York. [4] Brown, G. and M. Dekay, 2006, Sun, Wind, and Light: Architectural Design Strategies, Wiley, London. [5] www.empowementzon.com [6] Vallero, D. and C. Brasier, Sustainable Design: The Science of Sustainability and Green Engineering, John Wiley & Sons, 2008. [7] www.arch.hku.hk [8] Haggag, M. et al, 2010, Integrating Advanced Facades for Low-Energy Building Performance: Intelligent Design Criteria for the UAE, Individual Research Project, UAEU [9] Straube, F. and R. Straaten, The Merit of Double Facades for Office Buildings in Cool Humid Climates, University of Waterloo, 2001. [10] Masdar Initiative and Masdar Development. www.masdaruae.com. [11] The global centre of future Energy, Masdar City. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


213

Visualization of the thermal environments of RC and composite-wall constructions H.-Y. Liu Department of Architecture, National Quemoy University, Kinmen, Taiwan

Abstract In recent years, the promotion of environmental conservation, energy-saving methods and carbon reduction has led to the implementation of a number of new energy codes in many countries to increase building efficiency. The ultimate goal is to create a comfortable and healthier living environment and reduce issues arising from climate-related factors. The aims of this study are to discuss several cost-effective methods that can reduce energy consumption and further improve the thermal environment of buildings in a subtropical country. This research utilizes a portable infrared thermography device to closely inspect and analyze the outdoor and indoor heat-environments of buildings built with reinforced concrete (RC) or of a composite-wall construction through visualization and comparison of thermographic images. By conducting cross-comparison and analysis, various dominant factors in the heat-environment are identified. This paper compares the effect of two different construction methods on the thermal environment and identifies the benefits of using proper materials with a low heat capacity to improve the energy-saving performance. The impacts of the two construction methods on carbon reduction and the heat island effect are also explored. The results of this study can serve as a useful reference and could form the basis of recommendations for building restoration or construction. Keywords: infrared thermography, heat-environment, energy conservation, carbon reduction, thermal images.

1 Introduction The exterior materials, construction method and quality of indoor air are vital characteristics affecting the energy consumption of a building, and control of the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110191

214 Sustainable Development and Planning V thermal environment of a building and the characteristics of its exterior envelopes are keys to reducing the energy consumption of a building. In many countries, the authorities have issued technical codes for energy conservation recommending certain designs of building envelopes suitable for the local weather with the aim of reducing energy waste. This is very important in certain continental areas where winter is extremely cold. On the other hand, for countries located in a tropical or sub-tropical climate, the solutions to improve the thermal environment of a building are different. Taiwan is located in the subtropical climate zone, with hot and humid climatic conditions. Increasing urbanization and climate change have raised energy consumption and thermal environment issues correlated to building construction. The method of construction of the exterior envelope of a building and the choice of construction materials directly affect the heat transfer between the inside and outside of a building. A study by Sun et al. [1] points out that the indoor and outdoor heat flow of a building is caused by heat exchange and ventilation in the exterior walls, ceiling, roof, floors and windows, and complex factors influence the heat flow indoors and outdoors, including the temperature difference, insolation, amount of indoor ventilation, size of open vents, thermal insulation of exterior walls, insolation absorption ratio, and emissivity of exterior surfaces. Therefore, for buildings in extremely hot climates, the effect of insulation and the cooling abilities of the exterior envelopes are determined by their thermal-insulating composition and the nature of the materials used. In addition, a good ventilation system to reduce heat gain and thermal insulation to prevent heat transfer is essential. By installing proper exterior materials with good thermal-insulating properties, the influence of the outdoor heat and the absorption of insolation can be reduced, leading to improvement in the quality of the indoor environment and reduced energy consumption. In order to study the effects of different construction materials on the thermal environments of buildings, this research utilizes a portable infrared thermography device to inspect the outdoor and indoor environments of buildings through visualization of the heat-environment. By cross-comparison of the indoor and outdoor thermal environment data, the analysis process can identify various key factors affecting the heat-environment. Many conditions influence the accuracy of thermographic measurement (Balaras and Argiriou [2]) give an overview of the use of thermal infrared imaging for the detection of building defects; however, qualified personnel of several different fields with a good understanding of various principles are required to perform accurate measurement. Recently, with further improvement in the technology, analysis and diagnostics of building problems of comparable quality can be performed without the need for human experts in a substantially shorter period of time. Regarding the impact of buildings on the urban thermal environment, many studies address the most effective designs in terms of energy conservation in countries of cold climatic conditions and calculate the energy consumption; however, very few explore approaches to improve the thermal environment of buildings in subtropical countries. For this purpose, infrared thermography is powerful technique that is particularly suitable for detailed inspection. Haack et WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


215

al. [3] point out that thermal infrared imaging is useful for promptly detecting damaged and humid sites in tunnel construction, and the technique works better than other non-destructive techniques. Sakagami and Kubo [4] develop a method using an infrared thermalgraphic device with a heating system that can identify defects in reinforced concrete (RC) objects. In this study, the critical effects of building materials and construction methods for building renovation under hot and humid climatic conditions are further explored, and the results can be used to form the basis of recommendations for building renovation and as a reference for related applications and research.

2 Methods The exterior walls of buildings are usually constructed using composite materials. In Taiwan, the most common material for the decoration of exterior walls of residential buildings is ceramic tiles or wall paint; on the other hand, the decoration of exterior walls for office buildings is more diverse, and materials such as metal-framed curtain walls and glass curtain walls are also used. If the former materials are used, when the surface of the exterior wall flakes or cracks visibly, it has usually already been seriously damaged, and the damaged area may suffer abnormal heat conduction as compared with the undamaged area, causing a surface temperature difference. As infrared thermal imaging can be used to rapidly obtain a comprehensive picture of the entire surface temperature distribution, abnormal areas of the exterior walls can be quickly detected. In addition, if a problem arises from the building’s structure or the materials used, this technique can also be used to identify the causes and to help develop appropriate strategies for improvement. Thermal imaging technology uses infrared thermography to measure the infrared intensity of an object (e.g., a building) and its environment, and displays the temperature variation of a scanned scene. The temperature distribution of an object and its environment can be calculated and used for analysis. Comparison of the measured readings of an object with those obtained under normal conditions reveals whether the object is at an abnormal temperature. The images obtained by infrared thermography represent the surface temperature of the measured object, which is mainly affected by internal factors including the characteristics of the surface of the material and the organization of its internal structure. In addition, other environmental factors such as wind speed and moisture can also affect the accuracy of temperature measurement.

3 Visual detection of the thermal environment of buildings Indoor and outdoor areas of abnormal and irregular thermal conductivity often contain thermal bridges. Thermal bridges can often be detected by thermal image analysis. The greater the temperature difference between areas, the more likely it is that a thermal bridge will be found: for instance, if an exterior surface temperature is above 34°C and an interior surface temperature is around 25°C, this temperature difference of around 6–9°C is the best condition for WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

216 Sustainable Development and Planning V thermographic analysis. As illustrated in Fig. 1, the use of different construction materials with different heat transfer coefficient K values causes the formation of a thermal bridge. Thermal imaging can capture enough detail to identify a thermal bridge.

Figure 1:

(A) Temperature difference between the interior and exterior surfaces of a wall resulting from the use of different construction materials with different heat transfer coefficients. This results in a thermal bridge. (B) A thermal bridge in a three-dimensional area [5].

In the formation of a thermal bridge in a three-dimensional space, heat conduction occurs from a large (or small) area to a small (or large) area. The corner area therefore maintains a higher temperature by retaining energy (or a lower temperature by losing energy), because it has a larger absorption or emission area. In a three-dimensional space, the corner of the ceiling generally loses or absorbs more energy than other areas (Fig. 1). 3.1 Visualization of the thermal environment of reinforced concrete (RC) buildings This section discusses the analysis of RC frame buildings, especially old buildings, in addition to metal sheet buildings, using infrared thermography. Based on infrared thermographic analysis, the thermal images obtained reveal the reasons for energy wastage in these types of building. As shown in Fig. 2A, in an RC townhouse of over 30 years of age, the tiled and cement exterior walls WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


217

are all of high heat capacity and store solar heat during the day. As they release this solar energy, the temperature of the exterior walls and the outside of the topfloor ceiling can reach above 30°C. In addition, the temperature of the indoor top-floor ceiling and concrete walls can also easily reach above 30°C (Fig. 2C – 2F), which will greatly increase expenditure on air conditioning and worsen the indoor air quality and environmental comfort level. The temperatures of the outdoor and indoor top-floor ceilings and walls are not significantly different, which indicates that RC buildings do not resist heat conduction very well. This causes the indoor temperature to be close to that outdoors, resulting in additional energy being used for air-conditioning in the summer and a very cold indoor environment in the winter. In addition, metal sheet rooftop extensions are often seen in old RC buildings in Taiwan, and it can be seen from the thermal image of a metal sheet building with this type of construction shown in Fig. 2B that this leads to an even greater accumulation of heat on the ceiling.

Figure 2:

(A) An RC townhouse of over 30 years of age. (B) Metal sheet buildings have the least effective construction, with wasteful consumption of energy. Comparison of the thermal images of the indoor (C) and outdoor (D) ceiling. Comparison of the thermal images of the exterior (E) and interior wall (F).


218 Sustainable Development and Planning V 3.2 Visual inspection of the thermal environment of a general RC residential building Figure 3 shows the application of thermal imaging to analyze the area in which efflorescence occurs. The variation in color clearly shows the temperature difference over the ceiling and walls, which indicates that moisture is unequally distributed in those areas. However, thermal images of the decorative frame moldings on the ceiling edges are not affected by the ceiling behind, which suggests that infrared thermographic analysis of the decorative materials may not reveal problems, as the characteristics of the construction materials underneath cannot be detected.

Figure 3:

(A) Color variation showing the temperature difference over the top-floor ceiling and wall where efflorescence occurs, as indicated in image (B).

Figure 4:

Color variation showing a higher temperature at the gap around the air-conditioner (A and B). Even in mid-autumn, the temperature of the top ceiling can reach nearly 40°C (C and D).



219

Vulnerable parts of a building with insulation problems can also be revealed by infrared thermography. If these problematic areas can be identified, suitable thermal break treatment can reduce energy loss to a minimum. Figure 4A and 4B show the temperature of the temperature of a window fitted with an air conditioner: because the gap in the window frame has not been installed with proper insulation material, outdoor heat can be transmitted across (Fig. 4A and 4B). Figure 4C and 4D show that the temperature of the top ceiling reaches up to 40°C even in mid-autumn and is about 10°C higher than that of other indoor areas. As most of the seasons in the subtropical climate of Taiwan are very hot and humid, the thermal comfort theory proposed by Spagnolo [6] is not applicable in Taiwan. 3.3 Window frames without thermal treatment Figure 5 shows that in a cold season the temperature of indoor window frames is still lower than that of the environment, which indicates that the window frames and glass also act as thermal bridges, losing heat in early spring. In an era in which carbon reduction is being targeted, to achieve efficient energy savings, high-heat-conduction window frames in every house and residential building should be subjected to thermal break treatment in order to reduce the cost of home energy consumption. Thermal break treatment is well worth considering when buildings are due to undergo repair or renovation. In terms of energy policy, the government might need to consider implementing a regulation that recommends such measures as the use of curtain-glass insulation to enhance thermal insulation in certain types of building. In order to reduce heat conduction, double-glazing or low-emissivity (low-E) glass windows can be employed to reduce heat flow between the indoor and outdoor environment.

Figure 5:

Thermal image of French windows (A and B); wooden window frames are often used in the construction of old buildings (C and D); comparison of the outdoor and indoor thermal images of a window in early spring (E and F).


220 Sustainable Development and Planning V 3.4 Visual inspection of the thermal environment of buildings with a composite-wall structure Composite-wall construction is a method that employs lightweight steel frames and a dry-construction technique, reducing construction time, the use of concrete and the weight of the building structure. Therefore, this type of building employs multi-layers of materials as envelopes. In general, it is difficult to identify the position of the metal structures of RC buildings externally, but it is a simple matter to do so by detecting the temperature difference using infrared thermography in buildings with composite-structure walls (Fig. 6). As this type of building is based on dry-wall construction with composite materials, this efficiently reduces the tasks required to be undertaken during decoration or repair. 3.5 Visual inspection of the structures of buildings with composite-structure walls In a building with composite-structure walls, the supporting structure of the kitchen outer wall shown in Fig. 6C can be clearly located by infrared thermography (Fig. 6A and 6B; winter and summer), which will assist workers to avoid the metal structure when installing electrical devices such as switches, plug sockets or lighting fixtures. However, the structural steel is a good conductor and allows heat transmission in both winter and summer, therefore leading to the formation of a thermal bridge. To overcome this problem, a drywall with a low heat transfer coefficient that serves as an insulated panel should be installed to resist heat flow through it. Similarly, the roof support structure of a dry-construction building may also become a thermal bridge (Fig. 6D and 6E; summer and winter), which can be clearly seen using thermal image analysis. Therefore, thermal break treatment of the steel support structure is strongly recommended in order to avoid thermal bridge formation. In addition

Figure 6:

In a dry-construction building, the wall support structure (A and B) and the roof support structure (D and E) becomes a thermal bridge in both summer and winter. (C) and (F) are the RGB images of (A and B) and (D and E).



221

to use for identifying the problem of a thermal bridge, this technique can also be used to reveal the support structure of a building with composite-construction walls, as shown in Fig. 7.

Figure 7:

Thermal imaging can reveal the support structure of a building with composite-construction walls (A). The temperature distribution curve (B) along the blue line of the thermal image shows the position of the support materials.

4 Comparison of the beneficial impacts 4.1 Outdoor microclimate of buildings Due to rapid urban expansion around the world, in addition to the hard-surface materials (of relatively high thermal conductivity) used in urban areas, most big cities still use impermeable materials for road surfaces. Few cities, Tokyo being one example, have begun to use environment-friendly water-permeable bricks for road surfacing. In Taiwan, the implementation of the use of permeable road surfaces has occurred later than in other countries, but the proportion of impermeable road surfaces laid is decreasing owing to the efforts of the Construction and Planning Agency to promote replacement materials. However, most metropolitan areas still use impermeable surfaces and include a large number of illegally-built metal sheet rooftop extensions, factors that accelerate the heat island effect. The road surfaces and metal sheet roofs of cities in summer reach a high temperature of 40–50°C, and some of the roofs even reach above 60°C. Predominantly impermeable surfaces, such as concrete or asphalt pavements, result in alteration of the heat balance in many big cities: these materials retain heat to a great degree and augment the heat island effect, which contributes to worsening of the already poor quality of the urban environment. Murakami et al. [7] and Lin [8] suggest that urban open space can reduce the temperature by planting more trees and even cooling by wind. However, as most of the big cities in Taiwan have a very high density of high-rise buildings, those methods can only have a very limited effect on the improvement of the outdoor micro-climate and temperature comfort [9]. Therefore, as buildings of a composite-wall construction do not contain a large amount of materials of high heat capacity such as concrete, tiles or stones, they do not impact upon the micro-climate to the same degree as do RC WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

222 Sustainable Development and Planning V buildings. In general, the thermal environment around buildings of a compositewall construction is more comfortable than that surrounding RC buildings. 4.2 Diagnosis and improvement of existing buildings An RC building of over 30 years of age is used as an example to examine how the thermal environment of this type of building might be improved (Fig. 8). As described in section 3.1, the thermal images of the top-floor ceiling and outside walls demonstrate problems regarding thermal conductivity. Before renovation, the indoor and outdoor top-floor ceiling, in addition to the interior and exterior walls, were of almost the same temperature in the summer. Renovation was performed by installing composite walls on the existing building surfaces (Fig. 8B), leaving an air space of 1.5 cm between the newly-installed and the existing walls. Analysis by infrared thermography reveals that the temperature difference between the interior and exterior walls (Fig. 8C and 8D) can reach up to at least 13°C, which validates the efficiency of composite-wall construction, an improvement that saves greatly on the energy consumption required for indoor air-conditioning.

Figure 8:

An RC building of over 30 years of age before renovation (A) and after composite-wall installation (B).Thermal image of the exterior wall (C) and the interior wall (D).

In comparison with the heat transfer rates of conventional RC walls (Fig. 9A), the heat transfer rates of composite walls (Fig. 9B) are calculated as below (Table 1): 1 U= 1  n d 1 1 R  i  h( ext) i 1 ki h(int) WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


223

m 2  K ); W H(ext)＝heat transfer rate of exterior air film (W/m2K); H(int)＝heat transfer rate of interior air film (W/m2K); di＝thickness of material (m); ki＝thermal conductivity of material (W/mK).

U＝heat transfer rate (W/m2 K); ∑R＝total thermal resistance (

Figure 9:

(A) Diagram of the construction of a general tiled wall. (B) Diagram of a kiln-fired granite external wall with an internal air layer.

Table 1:

Thermal properties of materials used in the construction of RC buildings. Material Plaster (concrete mortar) Concrete Kiln-fired granite Tiles Air layer Outdoor air film Indoor air film

Thermal properties k=1.2W/mK k=1.4W/mK k=0.37W/mK k=1.3W/mK R=0.19 m2K/W H(int)=20W/m2K H(out)=10W/m2K

(1) Calculation of the individual thermal resistance of each layer of material used in tiled exterior walls, as shown in Fig. 9A (the K value of concrete mortar is used to represent the binding layer material of the tiles): Total thermal resistance

2 ∑R＝0.34 ( m  K )

W

1 1 2 U=   2.94 W/m K  R 0.34


224 Sustainable Development and Planning V (compliant with the Technology Standards for Energy Saving in Taiwan, section 45-5: The average heat transmission rate should be lower than 3.5 W/m2K for the outside opaque walls of residential buildings.) (2) Calculation of the thermal resistance of each layer of material used in composite walls, as shown in Fig. 9B: Total thermal resistance U=

2 ∑R＝0.543 ( m  K )

W

1 1   1.842 W/m2K  R 0.543

The above-calculated heat transmission rates, or U values, indicate that the majority of the heat flow is impeded externally in composite-wall constructions, and therefore the U value is only 60% that of conventional tiled RC walls. This proves that a composite-wall construction can efficiently reduce energy consumption.

5 Conclusion In terms of the entire living environment, architectural constructions must meet some basic requirements in order to ensure the safety, comfort and convenience of the occupants. In addition to concerns regarding the environment and awareness of sustainability, health, ecology, energy-efficiency and minimization of pollution should also be taken into consideration. Therefore, buildings that possess ecological, energy-efficient, pollution-reducing and healthy features are what society expects in the 21st century. This study investigates and compares the differences between and benefits of composite-wall and conventional RC construction. The findings of this study can be used to propose solutions to improve energy consumption in RC buildings during renovation and repair. For countries with a hot and humid climate, the benefits of composite-wall construction and methods for renovation and improvement are summarized below (Table 2): 1. “Cladding renovation” is more effective than “facade renovation” in conventional RC buildings. 2. In cladding renovation of an old house, a ventilated air layer is necessary to improve the thermal insulation. 3. Composite-wall construction is a better model as it has a better insulation effect. 4. Materials used to construct multi-layer composite walls should have the characteristic of a high insulation effect: high-insulation materials such as calcium silicate boards, hygroscopic boards, glass wool, and cement and mineral fiberboards should be used, which have U values below 2.5 W/m2K. 5. Exterior walls should be constructed from light-colored materials with a low solar radiation absorption rate. 6. Increasing the thickness of the envelope structure or introducing an air layer will increase the heat capacity and extend the time lag. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Table 2:

225

Comparison of the advantages and disadvantages of conventional RC buildings and composite-wall buildings.

Effects

Conventional RC Composite-wall

Construction duration

Long

Short

Cost

Low ($330– 520/m2)

High ($660– 710/m2)

Often

None

High

Comfortable

Poor

Good

Often

No

Poor

Good

Difficult

Easy

Water hammer

No

Yes

Glass surface condensation

Mild

Yes

Efflorescence development Indoor temperature and humidity Anti-seismic capability Ceiling and wall cracks, water seepage Environmental benefits Utility pipeline maintenance

Note In the long term, composite-wall construction is more economical, as the added value is higher.

This problem can be solved by adding an adaptor to the joint of the pipeline. RC buildings are poorly isolated, the indoor and outdoor temperature difference is small. Condensation on glass surfaces is not often seen. This problem can be alleviated in composite-wall buildings by installing double-glazing.

7. Installation of insulation layers, such as an air layer or a thermal-insulating material, in an exterior wall or a high-temperature surface results in better thermal insulation. 8. Composite-wall dry-construction can reduce the potential for efflorescence development; however, steel structures require thermal break treatment to avoid thermal bridge formation. 9. For aluminum extrusion window frames, the insertion of material with a low thermal conductivity into frames can avoid thermal bridging. Window glass should be double-glazed or low-emissivity (low-E) glass. 10. In consideration of geographical factors affecting sub-tropical countries such as Taiwan, curtain-wall construction is not suitable for building envelopes. However, if some curtain-wall construction is necessary, double-glazing or low-E glass should be used, and window frames also require thermal break treatment. 11. Top-floor ceilings can be designed as a dual-layer ceiling (with a space between the layers) to improve insulation by blocking heat transfer; the addition of a roof garden is also beneficial. 12. Thermal bridges may cause damage to the structure of a building. 13. Thermal imaging is useful to identify the location of thermal bridges.


226 Sustainable Development and Planning V 14. In parts of a building that often become thermal bridges, some design modifications can be implemented to avoid this outcome. 15. Proper installation of thermal breaks in building envelopes can significantly reduce the cost of energy consumption.

References [1] Sun, H., Lauriat, G. & Nicolas, X. Natural convection and wall condensation or evaporation in humid air-filled cavities subjected to wall temperature variations, International Journal of Thermal Sciences50, pp. 663–679, 2011. [2] Balaras, C.A. & Argiriou, A.A. Infrared thermography for building diagnostics. Energy and Buildings, 34, pp. 171–183, 2002. [3] Haack, A., Schreyer, J. & Jackel, G. State-of-the-art of Non-destructive Testing Methods for Determining the State of a Tunnel Lining. Tunnelling and Linderground Space Technology, 10(4), pp. 413–431, 1995. [4] Sakagami, T. & Kubo, S. Development of a new non-destructive testing technique for quantitative evaluations of delamination defects in concrete structures based on phase delay measurement using lock-in thermography. Infrared Physics& Technology, 43, pp. 311–316, 2002. [5] Fouad. A. N. & Richter, T. LeitfadenThermografieimbauwesen, Fraunhofer IRB Verlag, Stuttgart, Germany, 2007. [6] Spagnolo J. A field study of thermal comfort in outdoor and semi-outdoor environments in subtropical Sydney Australia. Building and Environment, 38, pp. 721-738, 2003. [7] Murakami, S., Ooka, R., Mochida, A., Yoshida S. & Kim S. CFD analysis of wind climate from human to urban scale. Journal of Wind Engineering and Industrial Aerodynamics, 81, pp. 57–81, 1999. [8] Lin, T.P. Thermal perception, adaptation and attendance in a public square in hot and humid regions, Building and Environment 44, pp. 2017–2026, 2009. [9] Nikolopoulou M. & Steemers K. Thermal comfort and psychological adaptation as a guide for designing urban spaces, Energy and Buildings 35, pp. 95–101, 2003.



227

Lowering the sink temperature for a desert solar air conditioning system M. A. Serag-Eldin American University in Cairo, Egypt

Abstract The paper addresses the problem of cooling air conditioning systems in desert environments where ambient air temperatures are high, and cooling towers should be avoided because of scarcity of water resources. A proposed ground heat-sink is proposed which exploits the highly effective night-time desert cooling by long-wave atmospheric radiation. A simple computer model is presented for the performance of the heat-sink design, which integrates with a load calculation model for a hypothetical zero energy house, in which the air conditioning equipment is solar driven. The load-calculation and thermal-sink models are matched dynamically with the time dependent solar energy characteristics of the selected site, and predicted results are displayed and discussed. Keywords: solar air-conditioning, ZEH, renewable energy, geothermal cooling, heat sinks, COP.

1 Introduction Modern designs for desert Zero energy houses (ZEH) provide all modern comforts, relying on solar energy as the energy source to power the homes energy needs. By far the largest energy load for this environment is the air conditioning load, e.g. Serag-Eldin [1]. Air-conditioning equipment performance is affected heavily by the heat-sink (condenser) temperature, the higher the latter the lower the COP; indeed above a certain temperature the equipment mal-functions and may shut-down altogether to protect itself. Cooling the condenser requires dissipating the heat to a lower temperature environment. The two common methods of cooling are air cooling by atmospheric air (releasing heat to the environment directly) and water cooling by circulating WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110201

228 Sustainable Development and Planning V water which releases its heat to the environment indirectly through cooling ponds and cooling towers. A third, but unconventional method, employs geothermal cooling, e.g. Yasukawa et al. [2] and Permchart and Tanatvanit [3]. Air cooling is not always effective in a desert environment, since the ambient temperatures often exceed the allowable condenser temperatures during sunshine hours; reaching 50ºC in some places. Water cooling using cooling ponds and towers consumes too much water in the form of evaporation; this should not be allowed in a desert environment where water is scarce. Geothermal cooling could be highly expensive for large capacity equipment, requiring long lengths of pipes and ground area; moreover it necessitates a low ground temperature to be effective, which is not always the case; for e.g. in KSA the annual average soil temperature is around 31ºC and could be considerably higher close to the surface in summer. The present paper presents a conceptual heat-sink design which is believed to be better suited to the desert climate. The design is first presented, followed by a brief description of the models employed to evaluate it, and by a demonstration of their application to a ZEH.

2 Proposed conceptual design It is proposed here to cool the air-conditioning system condenser employing cooling-water circulating in a closed loop. For a given condenser temperature, Tcond, the maximum cooling water inlet temperature, Tcwi, and cooling water outlet temperature, Tcwo, are all fixed by controlling the water flow rate. Three alternate cooling operation modes are available; the mode employed depending on the ambient air temperature Ta, as follows: i) ii)

iii)

Ta < Tcwi – 5ºC: cooling water is totally air-cooled in a cross-flow heat exchanger, prior to returning to condenser. Ta > Tcwi – 5ºC , but Ta < Tcwi: cooling water is first air-cooled to a temperature = Tcwo- (Tcwo – Tcwi)(Tcwi-Ta) / 5ºC , after which it passes to a ground heat sink where it is further cooled to the desired Tcwi. Ta > Tcwi: cooling water is directed straight to the ground heat-sink at a temperature of Tcwo, flowing through a well insulated pipe.

Hence air cooling is invoked whenever it is feasible to do so, either partially or entirely, thus reducing the load on the ground heat-sink. The proposed sink is simply a dug-in, long, shallow, and narrow trench of rectangular cross-section, whose sides are first thermally insulated, and subsequently filled with the same excavated ground material (assumed sand). Buried at its centre are longitudinally laid finned ducts, through which the cooling water flows. The sides of the ground sink are thermally insulated to reduce heat losses. A removable cover (either hinged or sliding) is used to cover the sink surface WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


229

during sunshine hours. The cover is made of 2.5 cms thick softwood, covered by thin commercial aluminium sheets on each side. When present, the cover is lifted approximately 0.01 m above the sink surface by peripheral wooden spacers. During sun shine hours, the ground sink is covered and therefore most (~80%) of the short wave solar radiation landing on the top surface is reflected back to the atmosphere. The relatively low emissivity (18%) of aluminium cladding of the cover bottom reduces the long wave radiation exchange between the cover bottom and sink surface. The air gap provides cheap and excellent insulation properties to reduce heat conduction from cover to ground. Since gap height is small, and the hotter surface is the top one, convective effects (all natural) are negligible. After sunset and until next day sunrise, the sink surface is exposed directly to the night sky, which in desert environments is considerably cooler than the ambient air. Thus appreciable net cooling of the sink occurs through long wave (infra red) radiation exchange with sky; convective cooling/heating may also sometimes be significant, depending on wind conditions and ambient temperatures. The latter are typically 10ºC or more lower than daytime temperatures in the desert. The naturally existing local soil achieves equilibrium temperatures which reflect the balance between day time heating, night time cooling and ground storage within the thermal penetration depth. Therefore the ground sink, by substantially reducing the daytime heat gain, while retaining the same night-time cooling, achieves lower equilibrium temperatures as revealed in coming sections. Thus the theory of its operation. Side insulation is introduced to eliminate heat seepage from surrounding uncovered ground.

3 Mathematical models In previous work, Serag-Eldin [4] presented a mathematical model for predicting the cooling loads in a zero energy house. It comprised solar radiation models, coupled with time dependent heat conduction models and long wave atmospheric radiation models. The results employed measured environmental data reported by ASHRAE [5], for a hypothetical site in Dharan, KSA; a modern electronic expansion valve COP characteristic, Chinnaraj and Govindarajan [6] was adopted. In the present work, the same load-calculation model is used to calculate the cooling loads on June 21st, the supposedly hottest day of the year, and for the same site. Figure 1 reveals the cooling load distribution on that day. The latter is the input to the ground-sink model presented here. The heat-sink model includes a time dependent heat conduction model described by the following governing equation:   T (  cT )  (k ) x t x


(1)


Figure 1:

Cooling loads for ZEH on June 21st.

where x is the downward distance measured from the top surface of the cover, and t denotes time; whereas T, ρ, k and c are the local values of the static temperature, solid density, coefficient of conductivity, and specific heat, respectively. Temperature gradients in axial and lateral directions are expected to be small and therefore neglected. The above equation is integrated numerically over control volumes bridging the domain bounded by the cover top surface and the ground-sink bottom surface, employing the control-volume method. In addition to the above terms, surface heat source terms, Sh (W/m2), are introduced at the following locations: i)

cover top surface(when present):

S h  (1   sw _ cv ) qsol  ho (Ta  Tcv _ top )   cv _ tp ( aTa4  Tcv4 _ top )

(2)

where ρsw-cv is the short wave reflectivity of the cover cladding, Tcv-top is the surface temperature of the cover top, εcv-top is the long wave emissivity of cover top and εa is the apparent emissivity of the atmosphere (Bliss [7] and ASHRAE [8]). εa is defined as the ratio of the long wave atmospheric radiation on a horizontal surface per unit area to (σ Ta4), and is only a function of the dew point temperature near ground; the latter is derived from instantaneous values of drybulb and wet bulb temperatures, as shown by Serag-Eldin [4] for cooling load calculations. qsol is the global solar radiation on a horizontal surface, and is calculated in same way as for load calculations. The convective heat transfer coefficient, ho is calculated from the following formula (Kreider et al. [9]):

ho  6.2(

V 4 0. 2 ) L


(3)


231

where the characteristic length L is taken as channel width, and a wind speed, V= 3m/s is assumed. ii)

cover bottom surface (when present):

Sh 

 (Tsk4  Tcv4 _ bot ) (1 /  cv _ bot  1 /  sk  1)

(4)

where the subscript ‘sk’ refers to sink surface, and εcv-bot refers to cover bottom emissivity. Forced convection is absent and free convection is ignored since gap thickness is small(0.01 m) and the hotter plate is the top one; however conduction heat transfer is retained across the air gap. iii) ground-sink surface: When cover is present Sh is equal but opposite in sign to that of equation (4). However, when cover is absent the source term becomes:

S h  (1   sw _ sk ) q sol  ho (Ta  Tsk )   sk ( aTa4  Tsk4 )

(5)

where ρsw-sk refers to short-wave reflectivity of the sink surface, and subscript ‘sk’ refers to sink surface properties. iv) duct plane: A source term is introduced at the control volume containing the cooling-water duct, representing the local heat transferred from cooling water to the sink per unit sink surface area, qL. The latter is calculated from:

qL 

(Tcw, z  T ) (1 / hi P  x / kPeff )

(6)

where T denotes the temperature of the sand surrounding the cooling-water duct, Tcw,z is the cooling-water bulk temperature at considered downstream location ‘z’, P is the perimeter of the internal walls of duct, Peff is an effective perimeter (surface contact area per unit length) between cooling water and surrounding sand, whereas Δx represents the distance between the external surface of the duct and T node. It is expected that the actual duct will be composed of several smaller ducts of same cross-sectional area, each displaying long horizontal fins; possibly covering the entire sink breadth so that heat dissipated can be conducted as uniformly as possible to sink surface. In the present work, the geometric details of the duct and fins are not considered; it is merely assumed that Peff lies between an upper value equal to channel breadth, and a lower one equal to P, i.e. to case without fins. Unless otherwise stated, displayed results correspond to an intermediate value; however, effect of Peff on results is reported. The perimeter P is calculated for a single duct of 0.1 m breadth and 0.01 m height. The WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

232 Sustainable Development and Planning V temperature T is taken to be the mean of the calculated temperatures at the nodes immediately above and below the duct centreline. The internal duct heat transfer coefficient is calculated from the following empirical relation (Holman and White [10]):

hi d h  0.023 Re0.8 Pr 0.3 k

(7)

where dh is duct hydraulic mean diameter, Re denotes Reynold’s numbers and Pr denotes Prandtl’s number; all properties pertaining to cooling water at Tcw,z. It is noticed that conductive resistance across duct walls is neglected as it is estimated to be much smaller than that of the surrounding soil if duct walls are thin and manufactured from aluminium. The cooling water temperature Tcw,z varies along the length of the pipe, z, according to the following relation: dTcw,z  qL  dz m cwc

(8)

where m  cw is the mass flow rate of the cooling water per unit channel width, and c is its specific heat. It is derived at any time step from the calculated total cooling loads QL according to :

m cw 

QL c (Tcwo  Tcwi )Wsk

(9)

where Wsk is the sink width; Wsk= 4 m for the demonstration case. The solution procedure is as follows: i) cooling loads are calculated using cooling load model. ii) corresponding m cw values are calculated from eqn. (9). iii)

heat conduction eqn. (1) is solved for first downstream location z, employing the Crank-Nicholson method, with Tcw,z set to temperature of cooling water upon entering heat-sink. Solution extends over all time steps covering entire day, assuming 24 hr periodic conditions, yielding internal solid temperatures. iv) local and instantaneous value of ql are derived from eqn. (6). v) Eqn. (8) is solved for the next downstream Tcw,z employing the second order accurate mid-point method. vi) steps iii) to v) are repeated for successive downstream sections, each step employing the exit Tcw,z temperature of the previous section. vii) solution yields required duct length when Tcw,z=Tcwi.



233

4 Ground-sink without loading Figure 2 displays the computed sink temperature variation with time in absence of cooling-water flow, i.e. no load. It displays results for the top surface, middle surface (where the cooling-water duct passes) and the insulated bottom; the corresponding ambient temperature is added for comparison. It is noticed that the sink surface temperatures are considerably lower than ambient air temperature, and that the mid-plane and bottom plane temperatures are highly uniform. During the afternoon hours when cooling loads are near their peak, the ambient temperature is over 40ºC, whereas the mid-plane temperature is only 28ºC. The impact of removing the cover on the surface temperature is highly pronounced, which suggests that it may be advantageous to remove cover slightly before sunset and return it slightly after sunrise, solar radiation being weak during those periods.

Figure 2:

Daily variation of temperature at no load.

Figure 3 displays the corresponding temperature variation in the downward direction, measured from cover surface, at 6 hour intervals. The profile at midnight (0 hr) is the only one without a cover; it therefore displays the ambient temperature in the location of the cover. It is noticed that at the outer surface of cover the surface temperature can exceed 50ºC at solar noon, however those high temperatures are not transmitted inwards into the soil. The surface displays temperature fluctuations of the order of 7ºC, but those fluctuations are quickly diminished as we approach sink mid-plane, after which the temperature is almost uniform all the way to the bottom.



Figure 3:

Variation with depth at various hours.

5 Sink with heat dispersion Figure 4 displays the distribution of heat dispersion per unit area along the duct axis at near inlet section (1m), and at downstream distances of 31m, 81m and 286m, respectively, the last section being close to outlet. As expected, ql decreases downstream since Tcw decreases and hence temperature difference between cooling water and surroundings decreases. It is noticed that when the cooling water first flows into the duct the sink is still cool and therefore the temperature difference is large causing rapid cooling, explaining the spike at inlet then. This rapid inlet cooling implies that the cooling water temperature will be considerably lower far downstream, causing the temperature difference to be small, thus explaining the lower ql at inlet.

Figure 4:

Hourly heat dispersion per m length.



235

Figures 5 and 6 display the hourly variation of sink temperatures at near cooling-ware inlet and exit sections, respectively. It is noticed that the soil temperatures are higher near inlet because of the higher cooling water temperature at inlet. However, even at exit, the sink temperatures are still considerably higher than when there is no loading, Fig. 2. The mid-plane temperatures are lower than the bottom temperature prior to flow of coolingwater (~ 8 a.m.), but when the water starts flowing the mid-plane temperature increases gradually to values above bottom temperature, until water is cut off again at around 9 p.m. When mid-plane temperature is higher than bottom temperature, heat flows downwards, and vice versa, thus the region below the mid-plane acts a storage zone. The surface temperature is always lower than the mid-plane temperature at inlet, indicating a constant heat flow outwards to the surface.

Figure 5:

Hourly sink temperatures near inlet section.

Figure 6:

Hourly sink temperatures near exit section.


236 Sustainable Development and Planning V Figures 7 and 8 display the corresponding T- x distribution. A small peak appears at the mid-plane due to the local dispersion of heat by the cooling-water duct. The temperature profile in the bottom one-third of the sink is remarkably uniform, albeit being slightly higher at inlet than at exit section. It therefore could be that a shallower sink would have been adequate.

Figure 7:

Temperatures within sink at inlet.

Figure 8:

Temperatures within sink at exit.

Figure 9 displays the variation of the cooling water temperature along the centre-line, for three different values of Peff, representing a single duct without fins, one with average size horizontal fins, and one whose horizontal fins are so large that they may be assumed to spread the dissipated heat uniformly in the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


237

lateral horizontal direction. The average size is the one adopted for previous displays. The arrows point at the required lengths of duct required to cool water to the desired 35ºC; they range from near 130 m for full fins, up to near 280 m for average size fins, and as much as 550 m for no fins, the sink width being 4 m in all cases. It is clear that fins are necessary and that they should be designed to be highly effective in order to cut down ground sink size and costs.

Figure 9:

Cooling water temperature distribution.

The total daily condenser cooling load for the demonstration case is 708 kW.h/day; of these, approximately 320 kW.h/day are born by the ground heat-sink, the remainder being dissipated directly to environment.

6 Discussion and conclusion The paper investigates the performance of a proposed ground heat sink when coupled with the performance of a solar driven air-conditioning system for a ZEH in an exceptionally hot desert environment. The results seem plausible and indicate that such a design is feasible, but requires considerable length of ducting and surface area. Thus it is only attractive were land is cheap and abundant, and where water is scarce and ambient temperatures are too high for direct air cooling; which is the case for most ZEH in remote desert sites. Moreover, the length of the required ducting depends strongly on the effectiveness of duct surface fins. Optimizing fin design however, is not done here as it requires more detailed analysis. The mathematical model assumes a 24 hour repetition of ambient conditions; since the load calculations are made for the hottest day of the year (employing a 5% design percentile value), they over predict the ground sink requirements. Under actual operating conditions, a cooler previous day coupled with the high


238 Sustainable Development and Planning V thermal capacity of the soil should lead to improve cooling and therefore shorter duct lengths. Through ignoring the relatively small thermal capacity of the cooling water flowing in the duct, the mathematical model achieves high computational efficiency, by allowing an initial value ordinary differential equation to be solved in the z direction for cooling water, and a separate partial differential equation to be solved in time and x-direction for the solid material.

Acknowledgement This work was sponsored by KAUST under the IDBT project grant held by AUC.

References [1] Serag-Eldin, M.A., Thermal design of a modern, air-conditioned, singlefloor, solar-powered desert house, in press, Int. J. of Sustainable Energy, 2011. [2] Yasukawa, K., Uchida, Y., Tenma, N, Taguchi, Y., Muraoka, H., Ishii, T., Suwanlert, J., Buapeng, S. and Ha, N., Groundwater Temperature Survey for Geothermal Heat Pump Application in Tropical Asia, Bulletin of the Geographical Survey of Japan, vol. 60(9/10), pp. 459-467, 2009. [3] Permchart, W. and Tanatvanit, S., Study on using ground as a heat sink for a 12,000 Btu/h modified air conditioner, World Academy of Science, Eng. and Technology, 51,pp. 15-18, 2009. [4] Serag-Eldin, M.A., Modelling the energy systems in a PV powered two floor desert ZEH, accepted for publication in proceedings of CMEM2011, New Forest, UK, May 31-June 2nd. [5] ASHRAE Fundamentals Handbook, 2009, American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc., USA. [6] Chinnaraj, C. and Govindarajan, P., Performance Analysis of Electronic Expansion Valve in 1 TR Window Air Conditioner using Various Refrigerants, I. J. of Eng. Sc. and Tech., Vol.2(9),2010, pp. 4020-4025. [7] Bliss, R.W., Atmospheric Radiation Near the Surface of the Ground: A Summary for Engineers, Solar Energy 59(3), pp. 103-120. [8] ASHRAE HVAC Applications Handbook, 2007, American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc., USA. [9] Kreider, J., Curtis, P. and Rabl, A. 2010, Heating and Cooling of Buildings: Design for Efficiency, McGraw-Hill Inc., New York, p. 47. [10] Holman, J.P. and White, P., Heat Transfer, 7th edition, McGraw-Hill, 1992.



239

Innovative approaches to urban water management in developing countries S. Beecham & R. Fallahzadeh University of South Australia, Australia

Abstract The expansion of our towns and our limited land resources have led to the need for multifunctional land use in densely populated cities like Kuala Lumpur, Malaysia and Adelaide, Australia. Recently in Kuala Lumpur, Sustainable Urban Drainage Systems (SuDS) have been being adopted as a component of integrated urban water management. However, even SuDS technologies still often require dedicating areas of land to a single land use such as water conservation, flood control or water quality treatment. This paper investigates how innovative approaches to urban water management can lead to multi-functional landuse where habitat connections, flood storage, water reuse and social amenity are all integrated in the same land corridors. This could potentially release flood fringe areas for development which in turn could provide the economic driver to achieve higher level outcomes such as enhancement of urban ecology. However, further research is needed to inform practice in this important area. Keywords: sustainable urban drainage systems (SuDS), multi-functional landuse, urban ecology, urban water management.

1 Introduction In recent years most stormwater management regulations have been concerned primarily with reducing peak flows and volumes of runoff into the stormwater system. While this is still very important, little emphasis has been given to the quality of the water that is reaching the waterways. These waterways support sensitive ecosystems that can be easily impacted by increased stormwater pollution. It is important to ensure that future developments are implemented using an integrated urban water management approach. This can be achieved WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110211

240 Sustainable Development and Planning V through the integration of water quality controls, flood detention and water sensitive urban design (Collins et al. [1]). Equally important is the need to design smarter, more resilient and most of all adaptive water systems. Examples include permeable pavements with underlying storages, on which cars can be parked and vegetated stormwater systems that include below soil storage systems that enable the vegetation to be sustained during longer interevent dry periods. Both these systems achieve multifunctionality of landuse by providing flood control, stormwater treatment, habitat connectivity and public space amenity. In developing countries both sustainable water management and multifunctional landuse are being practised. In particular, Malaysia is an interesting country to study as it is rapidly urbanizing. Rainfall in Malaysia is typically characterised by very intense and short duration storm events, which makes urban water management very challenging. The regular traffic gridlocks that occur in Kuala Lumpur following rainfall deluges are a symptom of these issues. However, urban planners and engineers are looking for ways to both control and make better use of water in the ever expanding cities. This paper examines innovative stormwater management methods currently being in Malaysia and compares them with Australian design and practice.

2 Water Sensitive Urban Design The term Water Sensitive Urban Design (WSUD) was first referred to in various Australian publications exploring concepts and possible structural and nonstructural practices in relation to urban water resource management during the early 1990s. Parallel design philosophies, such as Sustainable Urban Drainage Systems (SUDS), were also developing in Europe and the United States. SUDS is now generally referred to as SuDS to reflect the wider application of Sustainable Drainage Systems. In the USA and Japan, SuDS is known as Low Impact Urban Design (LIUD), or just Low Impact Development (LID). WSUD, LID and SuDS embrace the concept of integrated land and water management and in particular integrated urban water cycle management. This includes the harvesting and/or treatment of stormwater and wastewater to supplement (normally non-potable) water supplies. More generally SuDS focuses on the interaction between the urban built form and the natural water cycle. It may be regarded as an alternative to the traditional ‘catch and convey’ approach to stormwater management. From this point in the paper the term SuDS will be used to represent WSUD and LID. SuDS embraces the concept of integrated land and water management, in particular integrated urban water cycle management. In terms of typical SuDS components (Beecham [2]) includes rainwater tanks, grassed swales, biofiltration swales, bioretention basins, sand filters, infiltration trenches and basins, vegetated filter strips, permeable pavements, wetlands and ponds. These components can be combined into very sophisticated systems (Dunphy et al. [3] and Kandasamy et al. [4]) that treat stormwater to almost drinking water standards.



241

3 Permeable pavements Pavements are ubiquitous in urban areas. However, for developers, industrial facilities, and local authorities addressing stormwater and associated waterquality guidelines and regulations, pavements stay very much at the forefront of planning issues. Pavements designed for use by vehicular traffic typically consist of a sub-grade, one or more overlying courses of compacted pavement material and a surface seal. An integral aspect of conventional pavement design involves preventing entry of water to the pavement via the seal to protect the integrity of the underlying base course, sub-base and sub-grade. Conversely a permeable pavement has quite different objectives and design requirements to conventional pavements. The pavement is designed to infiltrate stormwater through to the underlying layers. Water passes to the open graded single sized gravel sub-structure and is drained through to the sub-grade. The pavements therefore perform the dual functions of supporting traffic loads and of stormwater drainage. Pollutants within the stormwater also infiltrate, with the majority being trapped within the pavement layers. Permeable pavements may be designed to incorporate an underlying storage volume for:  Water harvesting and reuse  Flood attenuation  Enhance water quality treatment. Permeable pavements present a unique opportunity to harvest and store urban stormwater that would otherwise contribute to overland runoff into the conventional stormwater pipe and channel network. With minimal surface infrastructure, permeable pavements provide a serviceable, hard standing area that facilitates water harvesting, treatment and reuse (Beecham [2]). There are several options for the design and construction of such a system. After infiltrating through the pavement surface, the stormwater can be stored in a submerged tank, or in proprietary plastic cell systems. It can also be stored in a matrix of base course aggregate contained within an impermeable membrane. This is shown in Figure 1. Researchers at the University of South Australia recently completed construction of a conceptual prototype facility, shown in Figures 2 to 4 features a pavement the size of a standard car space (in accordance with AS/NZS 2890.1) Storage is provided within a limestone base course aggregate material. There is also a window cut into the side to view the depth of the water in the reservoir. In constructing the pavement, a procedure similar to the construction of a standard pavement was followed. Excavations were undertaken according to plan, ensuring adequate water storage volume was available. Laboratory tests indicated that voids in the base course aggregate material were 40% of the overall sub-base volume. This initial testing suggested that the overall storage of this facility is approximately 3,600 litres. The excavation varied between 650 mm and 750 mm depth overall, sloping downward to a sump at one end, where a submersible pump was located.



Figure 1:

Figure 2:

The pavement reuse concept.

Pavement excavation.



Figure 3:

243

Perforated pipe for retrieving harvested stormwater.

Figure 4:

The completed UniSA prototype facility.

A 0.75 mm polypropylene material was used to line the excavation. To access the stored water, a stormwater pipe was installed prior to filling. The pipe was perforated at sufficient intervals to allow the ingress of water, whilst preventing the ingress of aggregate stones to the submerged pump reservoir. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

244 Sustainable Development and Planning V Following the placement for the storage access pipe, 14 tonnes of 20 mm dolomite aggregate was placed on top of the liner and compacted using a vibrating plate compactor. Permeable pavers are laid in a similar fashion to conventional concrete block paving units. The upmost layer of aggregate (the ‘laying course’) is screeded to a desired level and pavers are placed according to manufacturers’ instructions. The pavement itself is then compacted with a vibrating plate compactor. The installation of appropriately designed edge restraints completes the construction procedure. The stormwater harvested from this system is extracted using a small solar pump and is used to irrigate plants in an equivalent sized adjacent rainwater garden. The total installation cost of this system was AUD 3,100 (GBP 1820).

4 Sustainable urban drainage systems in Malaysia An example of Malaysian best practice in integrated urban water management is the recent adoption of the principles of sustainable urban drainage systems (SuDS) into the upgrade design for the Humid Tropics Centre (HTC) in Kuala Lumpur. As shown in Figure 5, porous paving, rainwater tanks, green roofs, vegetated swales and bioretention basins are integrated into a space-constrained office complex. This has been designed as an exemplar case study of SuDS for Malaysian conditions.

Figure 5:

SuDS features at the HTC in Kuala Lumpur (drawing courtesy of both HTC and ZHL engineers).

In order to compare the Malaysian and Australian design approaches for SuDS, the case of permeable pavements is selected. The design shown in Figure 5 was conducted in accordance with the Malaysian Urban Stormwater Management Manual, known locally as MSMA [5]. The permeable pavement WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


245

system shown in Figure 5 is 279.5 m2 in area and was designed for a two year average recurrence interval (return period) design rainfall event of duration 15 minutes and intensity 181.2 mm/h. This immediately demonstrates the very high rainfall intensities faced by designers in Malaysia. Indeed this design storm is very close to the 100 year average recurrence interval, 5 minute duration design storm for Adelaide Australia, which is 186 mm/h. The MSMA design process involves the following steps, with only the summary calculations shown for conciseness: Step 1: Determine the permissible site discharge (PSD). PSD = 7 L/s Step 2: Determine the site storage requirement (SSR). SSR = 7.4 m3 Step 3: Determine the required reservoir depth (d). d = 105.9 mm To compare this with Australian design practice, the PERMPAVE software (Beecham et al. [6]) was run for the same two year average recurrence interval event (15 minute duration) for Adelaide, Australia. This design storm has a much lower rainfall intensity at 35.6 mm/h. PERMPAVE is freely available from the Concrete and Masonry Association of Australia (www.cmaa.com.au). Figures 6 and 7 show screenshots from the program output.

Figure 6:

PERMPAVE computed inflow hydrograph.

For the Australian design the main limiting factor is the maximum infiltration rate through the pavers, rather than the depth of basecourse required to infiltrate and store the design storm runoff. A basecourse depth of 100 mm provides 11.2 m3 of storage when the voids ratio is 0.4. This is sufficient to cope with the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 7:

PERMPAVE program outputs.

runoff volume from the 2 year event. However, because of the lower rainfall intensity, the peak inflow to the Adelaide system is 3.9 L/s compared to 13.9 L/s for the Malaysian design storm event. This means that high infiltrative capacities are required for pavement systems in Malaysia. It also means that partial clogging of permeable systems is likely to have more significant affects on system performance in Malaysia than in Australia. Pezzaniti et al. [7] showed that partially clogged systems in Adelaide can still continue performing adequately for over ten years with minimal maintenance. This is unlikely to be the case in Malaysia but further research would be required to accurately determine the differences. In Malaysia permeable pavements are not yet designed for harvesting and reuse of stormwater. However, the average annual rainfall in Malaysia is 2,500 mm and this results in high volumes of urban runoff. Therefore permeable pavements with significant underlying storage would provide both effective flood control and high security of supply for stormwater reuse.

5 Conclusions This paper has examined how sustainable water management can be achieved using multifunctional urban landuses. Examples have been presented where flood control has achieved using innovative SuDS technologies in both Kuala Lumpur, Malaysia and Adelaide, Australia. The design approaches used in both countries have been compared and the emerging use of permeable pavements for water harvesting and reuse has been discussed. However, this paper has also clearly identified that more research is needed to inform practice in the areas of water quality treatment, flood control and water harvesting and reuse. One of the most important considerations in stormwater WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


247

management is provision of sufficient water storage. If the development of SuDS in Australia can be criticised, it would have to be in the way in which inadequate attention has been paid to the incorporation of sufficient storage volumes Developing countries such as Malaysia can learn from these experiences (Beecham [8]).

Acknowledgements The support of the Australian Research Council for funding under grant DP0877707 is gratefully acknowledged, as is the ongoing support provided by Alan Pearson and the Concrete and Masonry Association of Australia (CMAA). Our deep gratitude is also extended to A/Prof Lariyah Sidek of UNITEN, Putrajaya and to Zul Mohd Roseli, Director of ZHL Engineers Sdn. Bhd., Malaysia for their considerable assistance in comparing Malaysian and Australian design techniques for SuDS technologies.

References [1] Collins, A., Morison, P. & Beecham, S., Deemed to comply stormwater management requirements for Parramatta City Council. Proc of the Stormwater Industry Association Annual NSW and Queensland Conference, Gold Coast: Australia, 2008. [2] Beecham, S., Water sensitive urban design (Chapter 23). Adelaide: Water of a City, Daniels, C. B., Wakefield Press, ISBN: 9781862548619, 2010. [3] Dunphy, A., Beecham, S., Vigneswaran, S., Ngo, H.H., McLaughlan, R. & Collins, A., Development of a confined water sensitive urban design (SuDS) system using engineered soils. Water Science and Technology, IWA, 55(4), pp. 211–218, 2007. [4] Kandasamy, J., Beecham, S. and Dunphy, J., Effectiveness of stormwater sand filters in water sensitive urban design. Journal of Water Management, Institution of Civil Engineers, UK, 161(2), pp. 55-64, 2008. [5] Department of Irrigation and Drainage, Malaysian Urban Stormwater Management Manual (MSMA), Jalan Sultan Salahuddin, Kuala Lumpur, DID 2009. [6] Beecham, S., Pezzaniti, D., Myers, B., Shackel, B. & Pearson, A., Experience in the application of permeable interlocking concrete block paving in Australia. Proc. of the 9th International Conf. on Concrete Block Paving, Buenos Aires: Argentina, 2009. [7] Pezzaniti, D., Beecham, S. and Kandasamy, J., A laboratory and field investigation into the effective life of permeable pavements. Journal of Water Management, Institution of Civil Engineers UK, 162(3), pp. 211-220, 2009. [8] Beecham, S., Planning for multifunctional urban landuse using sustainable water management. 4th International Conference on the Built Environment in Developing Countries, Penang: Malaysia, 2010. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)



249

A study of the impacts of existing artificial optical radiation at student housing sites P. Hebert Oklahoma State University, USA

Abstract Visible optical radiation in the housing sector accounts for 17% of the total energy consumed in the USA. Recommendations encourage the use of sustainable lighting to reduce energy consumption, but all stakeholders have not complied. Some existing installations provide high light levels, use inefficient lighting, and waste resources. Over-illuminated sites create light pollution and “light trespass,” which may upset circadian rhythms and damage health. Some housing sites utilize short-lived light sources, which must be replaced often, sending solid waste to landfills. The invisible effects of artificial optical radiation, such as those from ultraviolet light (UV), may have adverse environmental and health impacts. In this study, researchers explored the quantitative aspects of artificial optical radiation found at five university student housing sites. They integrated technical literature and lighting industry recommendations with previous studies and new field measurements to raise awareness of environmental impacts and to ultimately encourage informed choices of sustainable lighting at student housing sites. The researchers led undergraduate students in night-time field studies to measure and document existing lighting conditions. They utilized various hand-held devices to measure and analyze visible light, UV light, and sky quality. Artificial optical radiation from various sources was in evidence at all sites. A review of the published standards revealed some of sites’ artificial light levels exceeded recommendations. Light pollution and light trespass were found. Sky quality was fair to poor. The environmental impact of UV radiation in the current study was found to be negligible. However, other measurable impacts produced by nonsustainable lighting sources, including wasted light, light pollution, and light trespass, are of concern to the environment and to housing stakeholders. Keywords: environmental impact, housing, lighting, pollution, sustainability. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110221


1 Introduction 1.1 Background Visible optical radiation used in the housing sector accounts for 17% of the total energy consumed in the United States of America [1]. Adherence to recommended illumination levels can support safety and security and reduce energy consumption when efficient light sources are used, but not all stakeholders have complied. Some sites may utilize non-sustainable and inefficient lighting that wastes resources. Over-illuminated sites create light pollution and “light trespass,” which may upset circadian rhythms and damage health. Some sites may utilize short-lived light sources, which must be replaced often, sending solid waste to landfills. The invisible effects of artificial optical radiation, such as those from ultraviolet (UV) light may have adverse environmental and health impacts. 1.2 Purpose In this study, researchers explored quantitative aspects of artificial (electric) optical radiation at five university student housing sites on two campuses in the mid-western USA as part of a larger federally funded project. Students participated with faculty on research teams in a national competition designed to provide sustainability education. The researchers integrated technical literature and industry recommendations with previous studies and new field measurements, in order to raise awareness and ultimately to encourage informed choices of sustainable lighting at student housing sites.

2 Literature review Optical radiation is complex and influences physiological and behavioral responses. Although optical radiation is often associated with positive outcomes, some negative aspects are also associated. Light pollution is defined as “the scattering of electric light into the atmosphere, usually caused by luminous flux above the horizontal” [2]. Light trespass is defined as “light that strays from its intended purpose, causing visual annoyance” [2]. Artificial light from unshielded and poorly located sources may enter buildings through fenestration, disturb slumber, disrupt circadian rhythms, or otherwise negatively influence health. Light fixtures that do not produce any light above the horizontal are known as “cutoff” fixtures [3]. The Illuminating Engineering Society of North America (IESNA) – an organization that publishes lighting-related research, as well as recommend levels of optical radiation for particular visual tasks – recently emphasized the profound effect of light on human health and the importance of studying dark/light cycles [4]. Although the exact light levels required to impact human circadian rhythms are as yet unknown, several studies involving light and circadian rhythm were found [5–8]. Boyce [9] and Figueiro et al. [10], among others, have called for the continued study of light and circadian rhythms, while WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


251

Figueiro et al. [10] expressed concern about the possible link between night-time exposure to artificial light and increased cancer risk. Although it has long been understood that artificial optical radiation has both health benefits and risks [4], humans have increasingly illuminated their world [11]. Some have identified aesthetic, safety, and security issues as reasons for illumination. However, others perceive artificial lighting as a disruption of the natural dark/light cycle and a waste of energy. Rich and Longcore [12] have written about the negative environmental effects of lighting, including those on various species. In 2009, the American Medical Association (AMA) released a mandate supporting sustainable lighting, waste reduction, and light pollution reduction [13]. Additional researchers have studied non-visible light and its health implications [14–19]. Other lighting studies focused on consumers in retail settings [20–22]. Consumers’ intentions were explored by Kalifatis et al. in a conceptual model of consumers’ intentions to adopt environmentally friendly products [23]. Few scientific studies have been published regarding sustainable lighting and energy consumption implications in the USA [24–26]. However, research precedence was found for the utilization of questionnaires to assess the awareness, knowledge, experience, or intentions of participants regarding sustainable lighting [25]. Also, several studies were found regarding the utilization of energy efficient (higher efficacy and longer lived) lighting sources, Light Emitting Diodes (LEDs) or Compact Fluorescent Lighting (CFLs), outside of the USA [27–31]. Consumers’ attitudes towards LEDs, CFLs and incandescent were examined by Stall-Meadows and Hebert [24] in empirical field research set in museums; this study also utilized student researchers. Other lighting field studies were found [20, 22, 32]. Programs such as EnergySTAR [33] encourage energy-saving lighting, and others have gathered topical market research [34, 35]. CEE cited inadequate consumer education as a barrier to the adoption of CFLs [1]. No previous studies quantifying optical radiation at housing sites or involving students in housing field study data collection were found. The current exploratory study utilized concepts from Sherri Arnstein’s classic theoretical work, “A Ladder of Citizen Participation” [36]. Arnstein encouraged “citizen” stakeholders to facilitate decision making processes made by societies, including those relative to planning and design. She devised an eight-rung ladder model, divided into three groups of rungs, ascending toward more participatory practices. The lowest group she identified as “nonparticipation,” which included “manipulation” and “therapy.” The middle group she labelled “tokenism,” which included “informing,” consultation,” and “placation.” The top group she called “citizen power,” which included “partnership,” “delegated power,” and the top rung, “citizen control.” By involving student stakeholders, the current study endeavours to fill a gap in the existing literature regarding the impacts of nonsustainable artificial optical radiation. According to Attardi, “to create a future of growth and sustainability should be our message … Educating the general public on lighting is … a very good idea” [37]. He proposed a model to explain consumer behavior relative to sustainable lighting. He claimed that awareness of new lighting technologies led to acceptance, which led to preference [37]. In the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

252 Sustainable Development and Planning V current exploratory study, both Arnstein’s and Attardi’s theoretical works were applied by engaging students in an investigation of the effects of optical radiation at university housing sites.

3 Methodology In the current study, three research hypotheses were proposed and tested: H1: Artificial optical radiation at housing sites will exceed recommendations. H2: Non-sustainable light sources will be identified at student housing sites. H3: Artificial optical radiation will be found on housing units’ fenestration. The researchers selected a convenience sample of five student housing sites located at two college campuses in the mid-western USA. During three months of the research period, October 4 to November 1, 2010, sixty-six undergraduate university students, four graduate students, and three faculty members participated in one or more of five site visits. The weather and moon phases for each of the sites during the study period was obtained from official sources. Using IESNA nomenclature, each site was classified as having either “bright surroundings” or “dark surroundings” [38], based on the ambient visual illumination proximal to each housing site. The current researchers also classified the sites’ predominant vertical surfaces’ reflectance values using IESNA terms: “light,” “medium light,” “medium dark,” or “dark” [38]. To determine reflectances, the researchers compared building surfaces to paint chips and corresponding light reflectance values (LRVs) published in paint manufacturers’ fan decks (Imperial Chemical Industries Paints and PPG Pittsburgh Paints). Through visual inspection, the researchers determined which paint chips most closely matched the field sites’ exterior buildings’ surfaces. The corresponding LRVs were noted. The two digits of the LRV corresponded to the percentage of light reflected. A surface with an LRV of 75 reflected 75% of the light falling upon it. For the purposes of this study, “light” surfaces were those with an LRV of 75-99, “medium light” surfaces were 50-74, “medium dark” surfaces were 25-49, and “dark” surfaces were 24 or less. Additionally, the research team utilized spectral distribution identification cards with diffraction gratings to distinguish observed light sources as incandescent, fluorescent, mercury, metal halide, sodium, or neon. At each site, the researchers field-selected ground floor housing units with windows. The researchers examined the sties’ existing lighting fixtures, noted their overall styles, and determined if they were “cutoff” or “non-cutoff” through visual inspection. They used masking tape to prepare temporary measurement grids on horizontal surfaces (on-grade landscape and paving adjacent to housing units) and vertical surfaces (housing units’ exterior walls, and windows), fig 1. This facilitated the measurement of optical radiation at regular intervals. Beginning at 19:30 hours on five separate evenings, researchers examined and measured the artificial optical radiation falling on vertical and horizontal planes. This information was recorded on field data sheets, plans, and sketches. The research team measured visible light in footcandles (fc) and lux (lx) with a GTE Sylvania DS-2000 meter at selected housing units. At these identical WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 1:

253

Measurement grid.

locations, UV radiation was also measured in microwatts/cm² with a Mannix UV-340 meter, which measured UVA and UVB in the 290 nm to 390 nm range. Overall sky quality measurements were taken at each site, determined in magnitudes per square arcsecond, using a Unihedron Sky Quality meter, SQM-L. A higher sky quality reading indicated a lower level of light pollution. For example, a reading of 21 would indicate a very dark sky, while a reading of 16 would indicate a light polluted sky [39]. Researchers also documented sites and field research activities with digital cameras. From November, 2010, through March, 2011, researchers transferred data from field sheets, coded the data, compared field measurements to IESNA and IDA recommendations, and analyzed findings.

4 Results The majority of the sites, Sites A, B, C, and D, experienced clear skies during field study visits. However, one of the sites, Site E, was “mostly cloudy.” The temperatures ranged from a low of 45°F (7°C) at Site E to a high of 73°F (23°C) at Site C. None of the sites experienced any precipitation during the field visits. The moon phases varied from Waning Crescent to Full Moon. Sky quality measurements across student housing sites ranged from a minimum of 10.8 mags/arcsecond2 at Site D to a maximum of 16.3 mags/arcsecond2 at Site E. Therefore, sky quality was categorized as poor to fair, with evidence of light pollution found at all five sites. Exterior lighting fixtures were categorized by the researchers through visual inspection, fig 2. Only Sites C and E utilized cutoff fixtures exclusively, as shown in Table 1. A total of 149 spectral distribution identifications were made by the researchers. The light source most often identified across all sites was fluorescent (n=50, 33.56%). The second most identified was incandescent (n=39, 26.17%). The third most identified was metal halide (n=26, 17.45%). The least identified light sources included: sodium (n=15, 10.07%), mercury (n=12, 7.94%) and neon (n=7, 4.70%), as shown in Tables 2, 3, and 4. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Site

Figure 2:

Non-cutoff fixtures create uplight effect.

Table 1:

Housing site conditions and light fixtures.

Sky Quality Reading (mags/arcsecond2)

Weather Cutoff

Min

Max

Mean

A B C D

15.4 15.6 16.1 10.8

17.5 16.1 18.0 10.8

16.3 15.7 16.4 10.8

No No Yes No

E

16.1

16.3

16.2

Yes

Table 2: Site

Incandescent # % A 15 38.46 B 2 5.13 C 19 48.72 D 2 5.13 E 1 2.56 Total 39 100.00

Fluorescent # % 20 40.00 8 16.00 21 42.00 0 0.00 1 2.00 50 100.00

Cloud Cover Clear Clear Clear Clear Mostly Cloudy

# 59 17 68 2 3 149

% 39.60 11.41 45.64 1.34 2.01 100.00

none none none none

65 (18) 69 (21) 73 (23) 55 (13)

Waning Crescent 14% Waning Crescent 6% Waning Crescent 2% Waning Gibbous 87%

none

45 (7)

Full 100%

Lighting source identification. Mercury Metal Halide # % # % 4 33.33 2 7.69 0 0.00 4 15.38 8 66.67 19 73.08 0 0.00 0 0.00 0 0.00 1 3.85 12 100.00 26 100.00

Table 3: Lighting sources per site (All fixture types). Site A B C D E Total

Moon Phase Precipitation Temp °F(°C)

Sodium # % 12 80.00 2 13.33 1 6.67 0 0.00 0 0.00 15 100.00

# 6 1 0 0 0 7

Neon % 85.71 14.29 0.00 0.00 0.00 100.00

Table 4: Lighting sources per type (All sites). Fixture Type Incandescent Fluorescent Mercury Metal Halide Sodium Neon Total

# 39 50 12

% 26.17 33.56 8.05

26

17.45

15 7 149

10.07 4.70 100.00



255

Artificial optical radiation was in evidence at all sites and ranged from a minimum of 0.0 horizontal fc (0.0 lx) to a maximum of 2.6 horizontal fc (27.99 lx); and a minimum of 0.1 vertical fc (1.1 lx) to a maximum of 3.3 vertical fc (35.52 lx). Some measureable light levels were found on or near windows of housing units, including 1.3 fc (14.0 lx) at Site E. The vast majority of the housing sites were classified as having “dark surroundings” (Sites A, C, D and E). Only Site B was considered to have “bright surroundings.” The sites’ exterior building surfaces’ reflectance values were examined and sites A, B, C, D and E were classified as “dark” with corresponding LRVs of 15, 16, 17, 16 and 19, as shown in Table 5. For “floodlighting buildings and monuments” with dark surroundings and dark surfaces, the IESNA recommends an average of 5 vertical fc (50 lx). For bright surroundings the corresponding value is: 15 fc (150 lx) [38]. All sites’ corresponding means fell well below these recommendations, fig 3. For security, the recommended average vertical illumination on building exteriors is 0.5 to 2 fc (5 to 20 lx) [38]. The vertical mean measurements on the walls and windows of four of the sites fell within this range: A (0.9 fc, 9.7 lx) B (1.3 fc, 13.9 lx), C (1.1 fc, 11.8 lx) and E (1.2 fc, 19.4 lx). Site D’s mean (0.1 fc, 1.1 lx) was below recommendations, fig 4. For safety, IESNA publishes recommendations for “hazards requiring visual detection” which are classified as either “slight” or “high” [38]. Due to the lack of critical obstacles observed at student housing sites, researchers classified all sites as slight. Within that category, IESNA also distinguishes between “low” or “high” normal activity levels. Based on observed activity, the researchers classified all sites as low. For “slight hazards requiring visual detection” at “low levels of normal activity” IESNA recommends 0.5 fc (5.4 lx). The mean horizontal measurements at Sites A (0.8 fc, 8.6 lx), B (2.1 fc, 22.6 lx), C (1.9 fc, 20.5 lx), and E (1.7 fc, 18.6 lx) exceeded these recommendations, while the mean at site D (0.4 fc, 4.3 lux) fell below it, fig 5. UV radiation was also measured at regular intervals at the sites. All sites UV measurements were negligible, 0 microwatts/cm². Table 5: Site A B C D E

Optical radiation levels, surroundings, and reflectances.

Observations fc (lx) Vertical Reflectance Surroundings Horizontal Vertical Min Max Mean Min Max Mean LRV Category 0.5 (5.4) 1.3 (14.0) 0.8 (8.6) 0.7 (7.5) 1.1 (11.8) 0.9 (9.7) Dark 15 Dark 1.9 (20.5) 2.3 (24.8) 2.1 (22.6) 0.9 (9.7) 2.0 (21.5) 1.3 (13.9) Bright 16 Dark 1.8 (19.4) 2.1 (22.6) 1.9 (20.5) 0.1 (1.1) 2.2 (23.7) 1.1 (11.8) Dark 17 Dark 0.0 (0.0) 2.2 (23.7) 0.4 (4.3) 0.1 (1.1) 0.3 (11.8) 0.1 (1.1) Dark 16 Dark 1.0 (10.8) 2.6 (27.99) 1.7 (18.6) 0.1 (1.1) 3.3 (35.52) 1.2 (19.4) Dark 19 Dark

5 Limitations On the spectral distribution identification cards, the fluorescent category did not allow for the differentiation of CFLs from other types of fluorescent lighting. A WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Max

Max

Min

Min

Mean

Mean

Recommended Level

A

B

C

D

E

Figure 3: Security – vertical light levels per site.

Recommended Level

Max Recommended Level

A

B

C

D

E

Min Mean A

B

C

D

E

Figure 4: Safety – Figure 5: Floodlighting – horizontal light vertical light levels per site. levels per site.

category for LEDs was not included on the cards. The study sites were not randomly selected and were limited in number and geographic area.

6 Conclusion and discussion This study effectively engaged students in research efforts to measure the existing artificial optical radiation at student housing sites. It was concluded that this research successfully reached the participatory “citizen power” tier of the theoretical model described by Arnstein’s “ladder of citizen participation”. The three hypotheses were partially or fully supported. Hypothesis 1: Artificial optical radiation levels at housing sites will exceed recommended levels was partially accepted. Sky quality was measured as fair to poor and is anticipated to obscure views of starry nights at the sites, while unshielded fixtures throw wasted light into the sky. Moon phases may have affected overall sky quality readings, especially for Sites D and E, which experienced 87% visible moon face and 100% visible moon face, respectively. The average visible light levels measured at some sites exceeded that recommended by the IESNA for safety. However, at some student housing sites, stakeholders may have created higher light levels in the cause of pedestrian safety. A non-cutoff “acorn” style fixture may have been an attempt to reinforce a nostalgic image. Universities should consider all relevant factors, including threats to circadian rhythms, when developing plans for artificial optical radiation at student housing sites. Hypothesis 2: Non-sustainable light sources will be identified at student housing sites was accepted. Across student housing sites in the current study, non-sustainable incandescent lights were the second most utilized. These nonsustainable sources have low efficacy, are short-lived, and create the need for many bulbs to be relegated to landfills at their end-of-life. Fluorescents were identified as the source most often found at the sites. These have higher efficacy and longer life than incandescents. UV light emissions are a by-product of WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


257

fluorescent light sources. However, the environmental impact of UV light at these sites was found to be negligible. This may be due to the lenses fitted to the fluorescents, which were apparently effective in shielding UV radiation. Vigilant maintenance of the lenses will be important for continued UV mitigation. Hypothesis 3: Artificial optical radiation will be found on housing units’ fenestration was accepted. The existing exterior lighting fixtures produced significant levels of light trespass onto the windows of occupied student rooms in the current study. These may disrupt circadian rhythms or cause other health problems for occupants. These are of concern, especially when one considers the vulnerable residents of these sites, college students. Stakeholders are encouraged to make informed choices regarding the selection, installation, and maintenance of sustainable lighting at student housing sites.

Acknowledgements Although the research described in this article has been funded wholly or in part by the United States Environmental Protection Agency through grant/cooperative agreement SU834732 to Oklahoma State University, it has not been subjected to the Agency’s required peer and policy review and therefore does not necessarily reflect the views of the Agency and no official endorsement should be inferred. The author acknowledges the data collection contributions of the OSU students enrolled in DHM 4573 Environmental Sustainability Issues for Interior Designers, Sylvia Chaney, Dr. Gina Peek, and Abimola Asojo and her students.

References [1] Consortium for Energy Efficiency. Residential Lighting Fact Sheet, http://www.cee1.org/resrc/facts/re-lt-fx.pdf [2] Illuminating Engineering Society of North America (IESNA), Guideline for security lighting for people, property and public spaces, IESNA: New York, p. 37, 2003. [3] International Dark-Sky Association (IDA). Glossary of basic terms, http://www.darksky.org/page/Glossary [4] Illuminating Engineering Society of North America (IESNA). Light and human health: An overview of the impact of optical radiation of visual, circadian, neuroendocrine, and neurobehavioral responses, IESNA: New York, 2008. [5] Burgess, H., Sharkey, K., & Eastman, C., Bright light, dark and melatonin can promote circadian adaptation in night shift workers. Sleep Medicine Reviews, 6(5), pp. 407–420, 2002. [6] Eastman, C., Stewart, K., Mahoney, M., & Liu, L., Dark goggles and bright light improve circadian rhythm adaption to night-shift work. Sleep: Journal of Sleep Research & Sleep Medicine, 17(6), pp. 535-543, 1994. [7] Van Someren, E., Kessler, A., Mirmiran, M., & Swaab, D., Indirect bright light improves circadian rest-activity rhythm disturbance in demented patients. Biological Psychiatry, 41(9), pp. 955-963, 1997. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

258 Sustainable Development and Planning V [8] Yamadera, H., Ito, T., Suzuki, H., Asayama, K., Ito, R., & Endo, S., Effects of bright light on cognitive and sleep-wake (circadian) rhythm disturbances in Alzheimer-type dementia. Psychiatry & Clinical Neurosciences, 54(3), pp. 352-353, 2000. [9] Boyce, P.R., Lemmings, light, and health. Leukos: The Journal of the Illuminating Engineering Society, 2(3), pp. 24-31, 2006. [10] Figueiro, M.G., Rea, M.S., & Bullough, J.D., Does architectural lighting contribute to breast cancer? Journal of Carcinogenesis, 5(20), 2006. [11] GLOBE at Night. Globe at night: Less of our light for more starlight, http://www.globeatnight.org/index.html [12] Rich, C., & Longcore, T., (eds.). Ecological Consequences of Artificial Night Lighting, Island Press: Washington DC, 2005. [13] American Medical Association, Resolution 516(A-09): Advocating and support for light pollution control efforts and glare reduction for both public safety and energy savings, http://www.ama-assn.org/amal/pub/upload /mm/475/refcome.pdf [14] Swerdlow, A.J., English, J.S.C., MacKie, R.M., O’Doherty, C.J., Hunter, J.A.A., Clark, J., & Hole, D.J., Fluorescent lights, ultraviolet lamps, and risk of cutaneous melanoma. British Medical Journal, 297, pp. 647-649, 1988, September 10. [15] Scientific Committee on Emerging and Newly-Identified Health Risks (SCENIHR). Scientific opinion on light sensitivity, http://ec.europa.eu/ health/ph_risk/committees/04_scenihr/docs/scenihr_o_019.pdf [16] Ham, W.T., Ocular hazards of light sources: Review of current knowledge. Journal of Occupational Medicine, 25(2), pp. 101-103, 1983, February. [17] Kitchel, E. Light and low vision, http://cclvi.org/contributions/light_and _low_vision.htm [18] Kitchel, E. The effects of fluorescent light on the ocular health of persons with pre-existing eye pathologies, http://www.naasln.org/documents/ articles/kitchel_fluorescent_light.pdf [19] U.S. Environmental Protection Agency. EPA SunWise: Health Effects of UV Radiation, http://www.epa.gov/sunwise/uvandhealth2.html [20] Freyssinier, J., Frering, D., Taylor, J., Narendran, N., & Rizzio, P., Reducing lighting energy use in retail display windows. Sixth International Conference on Solid State Lighting Proceedings of SPIE 6337, 66371L, 2006. [21] Summers, T., Hebert, P., Shedding some light on store atmospherics: Influence of illumination on consumer behavior. Journal of Business Research, 54(2), pp. 145-150, 2001. [22] Areni, C., & Kim, D., The influence of in-store lighting on consumers’ examination of merchandise in a wine store. International Journal of Research Marketing, 11(2), pp. 117-125, 1994. [23] Kalafatis, S., Pollard, M., East, R., & Tsogas, M., Green marketing and Ajzens’ theory of planned behaviour: A cross-market examination. The Journal of Consumer Marketing, 16(5), pp. 441-460, 1999.



259

[24] Stall-Meadows, C., & Hebert, P.R., The sustainable consumer: An in-situ study of residential lighting alternatives as influenced by in-field education. International Journal of Consumer Studies, 35, pp. 164-170, 2011. [25] Rasmussen, T., Goepfrich, V., & Horkitz, K. Drivers of CFL purchase behavior and satisfaction: What makes a consumer buy and keep buying? http://www.cee1.org/eval/db_pdf/758.pdf [26] Chilcote, A., Guin, A., & Kirby, S., Residential energy conservation: Program design for today's consumers. Proceedings of the 2007 Annual Conference of the Housing Education and Research Association. [27] Bhusal, P., Zahnd, A., Eloholma, M., & Halonen, L., Replacing fuel based lighting with light emitting diodes in developing countries: Energy and lighting in rural Nepali homes. Leukos, 3(4), pp. 277-291, 2007, April. [28] Kumar, A., Jain, S., & Bansal, N., Disseminating energy-efficient technologies: A case study of compact fluorescent lamps (CFLs) in India. Energy Policy, 31(3), pp.259-272, 2003, February. [29] Kjaerulf, F., Transforming the CFL market by consumer campaigns. Right Light, 2, pp. 145–147, 1997. [30] Peon, R., Doluweera, G., Platonova, I., Irvine-Halliday, D., & IrvineHalliday, G., Solid state lighting for the developing world: The only solution. Optics and Photonics 2005, Proceedings of SPIE, 5941, pp. 109123, 2005. [31] Reynolds, T., DeSisto, T., Murray, B., & Kolodinsky, J., Promoting energy efficiency in small island states: Overcoming barriers to the adoption of compact fluorescent lighting in Saint Lucia. International Journal of Consumer Studies, 31(5), pp. 460-467, 2007. [32] Hebert, P., Approach-avoidance behavior of consumers as influenced by existing and supplemental merchandise display lighting [Unpublished Doctoral Dissertation]. Louisiana State University: Baton Rouge, LA, 1997. [33] Atiles, J., Wysocki, J. & Tremblay, K., Energy Star: Introducing a new cooperative extension partnership. Journal of the Housing Education and Research Association, 30(1), pp. 59-68, 2003. [34] Consortium for Energy Efficiency (CEE). CEE’s residential lighting initiative, http://www.ceel.org/resid/rs-lt/rs-lt_init_descr.pdf [35] Consortium for Energy Efficiency (CEE). CEE’s residential lighting initiative, http://www.ceel.org/resid/rs-lt-main.php3 [36] Arnstein, S., A ladder of citizen participation. Journal of the American Institute of Planning, 35(4), pp. 216-224, 1969. [37] Attardi, W., Educating the general public on lighting a good idea? Paper disseminated at the Illuminating Engineering Society of North America Centennial Conference, New York, NY, p. 3, 2006. [38] Rea, M., (ed), The IESNA lighting handbook (9th Edition). Illuminating Engineering Society of North America: New York, 2000. [39] Walker, C., Bueter, C, Hurst, A., White, V. & Patten, K. GLOBE at Night: using Sky Quality Meters to measure sky brightness, http://www.noao.edu/outreach/press/pr08/files/GaN_SQM.pdf WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)



261

An overview of safety effects on pedestrians at modern roundabouts A. Granà Department of Civil, Environmental and Aerospace Engineering, Palermo University, Italy

Abstract Pedestrians are important users of the transportation system, but most guidelines have given them little importance in the geometric design of roads and intersections. In these cases it can be difficult for vehicles and pedestrians to share the road safely, particularly at intersections where vehicle-pedestrian conflicts (and the risk of vehicle–pedestrian crashes) can be a frequently recurring situation even with low pedestrian volume. In a sustainable safety vision road system planning and design must include engineering choices that help to improve the sharing of road space between vehicles and pedestrians, as well as for other vulnerable users. It is known that modern roundabouts are safer than other intersection forms both for effects on speeds and for effects on conflicts between road users; several road authorities, indeed, have foreseen to convert specific types of intersections into roundabouts. Summarizing international experience with roundabouts and pedestrians, the paper provides a review of the existing literature dealing with pedestrian safety and accessibility issues at roundabouts. First, safety aspects at modern roundabouts are presented, followed by a brief explanation of the effects of roundabouts on pedestrian safety documented in the scientific literature. At last, this research provides an overview of the current state of practice and implications in the roundabout design to maximize their potential with regard to safety pedestrians. Keywords: road safety, pedestrian safety, roundabout.

1 Introduction Modern roundabouts are circular intersection in which vehicles circulate anticlockwise the circulatory roadway installed around a central island and have WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110231

262 Sustainable Development and Planning V the right-of-way. Entering vehicles, in turn, yield at the edge of the circulating roadway until a gap in the circulating traffic flow becomes available. At approaches entering and exiting lanes are separated by (raised or painted) splitter islands. The use of raised splitter islands, as well as roadway alignment, deflect vehicles into a proper entry path avoiding entry tangential to the circular roadway and forcing drivers to reduce speeds as they proceed into and through the intersection. This ensures consistency between speeds of vehicles circulating and vehicles entering the roundabouts, as well as lower speed differentials with other road users. Moreover, the use of splitter islands also provide a refuge for pedestrians which allows them to cross the street in two stages [1]. Figure 1 shows geometric design elements of a modern roundabout.

Figure 1:

Geometric design elements for roundabouts [roundabouts: An informational guide, publication number: FHWA-RD-00-068 /2000].

Roundabouts can be separated into basic categories by size of the inscribed circle diameter (Di): large roundabouts, conventional roundabouts, miniroundabouts. Some fundamental design elements for each roundabout category, as referred in [2], are summarized in Table 1. A modern roundabout, properly designed and installed at appropriate locations, has the potential to generate several advantages over other types of atgrade intersections in safety, capacity, environmental, economic and esthetic considerations; nevertheless, there are conditions under which roundabouts are not suitable either for new installations or for replacing an existing intersection with a roundabout [3, 4]. Many studies have proven that one of the main benefits of roundabout installations is the improvement in intersection safety performance than other intersection forms. Roundabouts slow all vehicles allowing drivers more time to react to potential conflicts (also helping to reduce crash severity) and provide refuges for pedestrians to cross a traffic stream at a time. The physical guidance WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


263

and the separation of the various movements by the splitter islands and the central island reduce the number of conflict points. Roundabouts create 75 per cent fewer opportunities for vehicle to vehicle conflicts, having only 8 vehicle to vehicle conflict points and 8 vehicle to pedestrian conflict points whereas a typical four-way intersection has a total of 32 vehicle to vehicle conflict points and 24 vehicle to pedestrian conflict points. Also none of these conflict points at roundabouts are at right angles; at traditional intersections, right angle crashes, indeed, are the most severe crashes that can produce an injury or fatality. Table 1: Roundabout category Di [m] Large: Di > 50 Conventional 40 ≤ Di ≤ 50 Compact 25 ≤ Di < 40 Mini 14 ≤ Di < 25

Design elements for roundabouts [2]. Circular roadway

Entry arms two-lane Exit [m] entry [m]

one-lane entry [m]

two-lane entry [m]

one-lane entry [m]

6

9

3,5

6

4,5

6

9

3,5

6

4,5

7

8,5-9

3,5

6

4,5

7-8

8,5-9

3,5

6

4

Central island treatments can be: i) partially traversable to help trucks at mini-roundabouts with an inscribed diameter between 18 m and 25 m; ii) fully traversable at mini-roundabouts with an outer diameter between 14 - 18 m. Compact roundabouts are characterized by a central island with non-surmountable kerbs.

Roundabouts have been found to lower number and severity of crashes as compared to traditional forms of intersection design and traffic control due to the reduction of vehicular conflict points (as well as lower speeds) and of overall crash frequencies for a wide range of urban, suburban, and rural settings [5–13]. Experience has shown that entry geometry plays an important role in determining most probable crash types: an entry tangential to the circulating vehicle path can be the cause of entry-circulating collisions because these drivers will be less inclined to yield; conversely, an entry almost perpendicular to the circulating vehicle path can generate rear-end and loss of control collisions because abrupt braking may be necessary. An intermediate situation for entry geometry can be most appropriate depending on antagonist traffic volumes and site characteristics. It must be said that crash reductions are most pronounced for motor vehicle, less pronounced for pedestrians (30–40 per cent reduction), bicyclists (10 per cent) and motorcyclists depending on the study and design treatments [6, 10, 14, 15]; moreover, the safety benefit is greater for small- and medium-capacity roundabouts than for large or multilane roundabouts [5, 6, 16]. Evaluation studies based on crash data, traffic data and geometric data also showed variation in crash rates at roundabouts, or particular groups of roundabouts, mainly driven by the traffic exposure [17]. The results of statistical crash data analysis in different countries where the roundabouts are in operation WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

264 Sustainable Development and Planning V by time, particularized for individual crash categories, are reported in several studies to which it refers. Only for illustrative purposes, Figure 2 shows a comparison of disaggregated crash data in the U.S.A. and UK databases [5, 16].

Figure 2:

Disaggregated crash data in UK and USA [5, 16].

A better understanding of effects on the safety by the various geometric design elements and traffic exposure can assist the designer in optimizing the safety of all users. According to [5, 8, 16–20], Table 2 summarizes measures with a significant relationship with crash frequency at roundabouts for some crash categories: single vehicle (sv); crash between an entering and a circulating Table 2:

Measures affecting road safety at roundabouts.

Measure

sv

e/c

Crash category re

AADT Pedestrian volumes Number of approaching lanes Number of circulating lanes Radius of vehicle path entry deflection Percentage of motorcycles Angle to next approach Sight distance Weaving length between splitter islands Distance to first sight of roundabout Length of vehicle path 85th percentile speeds Reduction in 85th percentile speed Posted speed limit * *

p

exit/c

** **

**

an increase in this measure increases crash frequency an increase in this measure decreases crash frequency the measure had a significant relationship with crash frequency but the relationship was not specified.



vehicle (e/c); rear-end crash on an exiting and a circulating particular, the entry deflection probability of a crash and

Figure 3:

265

the approach (re); pedestrian (p); crash between vehicle at multilane roundabouts (exit/c). In forces all vehicles to slow down, reducing the the severity of a crash (see Figure 3).

Factors affecting safety at roundabouts.

Several efforts have been taken to evaluate crash reductions at roundabouts compared to other intersection types. A review of international experience and evaluation studies on safety performances at existing roundabouts is shown in Table 3. Understanding the relationships between roundabout design features and crash frequency through the use of safety models can facilitate design of roundabouts by quantifying the safety implications of design decisions and by determining the effectiveness of roundabouts as a treatment for intersecting roadways. A comprehensive review of safety models is included in NCHRP Report 572 on roundabouts in the United States (on line from 2007). The same report presents an overview of safety prediction models developed for intersection-level and approach-level analyses. The intersection level models were developed for total and injury collisions; the approach-level models were developed for all severities combined for several collision types: entering/circulating, exiting/circulating, and approaching. These models are suitable for eventual inclusion in the second edition of Highway Safety Manual crash prediction procedures [13]. Starting from these considerations on safety issues at roundabouts, the paper summarizes the international experiences with roundabouts and pedestrians trying to focus on effects of roundabouts on pedestrian safety. At last, this research provides an overview of the current state of practice and implications documented in the scientific literature in the roundabout design to maximize their potential with regard to safety for pedestrians.


266 Sustainable Development and Planning V Table 3: Author and country

Austroads, 1993, Australia [21]

Giaever, 1992, Norway [22]

Schoon and Van Minnen, 1993, the Netherlands [23]

Brilon W. et al., 1993, Germany [24]

Guichet, 1997, France [25]

Persaud B. et al., 2001, USA. [10]

Elvik, R., 2003 [24]

Summary of safety studies at roundabouts.

Sample size

Type of study

Before-and-after 73

59

Comparison with 124 signalized intersections

181

Before-and-after without control (mostly singlelane roundabouts)

25

12.000

23

-

Before-and-after (with data on traffic volume before and after) Comparisons with rural intersections traditionally controlled and roundabouts with similar traffic flows before-after study (conversion of 23 intersections from stop sign and traffic signal control to roundabouts) meta-analysis of studies (28 studies reported outside the United States to obtain estimates of effect on road safety of converting intersections to roundabouts)

Findings Crash reduction after roundabout installed*:  74% in the casualty crash rate  32% in property damage only  68% in pedestrian casualty crashes per year. *control before roundabout: give way to the right - stop - give way  3-arm intersections: 0,03 crash rate at roundabouts vs 0,05 crash rate at signalized intersections;  4-arm intersections: 0,05 crash rate at roundabouts vs 0,1 crash rate at signalized intersections;  1 pedestrian crash at roundabout vs 20% of injury crashes at signalized intersections;  36 % of two-wheeled vehicles at roundabouts vs 23 % at signalized intersections crash reduction at roundabouts:  73% in all pedestrian injury crashes  89 % for pedestrian fatality;  63% for moped injuries;  30% for cycle injuries.  a 75% decrease in average vehicle pedestrian crashes for 25 intersections converted from stop signs or traffic signals to roundabouts.  less than 25% of serious injury crashes or fatalities at roundabouts;  38 fatal or serious type injuries for every 100 crashes at roundabouts vs 55 injury or fatal crashes for every 100 crashes at controlled intersections;  crash frequencies 4 times higher at signalized intersections than roundabouts.  90% reduction in fatal crashes;  76% reduction in injury crashes;  30-40% reduction in pedestrian crashes;  10% in bicycle crashes.

   

a 30% to 50% reduction in the number of injury accidents; a 50% to 70% reduction in the number of fatal accidents; the roundabout effect on injury accidents is greater in 4-leg intersections than in 3leg intersections; the roundabout effect is greater in intersections previously controlled by yield signs than in intersections previously controlled by traffic signals.



267

2 Effects of roundabouts on pedestrian safety Several surveys and studies undertaken to explain the reduction of vehicular crashes at roundabouts highlighted that safety benefits at roundabouts are mainly due to slow speeds and to fewer potential vehicle-pedestrian conflict points compared to other intersection forms. Pedestrian injury statistics supported by documentary evidence indicate a favourable trend regarding pedestrian safety, but no statistically significant conclusions can be drawn [10]. On the contrary, as already anticipated in the previous paragraph, European safety studies provide significant results regarding pedestrian safety. In Sweden a 2000 study of vehicle-pedestrian crash data from 72 roundabouts (as compared with expected values for comparable intersections with signals, controlling for pedestrian volumes and traffic flow) showed that single-lane roundabouts are very safe for pedestrian compared to conventional or signal controlled intersections (about a 78% reduction in injuries) and that multi-lane roundabouts are about as safe as other intersections [26]. A synthesis of roundabout advantages and disadvantages for pedestrians are shown in Table 4. Table 4:

Roundabout advantages and disadvantages for pedestrians [27, 28]. Advantages

Disadvantages

 Traffic speeds are generally lower than other intersections, meaning less chance of injury in a collision.  Drivers are more likely to see pedestrians in the crosswalk.  Crossing distances are usually shorter due to splitter islands, allowing one to focus on one direction of traffic at a time.  Perceived risks are higher than real risks due to the absence of an exchange of the right-of-way priority by the traffic signals.

 Entering traffic does not necessarily stop causing hesitation by pedestrians in the crosswalk.  Anxiety in pedestrians who are not confident judging gaps in traffic  Crossing locations and set backs from the yield line often raise travel distances for pedestrians.  The accommodation of visually impaired pedestrians is a challenge where roundabouts are not yet widely used.

It should be added that roundabouts can be perceived as unsafe by pedestrians [29], but, at roundabouts crash risks from left-turning vehicles crossing the intersection during the same phase as the pedestrian crossing fail [30]; moreover, less wait time accomplishes pedestrian crossing movement than at conventional intersections with many protected phases [27]. The reduced traffic speed, the simplification of conflicts, the minimization of the conflict area between pedestrians and vehicles are three reasons generally cited to maximize safety for pedestrians at roundabouts [29]. Certain design features, as well as different engineering modifications to the built environment, were found to be important to reduce risks of pedestrian injuries and fatalities [31]. Although it is undeniable the effect of the geometric design of the intersection on safety performance, as well as on operations, there is no consensus internationally about the specific effect of individual geometric elements on safety and operational performances; nevertheless, it is generally shared the need to combine certain basic principles within the roundabout design [32]. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

268 Sustainable Development and Planning V Starting on the above considerations on safety issues related to pedestrians at roundabouts, in the next paragraph considerations on practices and implications in the roundabout design to maximize their potential with regard to safety pedestrians are provided.

3 Geometric design implications to maximize pedestrians safety at roundabouts Traffic engineering design can apply now a wide array of measures developed to assist pedestrians and to minimize the risk and severity of vehicle-pedestrian crashes. Researches and studies examined under this literature review on the specific topic suggest that sharing of road space between pedestrians and vehicles can be difficult when road geometric design and built environment assign low priority to pedestrians [33]. A pedestrian casualty study in Australia also reports several design recommendations for pedestrian safety [34], such as ensuring convenient vehicle speed reduction before pedestrian crossings, positioning pedestrian crossings at a distance from the stop line equal to one-totwo car lengths so drivers can encounter separately pedestrian and vehicle conflicts, assuring visibility for pedestrians to see vehicles from all crossing points and for drivers to see all crossing points from each approach, using physical measures to discourage improper pedestrian movements and direct pedestrian to crosswalks. According to Retting et al. [33], traffic engineering countermeasures can be designed both to manage vehicle speeds and to separate pedestrians and vehicles by time and space, as well as to increase the visibility of pedestrians. A summary of current design features designed to promote pedestrian safety at modern roundabouts are reported in Table 5. Although current design practices for pedestrians, treatments and methodology for selecting treatments at roundabouts generally appear to be appropriate, the use of measures specifically designed to separate pedestrians and vehicles by time is often site dependent [33]. Recent and ongoing researches suggest that these measures should be evaluated principally in terms of effects on crashes. Nevertheless, many studies on safety effectiveness of road engineering measures result limited by a methodological point of view due to failure to account for regression to the mean resulting in overestimation of the effects of an intervention when high-crash locations are selected to be treated [33]. Some observational road safety studies consider pedestrian–motor vehicle conflicts to value roadway countermeasures, because conflict studies can also provide information about crash causes. Traffic conflicts on the basis of empirical evidence was examined and validated by Hauer and Garder [38]. In any case, given the very large number of roads and the meagre resources available for road engineering countermeasures, these with the greatest potential for crash reduction should have priority. Further research is also needed to develop appropriate treatments to accommodate pedestrians with vision disabilities at modern roundabouts [1].



Table 5: Measure

Managing speed

Separating pedestrians and vehicle by time Separating pedestrians and vehicle by space

Increasing pedestrian visibility

269

Current design practices for pedestrians at roundabouts. Design element entry and exit  Another purpose is to maximize visibility of the central island:  entry curve radii is recommended to be 10-15 m [25];  exit curve radii is recommended to be 10-14 m [20];  high-speed tangential exit are avoided. installation of traffic signal Pedestrian activated or regular signals with exclusive pedestrian phases can be installed at least 20 m away from the circle and signal phasing has to be set so that vehicles do not back into the roundabout. splitter island  it acts as a pedestrian refuge island;  it is recommended to be 1.6 to 2 5 m wide [35] or 3.0 m [36]. pedestrian crossings  provision of pedestrian high-visibility or zebra-striped crossings are recommended when pedestrian flows reach a certain minimum or depending on the vehicle/pedestrian conflict [35, 36].  location of pedestrian crossing generally recommended is about 5 to 6 m back from the stop line, because pedestrian crossings close to the circle may reduce roundabout capacity (potentially longer waiting times at the entrance) and further away may increase walking distances exposing pedestrians to higher speeds [29];  when entries are flared pedestrian crossing before the flaring [37].

4 Conclusions In a sustainable safety vision road system planning and design must include engineering choices that help to improve the sharing of road space between vehicles and pedestrians, as well as other vulnerable users. In this view modern roundabouts represent a very safe solution compared with other types of intersections both for effects on speeds and for effects on conflicts between road users. Starting from a brief examination of the international experience on safety at modern roundabouts, as documented in the scientific literature, the paper focuses on the effects of roundabouts on pedestrian safety. This research also provides an overview of the current state of practice and implications in the roundabout design to maximize the potential with regard to safety pedestrians, highlighting that in the case of many traffic engineering measures more definitive research is needed to establish their effects on pedestrian–vehicle crash risks.

References [1] Wadhwa, Lal C., Roundabouts and pedestrians with visual disabilities: How Can We Make Them Safer? 82nd TRB Annual Meeting, 12-16 January 2003, Washington DC, USA. [2] Infrastructure and Transport Ministry. Geometric and functional standards for the construction of intersections. Decree April 19, 2006. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

270 Sustainable Development and Planning V [3] Isaacs., B. and Barrett J.P. Use Of Roundabouts in an Urban Setting. 2nd Urban Street Symposium (Anaheim, California, USA). July 28-30, 2003. [4] Lenters, M. Roundabout planning and design for efficiency and safety case study. 2003 Annual Conference of the Transportation Association of Canada, St. John’s, Newfoundland & Labrador, September 2003, pp. 1-21. [5] Maycock, G. and Hall, R.D. Accidents at 4-Arm Roundabouts, Laboratory Report LR1120, Transportation and Research Laboratory, Crawthorne, Berkshire, U.K. 1984. [6] Alphand, F., Noelle U., and Guichet B., Roundabouts and Road Safety. State of the Art in France, Intersections without Traffic Signals II, SpringerVerlag, Werner Brilon (Ed.). pp. 107-125, 1991. [7] Safety of Roundabouts in Urban and Suburban Areas. Centre d’Etude des Transports Urbains, Paris, 1992. [8] Arndt, O.K., Relationship between roundabout geometry and accident rates. Final Report. Infrastructure design. Transport Technology Division. Department of Main Roads, Brisbane, Queensland, Australia, 1998. [9] Flannery, A., and Datta, T. K., Modern Roundabouts and Traffic Crash Experience in the United States. Transportation Research Record, vol. 1553, pp. 103-109,1996. [10] Persaud, B.N., Retting, R.A., Garder, P.E., and Lord D., Safety effect of roundabout conversions in the United States: empirical Bayes observational before-after study. Transportation Research Record, vol. 1751, pp. 1-8, 2001. [11] De Brabander B, Nuyts E, and Vereeck L., Road safety effects of roundabouts in Flanders. Journal of Safety Research, vol. 36, issue 3, pp.289-96, 2005. [12] Isebrands H., Crash analysis of roundabouts and high-speed rural intersections. Transportation Research Record, vol. 2096, pp. 1-7, 2009. [13] Roundabouts: An Informational Guide Second Edition. NCHRP Report 672, 2010 National Academy of Sciences, Transportation Research Board Washington, D.C. 2010, USA. [14] Schoon, C. C. and van J. Minnen, Accidents on Roundabouts: II. Second Study into the Road Hazard Presented by Roundabouts, Particularly with Regard to Cyclists and Moped Riders. R-93-16. SWOV Institute for Road Safety Research in the Netherlands, 1993. [15] Brown, M., TRL State of the Art Review: The Design of Roundabouts. London, HMSO, 1995. [16] Rodegerdts, L., Blogg, M., Wemple, E., Myers, E., Kyte, M., Dixon, M., List, G., Flannery, A., Troutbeck, R., Brilon, W., Wu, N., Persaud, B., Lyon, C., Harkey, D. and Carter. D., NCHRP Report 572: Roundabouts in the United States. Transportation Research Board of the National Academies, Washington, D.C., USA, 2007. [17] Russell, E. R., and Mandavilli, S., Can modern roundabouts safely accommodate all users? ITE 2004 Annual Meeting, Lake Buena Vista, Florida, August 2004.



271

[18] Daniels S, Brijs T, Nuyts E, Wets G., Explaining variation in safety performance of roundabouts. Accident Analysis and Prevention, vol. 42, issue 2, pp. 393-402, 2010. [19] Brüde, U., and J. Larsson, What Roundabout Design Provides the Highest Possible Safety? Nordic Road and Transport Research, No. 2. Swedish National Road and Transport Research Institute, 2000. [20] Kleine Kreisverkehre: Empfehlungen zum Einsatz und zur Gestaltung, Bausteine No. 16. Ministerium fur Stadtentwicklung und Verkehr des Landes Nordrhein-Westfalen, 1993. [21] Roundabouts-Guide to Traffic Engineering and Practice, Austroads, Sydney, Australia, 1993. [22] Giaever, T., Application, Design and Safety of Roundabout in Norway, The Foundation for Scientific and Industrial Research at the Norwegian Institute of Technology, Norway. Actes du Seminaire Giratoires 92, Nantes, France, October, 1992. [23] Schoon, C. C. and van Minnen, J., The Safety of Roundabouts in the Netherlands, SWOV Institute for Road Safety Research, Summary Article on Report R-93-16, Leidschendam, The Netherlands, 1993. [24] Brilon, W. B. Stuwe and O. Drews vas (1993 Report in German) summarized by R. Elvik, Effects on Road Safety of Converting Intersections to Roundabouts, A Review of Evidence From Non-U.S. Studies, Transportation Research Record, Vol. 1847, Transportation Research Board, 2003, pp. 1-10. [25] Guichet, B., Roundabouts in France: Development, Safety, Design and Capacity, Proceedings of Third International Symposium on Intersections Without Traffic Signals, Portland, Oregon, July 1997, pp. 100-105. [26] Swedish National Road and Transport Research Institute (VTI), What Roundabout Design Provides the Highest Possible Safety, Nordic Road and Transport Research, vol. 2, pp. 17-21, 2000. [27] Furtado G., Accomodating vulnerable road users in roundabout design. 2004 Annual conference of the transportation of Canada, Quebec City, Quebec, Canada. [28] Weber P., Roundabout safety experience. Paper prepared for presentation at the Road Safety / Geometric Design Session of the 2007 Annual Conference of the Transportation Association of Canada, Saskatoon, Saskatchewan. (Chapter 5 of the Synthesis of North American Roundabout Practice). [29] Jacquemart, G. et al., Modern Roundabout Practice in the United States. NCHRP Synthesis 264. Transportation Research Board National academy press, Washington, D.C. USA, 1998. [30] Habib, P.A., Pedestrian Safety: The Hazards of Left-Turning Vehicles. ITE Journal, Institute of Transportation Engineers, April 1980, pp. 33-37. [31] Conception des Carrefours a sens Giratoire Implantes en Milieu Urbain, Centre d’Etudes des Transports Urbains (CETUR), Ministere de l’Equipement, du Logement, de l’Amenagement du Territoire et des Transports, 1988. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

272 Sustainable Development and Planning V [32] Rodegerdts, L. A., State-of-the-Art in U.S. Roundabout Practice. 2005 Annual Meeting of Institute of Transportation Engineering, Melbourne, Australia, 2005. [33] Retting, R. A., Ferguson, S. A. and McCartt, A. T., A review of evidencebased traffic engineering measures designed to reduce pedestrian–motor vehicle crashes. American Journal of Public Health. Vol. 93, n.9, pp. 1456-1463, 2003. [34] Tumber, C., Review of Pedestrian Safety at Roundabouts, Vic Roads, Road Safety Department, Melbourne, AU, 1997. [35] Brilon, W., Sicherheit von Kreisverkehrsplatzen, unpublished paper (1996). [36] Ourston & Doctors, Roundabout Design Guidelines, California, 1995, pp. 50. [37] Geometric Design of Roundabouts, Design Manual for Roads and Bridges, Vol. 6, Section 2, Part 3, TD 16/93, United Kingdom, 1993. [38] Hauer E. and Garder P., Research into the validity of the traffic conflicts technique. Accid Anal Prev. 1986; vol. 18, pp. 471–481.



273

Re-design for change: environmental and financial assessment of a dynamic renovation approach for residential buildings A. Paduart1, W. Debacker2, N. De Temmerman3, W. P. De Wilde1 & H. Hendrickx3 1

Department of Mechanics of Materials and Construction, Vrije Universiteit Brussel, Belgium ²VITO, Flemish Institute for Technological Research, Mol, Belgium ³Department of Architectural Engineering, Vrije Universiteit Brussel, Belgium

Abstract Existing residential buildings and their daily use are unmistakably influencing the rational consumption of our worldwide natural resources. This observation has led to global renovation regulations, mainly focusing on the reduction of energy consumption caused by occupation. However, equally important are the future environmental and financial impacts of current renovation interventions. Indeed, when minimising the heating energy demand, the main future energy savings will shift towards the life cycle of building materials. Since building conditions change over time, buildings have to be re-designed today to enable future transformation without taking part in further environmental degradation. Therefore, renovation measures cannot introduce the same ‘static’ building materialisation as the initial building design, which did not anticipate on future unpredictable need for upgrade and change which we are facing today. This paper evaluates the environmental and financial benefits and drawbacks of redesign introducing reuse strategies, considering not only initial but also future life cycle impacts. An assessment was made for a typical building layer, comparing conventional renovation with design for disassembly (DfD) re-design. Keywords: renovation, environmental and financial assessment, 4D design, reuse.



1 Introduction 1.1 The burden of existing residential buildings The world of today is facing the environmental impacts of our short building vision: lack of integrated life cycle design in conventional building design has contributed to the current environmental degradation. A large amount of the current European building stock was designed and constructed in a time where fossil fuels were cheap and abundant and global warming was unheard of [1, 2]. As a result, fossil fuels have been used very inefficiently in constructions predating the oil-crisis, explaining their excessive energy and material consumption in the present-day context. Renovation practice of today therefore focuses on reduction of energy use during occupation of residential buildings. The main objective is to create lower energy consuming buildings, by enhancing the insulation level and introducing the most energy efficient heating, cooling and ventilation systems available today. Despite the fact that these interventions have high significance in the current context, equal importance should be given to the long-term effects of renovation interventions. When the energy demand of buildings during the operation phase is minimised, any future savings on resource demand will shift towards the remaining life cycle phases of the building. Adaptation, maintenance and end-of-life processes during the life cycle of buildings, relating to inherent building materials and their design, then become of major importance [3, 4]. Therefore, the scope of the current renovation practice needs to be enlarged integrating a long term-vision that minimises the use of natural resources and the building waste stream not only today, but also in the future. 1.2 Alternative re-design for change In this framework it is crucial to assess both initial and future environmental and financial life cycle impacts, when comparing current renovation to alternative renovation initially taking the remaining life cycle of buildings into account. A dynamic re-design approach of existing residential buildings is selected as alternative to current renovation practice. To reduce the future environmental and financial impact of buildings, the dynamic re-design approach supports future need for change, upgrade and reversibility by using 4-Dimensional design principles [5]. Four-dimensional design strategies reduce the life cycle impact of buildings by incorporating reuse strategies applied to three design levels – building material, building component and building level [6]. The aim of these reuse strategies is to reduce as well material and energy demand during use, as to minimise the building waste fractions at the end of life of buildings. Therefore, Design for Deconstruction and Design for Disassembly (DfD) are introduced for re-design of buildings at building component and material level.



275

1.3 Need for an integrated evaluation methodology Building solutions designed according to dynamic re-design have another life cycle behavior in financial and environmental terms than conventional design. Deconstruction and disassembly strategies clearly imply atypical assembly techniques and material choices compared with conventional design. The initial financial cost and environmental impact for such building solutions are higher, but life cycle assessment can quantify the environmental and financial benefits and drawbacks of reuse potential and deconstruction advantages compared to demolition, over an entire building life span. The evaluation methodology in this paper departs from an integrated life cycle approach, assessing the environmental impact of building renovation and its financial consequences, from raw material extraction until waste treatment at the end of life of the building. The following paragraphs describe the different parts of the integrated assessment approach, i.e. environmental impact assessment using Life Cycle Assessment (LCA) and financial cost evaluation using Life Cycle Costing (LCC). Hereafter, the assessment of a refurbished building layer is illustrated with a variable need for alteration over the building life cycle, i.e. the internal wall partitioning, using the integrated assessment approach.

2 An integrated environmental and financial evaluation 2.1 Building life cycle phases The aim is to evaluate the environmental impacts and the financial cost over the whole life cycle of the dwelling, meaning that not only the initial situation is evaluated, but also the maintenance phase and at the end- of- life phase of the building and its components. The environmental assessment is expressed in impacts, the financial assessment expressed in costs. The phases summarised in Figure 1 are considered in the financial and environmental life cycle assessment: - Production phase: production of the building materials, including transport; - Construction phase: transport to the building site, assembly of the (re)construction;

Figure 1:

Representation of life cycle inputs/outputs of buildings.



Use phase: maintenance, repair and replacement of building products, including transport; End of life phase: removal (separation, reuse, deconstruction, demolition) and end-of-life treatment of building materials (recycling, incineration, and landfill), including transport.

2.2 Integrated life cycle assessment To assess (re)designed buildings according to deconstruction and disassembly, alternative reuse and deconstruction loops are inserted in the environmental and financial life cycle evaluation. The life cycle “Financial costs (F)” and “Environmental impacts (E)”, occurring during the initial phase, use phase and EoL phase of buildings, are generalised as “impacts” (I) in the next expression: ∑

∑ca I in ∑

∑ I use

∑

∑ I eol

(1)

with: LCI: i, j, …, t : a, b, c : I in: I use: Ieol:

life cycle impact year (from i=0 until i=t) building material, building component and building level initial impact (year=0) summed impacts during the use phase summed impacts at the end-of-life phase (year=t)

As represented in Figure 1, the periodic interventions during the use phase can be classified under material, component and building level interventions, so Expression (1) becomes: I 0,PROD

I 0,ASS

I 0,TR constr

I 0,DISP

I 0,REMOV

I MT

I REPL

I TR

I 0,TR eol

with: I 0,PROD: I MT: I 0,DISP: I 0,ASS: I REPL: I 0,REMOV: I 0,TR site : I TR: I 0,TR eol:

material production total maintenance final disposal of materials (recycling, landfill, incineration) assembly labour total replacement labour removal labour (demolition or deconstruction costs) transport from production site to construction site total transport during the building use phase transport from demolition/deconstruction site to sorting/disposal site


(2)


277

For all replacements of building elements, due to both technical failure of components as well as alterations of the entire building layer, the second term in Equation (2) becomes:

MT

REPL

TR

I0,DISP

I0,PROD

I0,REMOV

I0,ASS

(3)

I0,TR eol

I0,TR constr

In this equation, I 0,REMOV is equal to: - I 0,DEMOL, if the component is non-Dfd designed; - I 0,DECONSTR , if the component is Dfd designed. For non-DfD designed building components, the replacement of a building element will affect the adjacent building elements, and therefore, equation (3) is also being applied for the adjacent elements for individual building element replacement. In the case of DfD solutions, surrounding building elements can be disassembled to replace the failing building element, and can hereafter be reassembled in place. Therefore, for these building elements, the second term in Equation (2) becomes: MT

REPL

TR

I0,DISASS

I0,RE-ASS

(4)

with: F 0,DISASS: F 0,RE-ASS: F 0, DEMOL: F 0,DECONSTR:

disassembly of the building materials re-assembly of the building materials demolition of the building components deconstruction of the building components

These expressions can be used for both financial and environmental assessment. Specific implementation of both is discussed in the following paragraph. 2.3 Financial cost evaluation 2.3.1 Discounting Because currency is subject to inflation and has the ability to earn interest, it is worth more today than currency tomorrow. Discounting determines how much less currency is worth in the future, and is essential to make the financial evaluation over a total life cycle.


278 Sustainable Development and Planning V The discount rate ‘d’ defined as ‘the factor reflecting the time value of money that is used to convert cash flows occurring at different times to a common time’ [7], in this study is assumed to be equal to the interest rate for bank loans (2%). 2.3.2 Present value The present value of future costs can be defined as ‘the amount of money that would need to be saved today, at a (nominal) interest rate r, in order to have the money available to meet the future cost (Ct) at the time when it is predicted to occur (after t periods)’[7]. By discounting all occurring costs at different times during the building life span become comparable and can be aggregated into a total present value. 2.4 Environmental impact assessment 2.4.1 LCA method Although weighting the environmental effects to calculate a single score is not advised by ISO 14040 [8], it enables to make a comprehensible comparison between alternatives. However, the single score result should not be considered without assessing the unweighted normalised scores. The weighting factors are based on eco-indicator 99, a transparent impact assessment method that expresses the environmental impact in three environmental effects: human health, quality of ecosystems and depletion of resources [9], expressed in Points (Pt). 2.4.2 The construction detail: the key for reuse and adaptation The number of replacements of building elements depends on the global building service life or the service life of the building layer in which the building element is assembled. For example, when wall partitioning needs spatial reconfiguration, the entire conventional wall needs to be disposed and replaced. In this case, replacements of the building elements depend on the service life of the wall layer, and not of the global building service life. Building elements with reuse design and flexible connections however, can be deconstructed and re-assembled in the new wall assembly using the same building elements. This means that the replacement in this case is depending on the global service life of the building. The connection type is identified as a key parameter for replacements [10]. A fixed connection causes redundant waste production when replacing a specific building element, since adjacent elements will have to be removed as well. Contrary, flexible connections allow non-destructive replacements of only the failing building elements. Therefore, the flexibility of the connection for each building element in this study is determined for each building assembly, and is taken into account in the calculations of the replacements. An assessment is made for wall assemblies over a number of building scenarios possibly taking place during the life cycle of a building. The amount and the category of required repairs, replacements and alterations are defined for each building level. The environmental and financial impacts of these alterations are summed with the initial impact and the end-of-life impact for a determined period of life cycle analysis. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


279

3 Dynamic versus static building layers 3.1 Building layer: internal wall partitioning In older apartment buildings the internal wall partitioning is often subject to renovation due to increasing comfort standards of dwellings. The small-format interior layouts and non adaptable typologies of the apartments are no longer suitable for current users. Thermal and acoustic performance also needs upgrading according to the current living standards. However, it is dependent on the design approach if the environmental and financial load of the interventions is reasonable, today and in the future. The first compared assembly is designed as a “finished” static product that needs demolition when adaptation needs emerge. The latter is designed as an assembly of separated functions that can be detached and re-adjusted, relocated or reused. 3.1.1 Functional unit A functional unit is used to make an objective comparison between wall assemblies. Minimum criteria are set up for the internal wall building layer relating to thermal and acoustic performance and fire resistance and finishing. The functional unit is used for both environmental impact assessment and financial cost analysis, expressed in 1m². 3.1.2 Scenarios Buildings are complex artefacts with long service lives compared to other products, explaining the high uncertainty about their service lives. Therefore building scenarios are formulated with varying service lives at all building levels, represented in Table 1. The values for the estimated service life of the components (ESLC) are calculated using the Factor method outlined in ISO 15686-1 [11] using a minimum, typical and maximum life expectancy distribution to consider the most extreme values. Table 1: Scenarios reference scenario short building service life long building service life short building layer service life long building layer service life short component service life long component service life

Service life scenarios of the building. Building

Building Layer

ESLC

60y 30y 90y

30y

typical

15y 60y minimum maximum

3.2 Environmental and financial life cycle assessment 3.2.1 Wall types Three types of internal walls are analysed: plastered masonry walls (clay bricks, sand lime bricks, cellular concrete blocks and expanded clay blocks), dry walls WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


masonry walls Figure 2:

dry walls

DfD walls

Wall types for assessment.

with gypsum plasterboard (metal studs and wooden frame) and Dfd designed walls (steel frame, aluminium frame and wooden frame). DfD designed walls aim to extend the service life of the used building elements. This means that for the DfD wall assembly the material choice is crucial to enable these initial intents. The chosen materials are resistant to multiple deconstruction and reconfiguration, have a long technical service life to make reuse viable and enable reversible connections. Steel, aluminium or wooden prefabricated frames are used with wood-based boarding that can be erected as semi-finished assemblies, and can be deconstructed to base elements with capacity for reuse or transformation to other building products. Special attention is given to the detailing using tolerances and rubber strips to ensure satisfactory thermal and acoustic performance. 3.3 Results 3.3.1 Service life scenario The summarised results for two service lives scenarios of the internal wall are represented in Figures 3 and 4. On the left of the graphs, the results are shown for wall service lives varying between 15 and 60 years for alternative wall solutions. On the right, the extreme scenarios for the estimated service life the components are shown. Both the financial (LCF) and environmental (LCE) life cycle assessment graphs indicate comparable results for the differences between conventional walls and DfD designed walls. The results reveal that although DfD solutions for internal walls have a higher financial and environmental initial impact than conventional solutions, the life cycle impact during the remaining life can be beneficial or disadvantageous depending on the considered building scenario. The elevated initial impact can be explained by the higher initial impact of specifically chosen building materials and building techniques needed for DfD construction. The service life of both the building layer (in this case, the internal partitioning) and of the components has been identified as a key parameter for the financial and environmental viability of DfD design. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

Sustainable Development and Planning V 1600

Metal Stud Structure Wooden Structure Clay Bricks Sand lime Bricks Cellular Concrete Blocks Expanded clay blocks Dfd Wall: Steel Dfd Wall: Wood Dfd Wall: Aluminium

1400 LCF (€/m² Wall)

281

1200 1000 800 600 400 200 0

Figure 3:

Life cycle financial assessment of wall types.

30

LCE (Pt/m² Wall)

25 20 15 10

Metal Stud Structure Wooden Structure Clay Bricks Sand lime Bricks Cellular Concrete Blocks Expanded clay blocks Dfd Wall: Steel Dfd Wall: Wood Dfd Wall: Aluminium

5 0

Figure 4:

Life cycle environmental assessment of wall types.

First, the rate of internal change must be relatively high, in this case at least 15 years, for its reuse potential and its benefits of deconstruction, to weigh up against the initial higher impact of Dfd walls. Due to the multiple alterations of the wall partitioning, the reference cases must face up against major impacts of each replacement, including entire demolition of the wall and new extraction of raw materials for the production of a new similar wall. In this case, the DfD WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

282 Sustainable Development and Planning V solutions score significantly better than the reference case, that is, between 15– 20% for the financial and the environmental life cycle assessment. 3.3.2 Quality of the components and work execution level On the other hand, specific conditions such as the quality of the component and the work execution level of the components can drastically decrease their expected technical service life. Attempts of reuse strategies to extend the material’s useful life then cannot be fully taken advantage of. This explains why in the short component scenario the DfD designed walls have a higher financial and environmental impact than the reference walls. On the contrary, when a maximised technical service life of components can be achieved, the reuse benefits can be more developed and thus, the DfD solutions score better. To make Design for Deconstruction successful attention should be given to the correct choice of materials including a long technical service life, to prolong the usability and thus make them more profitable. The good quality of the execution on the construction site is of crucial importance. 3.3.3 Labour cost Another identified barrier for dynamic re-design is the extensive amount of labour involved. Since labour cost contributes for over 50% in the total life cycle cost (see Figure 5), this is an important factor for this analysis. The dimensions (amount, size and weight) of wall components are an important factor in the total labour cost. Since the use of multiple small components implies longer assembly times, the labour cost will increase. This explains why the masonry walls, with many small components, have a higher labour cost than the dry walls, as represented in Figure 5. 700

€/m² Wall

600

removal cost eol cost transport cost labour cost material cost

500 400 300 200 100 0

Figure 5:

Financial life cycle costs of 3 wall types.



283

On the other hand, design for disassembly and deconstruction demands more complex connections, which likewise increases the assembly cost compared to dry walls, as seen in Figure 5. The labour cost when using abundant number of connections elements such as bolts and screws in fact have negative cost effects. Additionally, at the end-of life stage, removing and separating building materials costs more compared to the actual value for reuse. Still, threat of limited landfill space in the future, rising tipping fees, and increased environmental pressures necessitate a solution. Deconstruction for reuse and transformation potential is a better alternative to demolition, primarily in its consistency with recent trends in environmental life-cycle awareness [12].

4 Conclusions When applied on the right renovation projects and under the right circumstances, design for deconstruction and disassembly can be environmentally and financially advantageous for wall partitioning. A right selection in each renovation project should be made, evaluating which building layers have a high rate of alteration, or estimating which building layers are expected to need future upgrading. However, need for change is never predictable, and thus, when assessment of DfD approach for a building layer reveals that it is viable in environmental and financial terms, even in building layers with a low change rate, it is always safer to introduce DfD design. In that way, unpredictable needs can still be responded without taking part in the environmental degradation. Since the service life of building layers has been identified to be a major key player, different scenarios must always be assessed considering alternative renovation proposals. A short service life of the considered building layer makes DfD solutions viable in both environmental and financial terms, since many alterations will be needed over the life cycle, and the extended useful lives reuse potential of DfD designed assemblies can be fully taken advantage of. For building layers that do not have a high rate of change DfD solutions are not always desirable since they can create higher life cycle costs and impacts. Each situation therefore has to be assessed to make sure if DfD solutions are required. A barrier for deconstruction and disassembly nowadays is the high labour cost involved. As tools and techniques for deconstruction improve, and subsequently productivity improves, labour costs should see a reduction in the near future [12]. With these improvements, in time deconstruction techniques will become more competitive with demolition practice [13].

References [1] UN-HABITAT, The State of the World’s Cities 2008/2009: Harmonious Cities, Earthscan, London, 2008. [2] State of the World 2009 - Into a Warming World, The Worldwatch Institute, 2009.


284 Sustainable Development and Planning V [3] Thormark, C., A low energy building in a life cycle – its embodied energy, energy need for operation and recycling potential, Building and Environment, 37, pp. 429-435, 2002. [4] Thormark, C., The effect of material choice on the total energy need and recycling potential of a building, Building and Environment, 41, pp.1019– 1026, 2006. [5] Debacker, W. et al., 4 Dimensional design: From strategies to cases – Generation of fractal grammar for reusing building elements, International Journal of Ecodynamics 2007: 258 – 277, 2007. [6] Debacker, W., Design and environmental load assessment of multi-use construction kits for temporary applications based on 4Dimensional Design, PhD diss., Faculty of Engineering Sciences, Department of Mechanics of Materials and Constructions, Vrije Universiteit Brussel, 2008. [7] Allacker, K., Sustainable Building: The development of an evaluation method, PhD diss, Faculty of Engineering Sciences, Department of Architectural Engineering, Katholieke Universiteit Leuven, 464p., 2010. [8] ISO 14040, Environmental management – Life cycle assessment – Principles and framework, 20p, 2006. [9] Eco-indicator, www.pre.nl/eco-indicator99. [10] Durmisevic, E., Transformable Building Structures, PhD diss, Faculty of Architectural Engineering, Technical University Delft, 305 p., 2006. [11] ISO 15686, Buildings and constructed assets: Service life planning- Part 1, International Organisation for Standardisation, 41p, 2000. [12] Endicott, B., et al., Research on Building Deconstruction, Final Project Report, University of California Berkley, 36p, 2005. [13] Greer, D., Building the Deconstruction Industry, Biocycle, p 36-42, 2004.



285

Development of a sustainable construction system for temporary structures N. De Temmerman & L. Alegria Mira Department of Architectural Engineering, Vrije Universiteit Brussel, Belgium

Abstract Non-static structures that can adapt their shape, or which can be quickly and easily deployed to perform their architectural function and removed afterwards without damaging sensitive sites, are well-equipped to meet the demands of a rapidly changing society which embraces the concept of sustainable design. Generally, mobile deployable structures are capable of transforming from a small, closed or stowed configuration to a much larger, open or deployed configuration. In architecture, the main applications are temporary lightweight structures such as emergency shelters or exhibition and recreational structures. For these purposes deployable scissor structures are most effective. They consist of beam elements connected by pivot joints, allowing them to be folded into a compact bundle for storage or transport. Subsequently, they are deployed, demonstrating a huge volume expansion. This process can be reversed, allowing reuse. In this paper an innovative kit-of-parts system is developed for deployable scissor structures. A new multi-configurational Universal Scissor Component (USC) is geometrically designed to create scissor structures in a generic way. The designed USC – single and unique – is used to compose different configurations. The structures can be disassembled and the USC can then be reconfigured, enabling reuse (cfr. the toy construction system Meccano). The component’s uniformity favours mass-production, implying a cost benefit. Moreover, the diversity in possible structural forms invites multiple uses. Keywords: transformable structures, temporary structures, deployable structures, scissor structures.



1 Introduction 1.1 Transformable structures 4D design (four-dimensional design) entails a design attitude in which time is explicitly included from the earliest stages of conception. So, besides the 3dimensional space, the fourth dimension becomes a determining design parameter. The structure is transformable over time and can be described as being relocatable, reuseable, demountable; the building components can be reconfigurable, removeable, replaceable, etc. Temporary structures which have this transformational capacity, and are lightweight or easily removeable, have a lower impact on the site which makes them ecologically favourable. Generally, sustainable design can interact on one or more of three levels: (1) material (e.g. recycling, up-or downcycling), (2) component (e.g. reuse, reconfiguration), (3) structure (e.g. retrofitting, flexible renovation with infill). In this research, focusing on the component level, the methods used for implementing transformation are kit-of-parts systems and structural mechanisms. 1.1.1 Kit-of-parts systems This concept relies on the philosophy of designing and building like a ‘Meccano’ system with dry, reversible connections allowing a gradual transformation of the structure over time (Figure 1). Only a few components are used as the basic building blocks, but with the possibility to compose a myriad of configurations (cfr. Lego system). A generative dimensioning system is used as an underlying geometric grid and guarantees that existing and future components will be compatible with the system. This enables the design to meet changing needs of a dynamic society, gradually over a certain period in time.

Figure 1:

Example of a kit-of-parts system (© Michael Lefeber).

1.1.2 Structural mechanisms With the introduction of a mechanism into a structural system, it is equipped with the ability to transform from a small, closed or stowed configuration to a much larger, open or deployed configuration (Figure 2). The obtained structures are generally referred to as deployable structures, which can transform instantaneously [1]. Deployable structures are characterized by their dual functionality as loadbearing structures or mechanisms. As load-bearing structures they transfer live WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 2:

287

Example of a deployable scissor structure (© Grupo Estran).

and dead loads. As mechanisms they provide the reversible alteration of their form, making them adaptable to altered boundary conditions [2]. Although the research subject of deployable structures is relatively young, the principle of transformable objects and spaces has been applied throughout history (the Mongolian yurt, the pantographic weightlifting crane of Leonardo da Vinci…). Nowadays, the main application areas are the aerospace industry, requiring highly compactable, lightweight payload (solar arrays), and architecture, requiring either fixed-location retractable roofs for sports arenas (Wimbledon) or mobile, lightweight temporary shelters (emergency tents and recreational structures) [3]. Generally, mobile deployable structures consist of a weather protecting cladding supported by some form of erectable structure, which is capable of easily being moved in the course of normal use and can be assembled at high speed, on unprepared sites, for plural human activities. For this purpose, scissor structures are most effective: besides being transportable, they have the great advantage of speed and ease of erection and dismantling, while offering a huge volume expansion [4]. 1.2 Sustainable transformable construction system: Meccano and mechanism In this paper, an innovative construction system for deployable scissor structures is developed based on two levels: (i) the reuse of a structure and (ii) the possible reconfiguration of its constitutive components. While current designs of scissor systems give an ad hoc solution, this research provides a methodology for designing a transformable system resulting in generic scissor structures. The scissor component, the Universal Scissor Component (USC), is single and unique and designed to compose a vast number of different architectural configurations. So, on one hand the developed scissor structures can be transported and deployed on site making the structure reusable, and on the other hand the USC can be reconfigured and reused in different geometric forms. In this way, the Universal Scissor Component combines the two aspects kit-of-parts and structural mechanism, resulting in a sustainable construction system for temporary applications which can easily meet changing requirements.



2 Scissor units Scissor units, also called scissor-like elements (SLEs) consist of two beams connected through a revolute joint, the intermediate hinge, allowing a relative rotation, but at the same time introducing bending moments in the beams. By connecting such SLEs at their end nodes by hinges, a linkage is formed, which can be transformed from a compact bundle of elements to a fully deployed configuration. If linkages are connected to each other according to a three dimensional grid, a deployable scissor mechanism is formed which can be used for architectural purposes (Figure 2). Finally, by adding constraints, the mechanism goes from the deployment phase to the service phase, in which it can bear loads. Depending on the location of the intermediate joint and the shape of the beams, three main unit types can be distinguished: translational, polar and angulated units (Figures 3, 4 and 5).

Figure 3:

Figure 4:

Figure 5:

Translational linkage [5].

Scissor mechanism of polar units [5].

A radially deployable linkage consisting of angulated scissors with kinked beams [5].



289

3 Development of a Universal Scissor Component (USC) 3.1 Configurations of the structures To determine the geometric dimensions of the USC, a closer look has to be taken which configurations of structures to consider. Deployable structures with a function of a temporary shelter are expected to enclose a three-dimensional space [6, 7]. 3.1.1 Barrel vaults To perform an architectural function (providing weather protection) a barrel vault is a simple, but effective typology. Barrel vaults or cylindrical grids are monoclastic shapes. They can be obtained by curving one direction of an orthogonal two-way grid. Using polar units is an effective way of introducing single curvature in an orthogonal grid as shown in Figure 6: - direction X, or transverse direction, contains rows of identical polar units in arch formation (in this case, 5 polar units per arch); - direction Y, or longitudinal direction, contains parallel rows of identical translational units connecting the polar arches.

Figure 6:

Perspective view of a barrel vault [5].

3.1.2 Domes Besides barrel vaults, also dome geometries are considered in this paper. Domes are not only architecturally and structurally viable structures; they can also serve as a geometric transition to more exotic and interesting shapes thanks to the use of angulated scissor elements. To minimize distortion of two- or three-way grids over a sphere, polyhedra can be used. A selection is made of polyhedra with an equal edge length, because an identical USC in the whole global structure is the starting point. The selection results in a multitude of different geometries for the investigated architectural dome structures. The following polyhedra are considered: icosahedron, dodecahedron, icosidodecahedron, ‘buckyball’ (truncated icosahedron) and an adjusted rhombic triacontahedron. A dome structure, independent from the considered polyhedron, is made deployable by substituting every edge of the polyhedron by scissor elements. For WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

290 Sustainable Development and Planning V this purpose angulated scissors are implemented because of their beneficial properties, such as the ability to develop a more stable deployment process for shapes capable of retracting towards their proper perimeter. Figure 7 shows how the adjusted rhombic triacontahedron forms the basis of a deployable dome using angulated scissors.

Figure 7:

The adjusted rhombic triacontahedron – deployable dome structure with scissor elements – detail of edge replacement by angulated units [5].

3.2 Geometric dimensions A USC will be designed with the ability to configure both barrel vaults as domes. To reach this possibility, the USC must be able to function as the three standard scissor units: translational, polar and angulated, depending on the desired end configuration. Because hinge displacements have a dramatic influence on the structure shape, in this section decisions will be made concerning the different geometric dimensions based on possible hinge positions. These are the dominating aspect for the geometry: because all the components are identical, i.e. the USC, the only difference between the configurations is the position of the pivot hinge. 3.2.1 Angulated part of the component The angulated element is determined by the different geometric polyhedra to form radially deployable domes. Because of the fixed geometry of the polyhedra, also the angulated part of the USC is relatively fixed. If the length of the kinked beam of an angulated scissor unit is considered as a parameter, the height is determined for a certain polyhedron (Figure 8).

Figure 8:

Parameters of an angulated beam.



291

A length of 2m is chosen because of the resulting range from low to high spans for multifunctional deployable structures. Moreover, a length of 2m seems to be still manually manageable. A 2m length for the angulated scissor results for each considered polyhedron in a certain height. Further, a selection is made between these different height values. The decision is based on the feasibility of the distance between the intermediate hinge positions, from a manufacturing point of view. For that reason the icosidodecahedron is excluded: the corresponding height value was too close to other values. Figure 9 presents the ultimate geometric dimensions for the angulated part of the USC for which six different dome structures can be built geometrically.

1 2

Hinge position cm 10.2 16.4

3 4 5

20.6 28.4 33.8

6

38.2

Figure 9:

Dome polyhedron

Elements/edge

Buckyball Adjusted rhombic triacontahedron Buckyball Icosahedron Adjusted rhombic triacontahedron Dodecahedron

Double Double

Span Dome m 16.9 12.2

Single Double Single

8.5 6.2 6.1

Single

5.2

Ultimate geometric dimensions for the angulated part of the USC [5].

3.2.2 Translational/polar part of the component Compared to the relative fixed geometry of the angulated elements in the domes, the polar and translational units allow a bigger freedom in geometry choice. A polar unit is simply obtained by moving the intermediate hinge of a translational unit away from the middle of the beams. This eccentricity of the revolute joint creates curvature when the units become deployed. A beam from a translational and polar unit can thus simply be combined into one beam with several hinge positions (Figure 10). The length of the translational or polar beam is fixed on 2m as determined in the previous section. The parameters on which can be anticipated are the number of units and the eccentricity of the polar hinges. Configurations are investigated with a number of units from 4 to 16 to obtain a wide range of barrel vault spans and eccentricities are considered with a minimum distances of 5cm because of practical reasons. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


1

Hinge cm 5

2

10

3

16

position

Number of polar units in arch of Barrel vault U=7 U=8 U=9 U=10 U=11 U=12 U=13 U=14 U=15 U=16 U=5 U=6 U=4

Span Barrel vault m 8.3 9.4 10.5 11.6 12.6 13.6 14.6 15.5 16.4 17.3 5.6 6.5 4.1

1 2 3

L = 2m Figure 10:

Ultimate geometric dimensions for the translational/polar part of the USC [5].

The result is that only the eccentricities of 5cm, 10cm and 16cm have to be regarded to form thirteen barrel vaults differing in span and shape (Figure 10). 3.3 Geometric shape In the previous section the geometric dimensions were determined. The positions of the pivot hinges are found with the ability to compose them in such way that nineteen different architectural structures can be configured. The next step is to constitute a shape for the scissor component based on the theoretical positions of the hinges. A shape, easy to manufacture, is formed by simply connecting the hinge positions with beams. Figure 11 illustrates the designed Universal Scissor Component with the different elements.

Figure 11:

Universal Scissor Component [5].



293

3.4 Deployment Not only do the hinge positions determine the ultimate shape of the deployable structure, they also have an impact on the deployment behaviour which differs between barrel vaults and domes. In the case of the barrel vaults, the deployment has a two dimensional character: the transformation proceeds automatically in the transversal and longitudinal direction, as shown in Figure 12. For the domes, the deployment transforms radially. While deploying the geometric shape stays constant, only a variation in span is noticed (Figure 13).

Figure 12:

Figure 13:

Barrel vault with USCs in four deployment configurations [5].

Deployable dome based on the adjusted rhombic triacontahedron from a fully closed to an open configuration [5].

3.5 Structural evaluation of the USC concept The key element with scissor structures is that there is a direct and mutual relationship between the geometry, the kinematics and the structural response of the system. Besides the geometrical properties, inherent to the kinematic deployment behaviour, as explained in the previous sections, a preliminary structural study is conducted to investigate the feasibility of the proposed concept. As a reference case study, the largest barrel vault (17m x 17m) is analysed structurally in the fully deployed configuration, where the mechanism is blocked and it acts as a load-bearing structure (Figure 14). The structure is calculated using the Eurocode standards. Beside self-weight, also climate loads (transverse and longitudinal wind and snow) are considered as indicated by Figure 15. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

294 Sustainable Development and Planning V Relative small cross sections are found (maximum 51mm), compared to the covered area, proving the preliminary feasibility of these types of constructions. But it is to be expected that nearly all of the USC beams are over-dimensioned. Moreover, in previous research it is stated that traditional scissor elements show a low to medium structural efficiency due to existing bending moments [8]. But this first structural calculation proves that the designed USC rather excludes bending moments, thus increasing the structural efficiency of the structure.

Figure 14:

Model of barrel vault in software program SCIA ESA-PT [5].

Figure 15:

Schematic representation of climate loads [5].

4 Conclusions The aim of the work was to develop an innovative construction system based on a Universal Scissor Component (USC) for deployable structures. Based on different configurations of structures – barrel vaults and domes – decisions were made on the geometric dimensions and the shape of the component. Considering feasible hinge positions, the design process resulted in a USC capable of configuring nineteen different architectural structures with WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


295

specific deployment behaviour (Figure 16). The USC is the unique component in all the investigated configurations; the only difference is the position of the pivot hinge. A preliminary structural analysis has proven the feasibility of the proposed concept and indicates the increased structural efficiency of scissor structures using USCs. Further research and a detailed analysis are required to optimise this construction system in terms of weight-per-covered-area-ratio and material- and energy use. Deployable structures have become increasingly popular, but few have been realised successfully. Further work can consist of a better understanding of the design parameters and the related allowable tolerances and imperfections, in order to respect the architectural function of the structure and to guarantee a successful deployment and folding. Their further development calls for research into fundamental issues regarding the shape of the constitutive elements, the connections, the membrane, the deployment behaviour, and the structural performance, both during and after the transformation process. The proposed USC-concept makes reuse and adaptability possible: it is well equipped to meet the demands of a rapidly changing society while embracing the concept of sustainable design.

Figure 16:

Selection of the possible deployable structures composed of the Universal Scissor Component [9].

References [1] Jensen, F.V. Concepts for retractable roof structures. PhD Dissertation University of Cambridge, 2004. [2] Rückert, G.C. Wandelbare hybride Konstruktionen Von der morphologischen Studie zum Prototyp. PhD Dissertation Technischen Hochschule Zürich, 2000. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

296 Sustainable Development and Planning V [3] Gantes, C.J., Deployable Structures: Analysis and Design, WIT Press, pp. 189, 2001. [4] De Temmerman, N. Design and Analysis of Deployable Bar Structures for Mobile Architectural Applications. PhD Dissertation Vrije Universiteit Brussel, 2007. [5] Alegria Mira, L. Design and Analysis of a Universal Scissor Component for Mobile Architectural Applications. Master’s Dissertation Vrije Universiteit Brussel, 2010. [6] Escrig, F. Expandable space structures, Space Structures Journal, Vol 1, No 2, pp. 79-91, 1985. [7] Escrig, F. & Valcarel, J.P. Geometry of Expandable Space Structures. International Journal of Space Structures, Vol 8, Nos 1&2, pp. 71-84, 1993. [8] Hanaor, A. & Levy, R. Evaluations of Deployable Structures for Space Enclosures. International Journal of Space Structures, Vol 16, No 4, pp. 211229, 2001.181 [9] Alegria Mira, L. & De Temmerman, N., Design and Analysis of a Universal Scissor Component for Mobile Architectural Applications. Proc. of the Int. Association for Shell and Spatial Structures (IASS) Symposium Shanghai, eds. Q. Zhang, L. Yang & Y. Hu, China Architecture & Building Press, pp. 815-826, 2010.


Section 4 Cultural heritage



299

The impact of urban sprawl on the heritage areas through the urban fabric of cities A. El Menchawy, S. S. Aly & M. A. Hakim Arab Academy for Science and Technology, Architectural Engineering and Environmental Design Department, Alexandria, Egypt

Abstract Historical sites are the economic, cultural and social drivers for a dynamic and sustainable environment. They constitute an integral part of nations’ history, identity and regional diversity. Small and medium-sized historical sites with their outstanding built cultural heritage strongly shape the urban landscapes and form the backbone for a balanced and polycentric settlement structure. Historical sites face many challenges, like accelerating globalization, structural, social and demographic changes as well as environmental problems and urban growth. As urban growth is a double faced process it is the concentration of population in urban areas due to supplied services that are missing in rural areas, at the same time it is a decline of socio-economic areas agglomerations. This increase in population happens due to the concentration of economic activity, which is an important determinant, and the result of urbanization. This results in introducing unbalanced trends which destroys human cohesion and builds social exclusion in cities and regions. Through urbanization, people ignore their identities and traditions seeking adequate services and a better lifestyle leading to the disappearance of existing urban fabric that creates an undefined urban pattern. The right balance between restoring and preserving unique cultural heritage has to be set to enable futureproof urban development. Urban growth affects the efficiency of production and economic growth, and the way agents interact and live in cities. Understanding its implications and causes has captured the interest of economists, architects and urban planners in the past and deserves to continue doing so in the future. The research aims to extract a set of urban guidelines to cope with the development process with respect to the identity and character of the place and to WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110261

300 Sustainable Development and Planning V highlight the importance of historical sites, which creates job opportunities, and help to raise the socio-economic level of the society Keywords: historical sites, heritage, identity, architectural style, urban conservation.

1 Introduction Cities and towns act as catalyst for cultural, social and economic development. Half of the world’s population already lived in urban settlement. Historical sites represent the heart of the cities which play a very important role in creating a stimulating and economically attractive environment for inhabitants. The development of these sites is an integral part of societies that comprises historic buildings, urban spaces and people using them. Preserving this cultural identity of the city through making the necessary changes for development while maintaining current qualities is one of the main goals of the paper. 1.1 Problem statement Urbanization is the physical growth of urban areas because of global change. It is derived from Latin word “urbs” a term used by the Romans to a city. Thompson Warren has defined it as the movement of people from communities concerned chiefly or solely with agriculture to other communities generally larger whose activities are primarily centered in government, trade and manufacture. It is closely linked to modernization, industrialization and the sociological process of rationalization. 1.1.1 Causes of urbanization Urbanization are affected by many factors mainly the key determinant of migration is the income differential between rural and urban regions. Migration is also affected by crop prices, landowning structures and changes in agricultural technologies. It is also influenced by other factors related to individual or household structures and survival strategies, and wider political, economic and social forces that are presented in the following:  Higher standard of living that is missing in rural areas due to unpredictable weather conditions such as drought and floods, which can adversely affect their livelihood.  Linkage to the global economy due to presence of new information technologies resulting in benefits are not equally shared among people.  National government policies concerning migration, national investment in communications, transport infrastructure have profound impacts on the urban system.  Creating a strong bond between communities due to culture exchanging.



301

2 Identifying heritage 2.1 Definition of heritage

Past Transmission Present Figure 1:

Future

The property, attribute or immaterial possession inherited from ancestors. ICCROM team [1]. Therefore, heritage is: Reflecting the achievement of such civilization

Heritage connecting past with present for a better future.

Heritage has many different ways and forms which are classified as follows: 2.1.1 Cultural heritage or “national heritage” It is the creative expression of people’s existence in the past represented through the legacy of physical artifacts and intangible attributes that are inherited from past generations maintained in the present and bestowed for the benefit of future generations. 2.1.2 Cultural heritage can be distinguished through two kinds 2.1.2.1 Physical or “tangible heritage” Includes material heritage, which can be physically touched and considered worthy of preservation for future generations. Tangible heritage in its meaning includes two types:  Movable tangible heritage: Objects that can be moved easily from one place to another.  Immovable tangible heritage: Buildings which cannot be removed from its place of origin. 2.1.2.2 Intangible cultural heritage Immaterial heritage, which means the practices, representations, expressions, knowledge, music, dance, theatre and religious ceremonies that, is transmitted from generation to generation in response to their environment, their interaction with nature provides them with sense of identity. 2.1.3 Natural heritage Natural features consisting of physical, biological and geological formations or habitat of threatened plants or animal species, which are of outstanding universal value from the aesthetic or scientific point of view.


302 Sustainable Development and Planning V 2.2 Importance of heritage  Conveys diverse messages and values that contribute to give a meaning to people’s life.  Represents the identity of a social group.  Represents a vehicle for understanding the diversity of people and developing a policy for peace and mutual comprehension.  A source of economic development.

3 Identity 3.1 Definition of identity It is the collective aspect of the set of unique characteristics (behavioral or physical features) by which a thing or person is recognizable or known. Cultural identity: is a social process in which individuals participate in the context of changing historical conditions like historical reservoir [2]. Identity is defined as follows:  It is the distinguishing character or condition of a person or a thing according to place within historically specific discourses. 3.2 Reasons of fading of identity

Imported cultures

Societies exposed to layers of cultures that were localized by time

Structure of the city

Identity changed due to new demands lead historical cores to stand-alone

Global paradox

Explosion of information and technology formed the adaption to less predictable environment

Globalization & de-territoriality

Modern culture less determined by location because it is increasingly penetrated by distance

Figure 2:

Threatening defined boundaries between societies that results in no defined culture that differ a community from another. Leading to presence of the same image in communities

Factors affecting fading of identity.



303

3.3 Urban identity in the changing context of the city  The essential goal for future development of a good environment is identity. At the urban level, the environment should be such that it encourages people to express themselves and to become involved.  City is always dynamic which includes an evolving process that can destroy and replace parts of it. This evolution is also significant in the creation of a sense of place (Okaty [3]). 3.3.1 The significance of districts  The local urban context is considered, the district or quarter/neighborhood that is the identifying symbol both for the evaluation of the city, and for the new urban extension, and it is also fundamental for sustainable development.  Considering the identity theme, the neighborhood is not seen as a means for participation but as a vehicle for strengthening the bonds between residents and their environment. In this context, topographical circumstances such as a dividing river or a green belt may significantly contribute to the formation of different districts.  Since the identity of the neighborhood grows from the continuous relationship between the place and its residents, the neighborhood is expected to become its residents’ cultural creation and at the same time a means for the preservation of the cultural continuity of the city. 3.3.2 The role of public spaces Perception of the visual forms that provide the physical context for the public domain is very important. Public space is regarded as “the common ground where people carry out the functional and ritual activities that bind a community, whether in the normal routines of daily life or in periodic festivities” (Carr et al, 1992, p xi).  It is the urban experience of places and spaces conceived to link people to vital social life. However, the perception of public domain is formed from the given information from the surrounding environment.  The public domain extends from the streets, squares and parks to the buildings that enclose them, it makes the most important part of towns and cities (Madanipour [15]). Perhaps the best evidence for the vital importance of public urban spaces is historical.  “The street”: (Jacobs [16]), is an important critic of the urban forms: “Streets and their sidewalks, the main public places of a city, are its most vital organs”. The optimum definition for a street is “an enclosed, three-dimensional space between two lines of adjacent buildings”. However, nowadays the concept of street has been lost due to lack of three-dimensional qualities.  “The square”: it is most easily imaginable, and represents a goal for movement. It is determined by the same formal factors as the street, with the difference that the buildings are not the edge of the public space but it is the frame forming the overall image (Moughtin [4]).



4 Characteristics of Arab architecture and features driven from them “In researching the sources, the following principles can be distilled that will help give us an understanding of how man should address the environment: Stewardship of the Earth; Relationship with Nature; Relationship between Men; Justice; The Public Interest; Concern for the Poor and Weak; and, Individual Behavior” (Khan [5]). 4.1 Design principles of the Arab City in broad terms 4.1.1 Natural law It is respecting natural circumstances as weather conditions and topography and adapting the built form and city plan with it. This principle resulted in concepts as the courtyard, terrace, narrow covered streets, and gardens (Saaoud [6]). 4.1.2 Religious and cultural beliefs Religious beliefs and practices had an enormous effect forming the cultural life center for the Arab people, thus: a) The Mosque is the central node for spatial and institutional hierarchies. b) Town plan is of courtyard houses with narrow streets and cul-de-sacs separating public and private zones. c) Economic activities and residential zones were separated to emphasize the separation of male and female user of space. 4.1.3 Social principles The social organization of the urban society was based on social groupings sharing the same blood, ethnic origin and cultural perspectives. These were reflected in the concept of quarters known as Ahiaa (in the Mashraq) or Huma (in the Maghreb). 4.2 Detailed principles and driven features 4.2.1 Form and climate Due to climate: a) Natural architectural forms using appropriate local materials evolved to retain the coolness of night of the evening throughout the hot day. b) Forms are designed to catch the cool wind when it blows. c) The use of heavy, thick walls of mud, masonry or stone is for sufficient thermal resistance [7]. 4.2.2 The driven features The driven features are: a) The openings of buildings are small windows placed for privacy and protection from the sun by the Mashrabeyya. b) Inside court, forms are used, covered with colonnades and the rooms open onto the balconies overlooking the court allowing air to flow through the building in every room. c) The planning of narrow streets between buildings shade throughout the day, cooling buildings walls and streets. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


305

5 Case study: Turkish town space and society 5.1 Introduction “The design of town is design in four dimensions. A town provides a framework for change to meet the changing needs of those who live and work in it. local resources are discovered, exploited and worked out; industries rise and fall; populations ebb and flow, living standards change. Responsive to every nuance of demand, the city all the time adapts itself accordingly.” “Middleton 1987:35.” 5.2 Location and physical setting of the Turkish town  Turkish town is situated to the west of the current Alexandria city.  It occupies the isthmus separating the western (main) port and the eastern fishing port.  The area is bordered by the sea on three sides, while the south ends with Alexandria’s business district.  It stretches about 1 km in the north-south direction and 800m in the east-west direction. Turkish town

Figure 3:

Mediterranean Sea

Map showing Turkish town in relation to Alexandria.

Through recent historical development of the city assert the dramatic pressures that are to be considered in order to deal with the problems of overloaded infrastructure, services, transport as well as the inevitable economic and commercial pressures resulting from its physical setting and the surrounding forces.  A major thoroughfare (Al Corniche) borders the area, and to the south by Al Nasr Street; within these borders it is sliced into smaller zones by a group of main streets that belong to the late 19 c.  Despite the various attempt for modernization, the traditional morphological outline of the area is still readily distinguishable. 5.3 Historical background  The Turkish Town: was founded in 1517 with the start of the Turkish regime. This area was the only inhabited area until the early 19th century. It lies with its commercial activities at the neck between the two harbors the eastern and western harbors and outside the fortified walls of the Arab city. In the middle of WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Al corniche

Western port Figure 4:

Al Nasr Street

Al Anfushi

The Unknown Soldier square

the 17th century, Alexandria was described as a small village with two or three streets and a bazaar. In the period of 1630-1640 A.D. there were new developments based largely on the trade of Yemeni coffee beans exported to the ottoman provinces and Europe in addition to the textile manufacturing using silk, which was imported from Syria where 12% of population worked in this trade (Breccia [9]).  Mohamed Ali constructed an access for Ras el Tin Palace (1817) which lies on the extreme west of the ancient island of Pharos, was provided by the enlarging and widening of Faranca Street.

Google Earth showing the borders of Turkish town and the access to the town though two main streets Al corniche and Al Nasr Street.

5.4 Architecture style of the area Despite the lack of documentation for the architectural history of the Turkish town it appears in the diversity of nature of the area, remains of style and state of the buildings has made it clear to establish the outline of the building development which have witnessed 4 stages of development, as shown in Table 1. 5.5 Morphological analysis 5.5.1 Street pattern The general street pattern, even the modern parts have a certain degree of irregularity which is due to: the curved nature of its natural borders and obviously to the influence of the traditional urban pattern of the city.



Table 1:

307

Hierarchy in architectural style of Turkish town [10].

5.5.2 The sequence of street pattern of Turkish town The sequence of street pattern of Turkish town can be illustrated as follows:  Shariah: serves as the main street which links the area with other parts of the town which enclose shops. The width of the street allows for movement of carts.  Harah: serves as a secondary street which is narrower than the former, mainly used as access both houses and smaller streets (Atfa or Zuqaq). These streets form the first community unit as the occupants of each Harah participate in a close social life and act as a big family. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

308 Sustainable Development and Planning V  Atfa: this kind of street serves as a link between the main street and the Harah. It is narrower than the Harah as it was designed to accommodate pedestrians as well as carrying animals.  Zuqaq: a short dead end street which forms the last threshold of the sequence (Assem [11]). Table 2:

Representing different street patterns.

The intersection of these streets is hardly to be at a right angle.

Pedestrians gain a rich visual experience due to irregularity of streets.

The richness of street environment with human activities.

Shadow areas occur due to the narrow width of streets satisfying environmental comfort.

The width of the streets has emphasized the social cohesion of communities.

Streets mainly concerned with pedestrian rather than a route for vehicle traffic.

Figure 5: Representing the hierarchy of the street patterns of Turkish town. 5.6 Land use and activities pattern To evaluate the economic pattern of the area:  Over 60% of the working force of Al Gommrok is working in the district whilst 30% of



309

 The overall working force in it comes from other areas these figures shows the potential for economic activities within the area, as it employs about 90% of its working force  Those activities can be classified as the following fishing, commercial activities (retail forming the backbone of the economic structure they represent) 40%, workshops represent 19% like furniture and metal, wholesale represents 11%.  Historical buildings the main buildings are (Al Shourbagy Mosque, Terrbana mosque, Abou Al Abbas mosque) (Wratten [12]).

Residential Fishing related activities Governmental Port related activities Food market Retail shops Metal workshops Furniture workshops

Figure 6:

Land use of Turkish town. (See online for colour version of this figure.)

5.7 Heights and building conditions

Figure 7: Sample in the Turkish town shows different heights of buildings. (See online for colour version.) WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

310 Sustainable Development and Planning V 

Represents building heights varies from 7 to 12 heights which is found behind the European residential building styles. As the building condition of these buildings varies are in good conditions (good structure system and building materials).  The height of buildings ranges from 2 to 3 floors maximum this is due to the structure (bearing walls with no foundation).  The height at this area varies from 5 floors till 20 floor due to presence of different architectural style. 5.8 S.W.O.T analysis

5.8.1 Strengths  Location of Turkish town near Qaiet Bay fort and bibliotheca Alexandria as shown in figure 8, to create touristic trips connecting those attractive points with the Turkish town.  Presence of historical buildings dating back to ottoman reign, which concentrate commercial and recreational activities.  Hierarchy in walkways from pedestrian to vehicle streets.  Historical buildings of Turkish town used ecological materials to adapt the environmental conditions of Arab cities such as limestone, marble and wood.

Qaiet Bay Fort Turkish Town Bibliotheca Pompey’s pillar

Figure 8:

Alexandrina Roman theater

Amphie

Representing development of Turkish town [13].

5.8.2 Weakness  Due to the presence of historical monuments, dating back to the Turkish town that suffers from enormous threat the theme of the urban fabric represented nowadays as random scattering of different architectural styles.  There were no themes in distribution of land use in the Turkish town as represented in the variety of uses placed there such as (industrial, commercial, residential, monumental and some governmental buildings).  Lack of streetscape along the Turkish town such as (lighting fixtures, furniture, signs and garbage disposal) loosening the town its identity.  Presence of deteriorating housing core which results from unrealistic urban planning.  The absence of essential community facilities and services to fit the urban growth found in the site.



311

5.8.3 Opportunities  Monumental buildings are always a center of attraction whether for tourists or residents which appear in commercial and some industrial activities that are related with the identity of the place this creates job opportunities and help in raising socio economical level of inhabitants.  Through observation the rate of movement of tourists is directly proportional to the activities located in historical sites which is one of the helpful things for tourism to let them explore such places carefully and understand different civilizations which encourages preserving the streets as it is according to their proportions.  Rehabilitation of historical buildings to reuse it to help for upgrading the social life of inhabitants and make it easier for tourist to be introduced to the traditions of the place. 5.8.4 Threats  High population density affects buildings’ conditions accelerating its deterioration.  Traffic and huge network of transportation results in vibration to the foundation of historical buildings.  Bad infrastructure causing sanitation problems due to presence of slum areas that are not supported with the needed services.  Underground water accelerates demolition of residential buildings due to insufficient services for urban development (Rankine [14]).

6 Conclusions During recent decades, the rehabilitation and regeneration of historic centers has been increasingly recognized as an efficient tool for urban development, synthesizing cultural values with economic opportunities and benefits. The value of each historic building is not only in the appearance of individual elements, but also in the integrity of all its components as a unique product of the specific

Figure 9:

Solid and void map presenting future development.


312 Sustainable Development and Planning V building technology of its time and place. Thus, the removal of the inner structures retaining only a façade does not satisfy conservation criteria. Considerations of conservation in development should be seen not only in the light of preserving the built and natural environment, but also the fundamental elements of the social environment equally. Although each generation has an obligation to preserve and transmit the cultural and historic legacy it has inherited, it is not common to witness the destruction of historical or cultural amenities.

7 Recommendations 7.1 Governmental regulations  Architectural style: The main squares which enclose the historical monuments of the Turkish town must represent a sequential hierarchy in architectural style to bringing back such spirit of Islamic city to the tourists.  Materials: Regulations must be set to adopt using traditional materials and develop it to achieve ecological historical environment.  Social conditions: Government regulations must set the rental law to be family renting to be appropriate for the space such as family of 5 persons with a maximum of 3 person/room due to deterioration of buildings. 7.2 Urban planning  Land use: The main aim is conserving the main image of the Turkish town through its fabric so attraction points must be distributed along the streets of the Turkish town to attract tourist to walk through the city without feeling bored.  Transportation movement: Appropriate parking must be supplied to facilitate tourism movement.  Creating loading points for public transportation so as the residents living there could access easily to their home without hurting the historical buildings.  There must be separation between pedestrian walks and public roads to facilitate the movement of the tourist in the Turkish town. 7.3 Public awareness  Increasing the percentage of illiteracy in the Turkish town affecting the monuments badly this due to the ignorance of the importance of historical sites to the national income for societies.  Raising the educational level of people to be effective and cooperative in the conservation process.



313

7.4 Improvement of cultural and social environment  Creating job opportunities through creating development projects such as attraction points for tourists since it is a focal point through emigrants or tourists.  Raising public awareness of the inhabitants and introducing them the importance of historical sites. 7.5 Public realm and open spaces  Greater emphasis needs to be given to the street and to the sequential network of pedestrian spaces if the city centre is to become more attractive to future users and investors.  Creating more co-ordinate and seamlessly legible townscape, not only for pedestrians, but also for cyclists, drivers and public transport users.  New and existing public spaces are to be linked by improved streetscape treatment. Public art, planting, lighting and water features will be incorporated into the new and enhanced spaces.  Comfortable street level activity is important, both for civic and event purposes, but also to stimulate general footfall and a sense of public safety and vitality.  The perception and visual dominance of the motor car needs to be mitigated to enhance the perception of pedestrian comfort. 7.6 Built form and urban design  Promote more integrated, unified centre areas of historical character, scale and building lines, all of which create and reinforce the city block relationship.  Focus on the growth of smaller scale cultural activity that reinforces the archaeological heritage of the area and provides opportunities for retail, cafe and restaurants that are consistent with the fabric, scale and character of the area.  Active ground floor uses will be encouraged along main pedestrian routes to stimulate new investment and employment.

References [1] ICCROM Team, Introducing Young People to the Protection of Heritage Sites and Historic Cities, A Practical Guide For School Teachers in The Arab Region, UNESCO, 1st edition, 2003 [2] Correa Ch., Exploring architecture in Islamic cultures1, Architecture and Identity, The Aga Khan Award for Architecture, Universiti Teknologi, Malaysia, p. 10-13, July 25-27, 1983 [3] Okaty D., The quest for urban identity in the changing context of the city, Eastern Mediterranean University, Faculty of Architecture, p.262, 2002 [4] Moughtin C., Urban Design, Street and Square, Oxford, Third edition, 2003 WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

314 Sustainable Development and Planning V [5] Khan F. The Islamic Environment: Can the Future Learn from the Past, In Toward an Architecture in the Spirit of Islam, The Aga Khan Award for Architecture, Philadelphia, 1978 [6] Saaoud R., Introduction to the Islamic city, Foundation for Science Technology and civilization, p.4, August 2002 [7] Ismaïl S., Faith and the Environment, In Space for Freedom, Butterworth Architecture, London, 1989 [8] Google Earth, Alexandria, Egypt, Modified by the researcher, 2011 [8] Jondent G., Atlas Historique De La Ville Et Des Prots D’Alexandrie, La societe Sultanieh De Geographie, 1921 [9] Breccia, Alexandria AD Egyptum: a guide to the ancient and modern town and to its Graeco-Roman Museum, Alexandria, 1922 [10] Jason D., Modern Islamic Architecture in Alexandria, Islamic Quarterly, Vol. 13, p. 183-191, 1969 [11] Assem M., Development and conservation with special reference to the Turkish town of Alexandria, Institute of advanced architectural studies University of York, 1993 [12] Wratten E., Gomrok Local Plan, Final report, Alexandria, 1985 [13] Alexandria’s map, www.wikitravel.org/upload/shared//5/58/Map1-alex.jpg [14] Rankine L., The planning problems and policies of Heritage coasts, 1976 [15] Madanipour, A., Design of Urban Space. Wiley, New York, p. 146, 1996 [16] Jacobs, J., The Death and Life of Great American Cities. Random House, New York, 1961



315

Investigating the sustainable fabric of the historical city of Marvast M. Mangeli, M. Mangeli & A. Sattaripour Department of Architecture, Islamic Azad University, Iran

Abstract Considering the importance of the conservation and restoration of historical places this study aims to investigate the general urbanism and the sustainable features of Marvast fabric in order to achieve a sustainable development procedure. This case study was conducted as a field study by using previous studies, interviewing different people, taking photographs, collecting related information from the real place, and processing the collected information. The whole fabric of Marvast was examined in terms of its sustainable development, the influential factors in its formation and its historical structure. Geomorphology, water resources and the way to access them, and continental elements are the factors that have influenced the formation of Marvast. The only way for appropriate reconstruction of Marvast is the restoration of its sustainable economy along with repairing the residential and other culturally valuable buildings in a new form. Organizing Marvast fabric requires addressing its fabric-related problems with the minimum interventions. Continuing architectural studies and updating the designs based on the latest studies are also recommended. Keywords: Marvast, sustainable desert architecture, urbanism, sustainable fabric, eco architecture, sustainable development, historic fabric, evolution path, skeletal knowledge.

1 Introduction The historical city of Marvast is one of the oldest cities of Yazd Province in Iran and because of being located next to the Marvast Desert has desert architecture and urban design features. The central part of Marvast is established at the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110271

316 Sustainable Development and Planning V conjunction of the main connecting road with fertile lands and water resources (aqueducts). Basically, in central part of Iran, the junction of main roads with aqueducts in flat and fertile plains has been the position of locating the initial central part of city. The land slope, the running track of aqueducts, geomorphologic conditions of the region, and ecological issues are considered to be the influential factors in formation of Marvast so that the further development of the city has been made in the direction of land slope and water run. Agricultural activities have been developing in this region from the ancient times, therefore the city is considered as one of the agricultural and population centers of Iran. This plain is now where Marvast City is located. This city like other small desert cities of Iran is not adequately recognized and studied. The only studies conducted about the city and its structure are basic studies conducted by Consulting Engineers Group of Iranian Dwelling Association to prepare the city plan [1]. This paper aims to study the formation features of the central part of the city, its evolution procedure in different periods, and also its fabric based on field and library studies.

2 Methods and materials This study was conducted based on the existing data as a historical research focusing on the small desert city of Marvast in Yazd Province. The goal of this study is to determine the sustainable historical fabric status of the city, its evolution procedure, and the factors that influence them. The historical fabric of the city was selected as the subject of the study and we attempted to consider some main urban factors and their effects on formation of the city in order to provide a useful resource for future repair works and reconstruction of the city. Marvast is located 185 kilometers south of Yazd Province Center in YazdHarat Road. The city is located at 54º 10' to 54 º 13’ east longitudes and 30º 27' to 30º 29' north latitude with an average height of 1538m and an area of 4km2 in the plain region [2]. The dominant ecological regions of this territory can be divided into three following categories: 1- Desert ecological region 2- Semi-desert ecological region 3- Moderate ecological region with average rainfall of 85.5 mm. Marvast is located at a plain region covered with Neogene sediments. It is faced with high risk of earthquake regarding earthquake relative risk gradation. Marvast is the smallest city of Yazd with a 250-Hectare area and a population of 6934 (male: 3492, female: 3442) according to 1994 statistics. There are 1777 families in Marvast and the population relative density is 34 people per square kilometer.



Figure 1:

317

The position map of Yazd province and Marvast city.

According to the classification of practitioners based on the main activities in 1994, 37.63% out of 2668 practitioners who are more than 10 years work in agriculture, 42.62% work in industry, and 19.15% work in services sectors and others work in other main activities [3]. Harat and Marvast are two famous villages near Shahrbabak and are considered as two very old villages of the city. It is assumed that Aryans after immigrating to Iran used their previous villages’ names to call the new ones, therefore Harat was named in memory of the famous village of Harat and Marvast was named in memory of Marv village [4].

Figure 2:

Formation position of Marvast influenced by different factors.



3 Discussion 3.1 Formation of Marvast The central part of Marvast is established at the junction of the main connecting road with fertile lands and water resources (aqueducts). The land slope, the running track of aqueducts, geomorphologic conditions of the region, and ecological issues are considered to be the influential factors in formation of Marvast so that the further development of the has been made in the direction of land slope and water run. The land slope, the movement run of city ‘s aqueducts also geomorphologic conditions have considered as effective factors on Marvast formation also further development of city, in which further development of city was done based on land slope and water run.

Figure 3:

Establishing position of farm lands and gardens were determiner factors for forming city and its development in next periods.

Figure 4:

Circle of barren land ringed the city and cemetery position in land.



319

3.2 The old urbanization structure of Marvast Marvast is formed near the old road connecting Harat to Mehriz and Yazd in a fertile plain with many aqueducts. Based on an aerial image in 1995, we can conclude that the old Marvast at first has had a circular pattern and its residential sections have been formed around a castle then it was further developed into the lands around the old city with ramparts and towers built to provide security. Now there are no traces of the old city and the ramparts of the new one. The only remainder of this old coordinated urban system is one of the towers of the secondary fence of the city.

Figure 5:

Figure 6:

The only remaining signs of Marvast city productivity.

The Old Marvast City and further development on surrounding lands.


320 Sustainable Development and Planning V The general perspective of the structure of the city includes a city surrounded with fence and rampart and two gates one opened into Harat-Mehriz road and the other, Ghasem Abad Gate, used as an entrance for caravans and passengers coming from the neighbor villages. Two caravansaries were established next to the gates [5]. The old Marvast has had a complete structure and skeleton consisted of three following main parts: - Castle - Middle flux including residential sections and services sections such as Bazaar and Jaame’ mosque, and - Outward or Rabaz that due to further development of the city and population growth became residential and fences were built to provide security. The skeleton of the pathways of the old fabric in the residential circle around the castle is in a radial form for providing quick access to the castle upon a danger. This formation pattern of the pathways indicates their antiquity and the priority of the establishment of the residential circle in relation to other parts of the fabric. Further development of the city followed a checkered pattern in accordance with the agricultural land divisions that shows the formation of the city in surrounding lands. Beside these two structural patterns, there are circular pathways that seem are established on the walls of the old city. According to above mentioned information, Marvast historical fabric consists of the following distinct parts: 1- Marvast Castle: this castle was the central part of the city located at the geometric center of the city and was used during the enemies’ attacks (fig. 7). 2- The fabric around the castle: a collection of brick and clay houses all with an internal yard that like all of the old building at the margins of desert cities have an extrovert view. These houses are connected to the central part of the city through narrow and organically formed meandering pathways. The main buildings of the city such as Jaame’ mosque, reservoir, bath, and bazaar are established in this part of the city around the castle providing the most convenient access for the dwellers. 3- The fabric around the old wall of the city: this part of the city is the second developmental circle of the city and encompassed some of the agricultural lands of the old city. The establishment of buildings and pathways in this part follows the segmentation pattern of agricultural lands. The brick and clay houses are organized serially and the pathway network follows the farming lands boundaries pattern, therefore this part of the city has a checkered pattern. These pathways have a relatively fixed width without any meander. The houses in this part are made of brick and clay and have a central yard but their view is different from that of the houses established around the castle and compared to the fabric around the castle has a rural view with no valuable buildings. The walls are short and the gates are simple without any portal.



Figure 7:

321

Ghasem Abad Caravansary and its position regarding the castle.

Figure 8:

The old structure of Marvast and its main elements.

Figure 9:

The fabric included around castle.


322 Sustainable Development and Planning V 3.3 Fabric framework The framework of the historical fabric of Marvast has the skeleton of the plaindesert villages that is established around a castle named “Nafs-ol-Gharye”. In present situation seven regions including Khajeha, Falahatiha, Arjmandiha, Hosseinieh, Shah Hossini, Haj Ghasem, and Dehghaniha surround the central part of the city as a residential circle with narrow and meandering alleys [6]. Further development of the city has been occurred in an area of about 25 hectares in the last century.

Figure 10:

The present status of historical fabric districts of Marvast.

Figure 11:

The former districts around Marvast Castle.



323

3.4 The central part of city Nafs-ol-Gharye Castle is located on a hill at the center of the city and constitutes the central part of the city. The exact age of the castle is unknown. The castle has a square shape with long crenellated walls and three round towers each in one corner of the castle. In the southwest corner we can see the portal of the castle gate. The gate leads to a porch with a domical ceiling.

Figure 12:

The four surfaces of outside and inside space of Marvast Castle.

The castle is constructed on a hill. The soil of the hill is believed to be handmade. There has been a moat around the castle before the beginning of the present century. The location of the castle is such that it overlooks the whole Marvast plain.

Figure 13:

The plan of Nafsol Ghariye Castle and its constructed position as a border and its defending dam.

3.5 The old bazaar The bazaar complex leads to the area around the castle and is in close relation to the central part of the old city. Bazaar is composed of covered passages WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

324 Sustainable Development and Planning V (penthouses) with the shops in both sides. It is covered with arch and Toveize and each arch has a skylight. There were a reservoir and old bath in bazaar. The old fabric of Marvast has a hierarchical accessibility system for providing convenient access from extra regional to intraregional and dead end locations. The existing pathways around the castle are divided into four groups: first grade pathways (main pathways), second grade pathways (extra regional pathways), third grade pathways (intraregional pathways), and fourth grade pathways (private pathways).

4 The characteristics of landscape in the districts of Marvast historical fabric 4.1 Symmetry and composition Symmetry is a very important feature for the sustainable use of spaces, construction materials, and solar and wind energy. One of the characteristics that is observed in the buildings remained in Marvast old fabric is the existence of symmetry. The most important visual impact of the symmetry is balance and appropriate coordination and composition. When the structural collections are composed together and provide an enclosed space the need for coordination in terms of uniformity appears so a collection of different buildings with different applications can come to existence as a coordinated unit in the form of so-called “fabric”. This enclosure and the coordination of construction materials are very influential in saving solar energy and preventing waste of internal energy. We cannot see any straight passage with a fixed width in the old districts of Marvast. The different width of the passages, recess of the houses, meandering alleys, arches and penthouses, open spaces of Hosseinieh, the entrance space of Shah Hossein Mosque, and the spatial hierarchy for accessibility all together provide a spatial paradox (fig. 14). The connecting spaces such as main roads and semi-square spaces that connect different elements of the city to city center have dynamic and static characteristics. It means that spaces such as squares and crossroads are static but

Figure 14:

Restriction in internal pathway in bazaar.



325

passages and streets are dynamic. In contrast to a semi-square space which is static, a rectangular space has dynamicity in its length (figs. 14 and 18). Enclosing the spaces is known to be the primary dominant principle in designing sustainable urban places so that an attractive urban place cannot be established unless it is properly enclosed. This principle is universal in most of old cities all over the world and the old fabric of Marvast also follows it (fig.14). In old fabric of Marvast where less interventions have been made we can see a complete coordination among the shape and the dimension of elements and color, fabric, and type of construction materials. Also the arches, domes, and false roofs and their regular repetition provided the fabric with coordination, but this coordination is being destroyed due to the destructions and inappropriate renovations. Some non-coordinated constructs and heterogeneous construction materials have damaged the attractive face of the city (fig. 15). The coordination of color and fabric is another factor that provides the possibility of exploiting solar energy in winter and shadow of the constructs in summer.

Figure 15:

Figure 16:

General surface of historical fabric of Marvast.

The Vaghfi house with entrance decorative porch and its Windcatcher.



Figure 17:

Figure 18:

The degrading of roads in historical fabric of Marvast.

The available symmetric picture outside surface of domical building and symmetric picture of old house.

Figure 19:

Repeated domes as sustainable element for urban space.

The houses’ high wind catchers, the long walls of dome-shaped buildings, and the castle established on the hill are the elements helpful in finding directions that is another visual feature embedded in Marvast old fabric [7]. We face completely distinct spaces within the districts. The main pathway, the open area of the district center, and Hosseiniehs are public, alleys are semipublic-semiprivate, and dead end alleys and porches that lead to private areas of residential units are semiprivate-semipublic areas.



Figure 20:

327

Windcatcher helps to ventilate and make proper air flow inside houses.

5 Conclusion The climate, the structure and shape of the land might be the most important factors in the formation of Marvast. Different factors such as geomorphology, water resources and the ways to access them, and continental elements are the factors that have influenced the formation of Marvast. The agriculture-based economical system of the city is the reason of its being surrounded by a circle of urban lands that caused a circle-like shape for the city. The districts of the city and their internal connecting structures follow an organic pattern so that they are arranged around a nucleus in a radial form. The only way for appropriate reconstruction of Marvast is the restoration of its sustainable economy along with repairing the residential and other culturally valuable buildings in a new form. Organizing Marvast fabric requires addressing its fabric-related problems with the minimum interventions. Continuing architectural studies and updating the designs based on the latest studies are also recommended. This fabric contains valuable buildings that their repairing and protecting is dependent on the protection of the fabric around them.

References [1] ShabestanYazd Consulting Engineers, Urban Design of Marvast City, 2004. [2] Geography Organization of Ministry of Defense, Geographical Culture of Villages of Yazd province, 2nd edition, pp. 137-447, 2002. [3] Management and Planning organization, Social-Economic report of Yazd Province, 2002. [4] Bastani Parizi, M., Peyghambar Dozdan, Negah Publications, Tehran, 1985. [5] Afshar, I., Memories of Yazd, Publications of Cultural Works, 2nd edition, Tehran, p. 323, 1995. [6] Hosseini Musa, Z., Shahrbabak, The Turquoise Land, Publications Center for Kerman Recognition, p. 134, 2003. [7] Mangeli, Ma., Reconstruction of Marvast Domical Building (Chapter of historical studies), Thesis of Master’s Degree Course, Islamic Azad University, Tehran Central Branch, 2007.




329

Evaluation of the conservation activities in the historical settlement Tenedos-Bozcaada Island F. Akpınar, N. Saygın & E. Karakaya City and Regional Planning Faculty of Architecture, Izmir Institute of Technology, Turkey

Abstract The efforts for the conservation of cultural heritage in historical settlements are a highly problematic and multi-faceted issue in Turkey. Although the conservation legislation dates back 50 years, the cultural heritage has not been internalized and not accepted in wider parts of the society and, has not found a solid political base. The historical and cultural heritage areas are mostly marketed for tourism and turned into places as the simulacrum of the elitist and middle class tastes. Tenedos (Bozcaada) Island inherits the rich cultural heritage of two millennia.The Island is in danger of losing its social, cultural and multi-ethnical characteristic where Turkish and Greek societies live harmoniously. The architectural, economic and ecological values are also in danger because of the rise of touristic activities and the construction of vacation homes as well as the State’s withdrawal to provide subsidy to the agricultural sector that took place after the 1980s in parallel with the general economic policies adopting global economic restructuring. The objective of the paper is to highlight the multidimensional character of the social and spatial process which is enmeshed in the conservation activities of the Island. The values and norms, social, economic considerations in the conservation activities need a new approach and, without existence of a common will and a wider participation of the society it is hard to expect any success in the conservation of the rich cultural values, and to assess, develop and carry them into the future. A bundle of techniques are used: a large survey analysis of the area is realized and its social, historical and physical characteristics are documented. Questionnaires, in-depth interviews are used in order to detect the difficulties for conservation of the heritage in part of the responsible public bodies. The public and tourism sector opinions, thoughts and aspirations are surveyed. Even though, WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110281

330 Sustainable Development and Planning V the preservation of Tenedos Island’s cultural heritage appears to be a difficult challenge, there seems to be some positive clues for the future. Keywords: cultural heritage, conservation planning, spatial strategic planning, identity, participation and sustainability.

1

Introduction

Turkey has been going through a rapid transformation of urbanization, metropolitanization, coastalisation period while facing the challenges of globalization and integration into the global markets. This multi-dimensional makeup has complicated the protection of natural and historical resources and lead to some irreversible destruction of the cultural assets and heritage. The changes in the public lifestyle, the fancy for different taste and the changes in vacation concept, have vastly transformed the coastal areas with rich history and cultural wealth, into resort towns, attracting tourism sector investors and many vacationers while losing their authentic nature and structure. We, as the planners, would like to concentrate on managing and regulating this transformation in an active fashion, instead of opposing it. In this study, main intention is to reveal the economic, social, legal, administrative and spatial implications of Bozcaada’s multi-dimensional and complicated conservation challenge, and to demonstrate a strategic framework for managing the Island’s transformation. A mixed research approach of quantitative and qualitative study is held on bringing together the Island’s changing- recessive agricultural and manufacturing sector, the newly developing service sector (tourism), the administrative branches that regulate and manage the transformation and the public sector and conservation groups. The purpose of the study is to present the conservation profile of Bozcaada, discuss the Island’s local context in relation with the country’s urban conservation context. The definition of the challenge dictates identification of the attributes of the solution. The following four areas come forward: (1) Identity and evaluation of the inhabitants (2) Social cohesion (3) Legal-administrative shortcomings and offerings, (4) Economic sustainability.

2

Brief curricula of Tenedos-Bozcaada Island

Tenedos-Bozcaada Island is located on the Northwestern Aegean coast, 12 nautical miles from the Dardanelle (Çanakkale) Straits (Hellespont), just west of the coastline of ancient city of Troy (Map 1). The Island is a town (ilçe) by itself and also has an elected local administration (municipality). Tenedos is one of the two islands in the Northern Agean Sea, the other one, Imbros which is 17 nautical miles away. The Island is of part of Çanakkale Province in Turkey. Though Tenedos is a small island encompassing an area of 37.6 sq. km., it is the third biggest island of the nation after Imbros (Gökçeada) and Marmara, in the Marmara Sea. The Island is four nautical miles away from the main land, and in Geyikli Port, the ferryboats travel between the Island and the mainland. The largest settlement area is located in the northeastern part of the Island. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


331

MAP I

Map 1. In Turkish, Bozcaada translates to ‘Barren Island’, due to the fact that the Island has been characterized largely as dry land with limited resources for exploitation. In the past, the economy of the Island has been mainly fishing and maritime commerce [1]. Until the end of the Classical Antiquity, the Island acted as a base port or shelter for the ships of modest sizes before they made their way into the Sea of Marmara. This strategically important small island was also exploited for agrarian purposes and viniculture has been one of the most important features of the Island’s rural economy for centuries. Bozcaada’s population according to the last census records is 2354 people (year 2010), however in summer time, it exceeds 8000 people.

3

Brief history of the Tenedos-Bozcaada

In Homer’s Iliad and the Odysseia, there are references to the Island’s importance [2], where the Island’s inlets and bays provided protection for the Hellenistic Army during the Trojan War. In his saga, Aeneid (II. 30, II. 135), written in 1 B.C., the Roman writer, Vergilius talks about events after the collapse of Troy and writes about Aeneas surviving the Trojan war and his arrival to Italy and his adventure of founding Rome: “There is an island across from the mainland. It is the island of legendary Tenedos. During the kingdom of Priamos, the islanders lived in wealth WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

332 Sustainable Development and Planning V and comfort but now, it is empty and the harbour is not efficient even to drop an anchor. The Greeks came and hid here.” [2]. (translation belongs the authors). During the period, after 133 B.C. with the increasing influence of Roman Empire in Anatolia, Tenedos went through political development. The construction of an artificial harbour at Alexandreia Troas, which took over as the control of the world trade route, at the mouth of the Dardanelle Strait might have been a negative factor that subsequently resulted in the decline of the social and economic life in Tenedos in the Roman Era and Late Antiquity [1]. At the end of Classical Antiquity, mainly in 6 B.C., Tenedos harbour regained its importance, especially after the port on the mainland lost its effectivity due to geomorphological changes. Due to its strategic location to the Dardanelles Strait, the Tenedos Harbour played an active role for the East Roman Empire trade. Tenedos was very important for the Ottomans due to the strategic location on the mouth of the Dardanelle Strait. The climactic moment came in 1453, when the last Byzantine emperor, Constantine XI, perished in battle, leaving the sultan Mehmet II, the Conqueror (Fatih), as the master of a multinational empire and İstanbul was in the hand of Ottomans. The Island was conquered by the Sultan Mehmet II, in 1455 after the conquest of the İstanbul. The very first major accomplishment of Fatih Sultan Mehmet was to rebuild the Island’s fort. And many Ottoman structures such as mosques, medressehs, fountains and hamams were built by the Ottoman sultans. In the Ottoman times, Bozcaada was governed by a castellan and a kadi, and at the end of the nineteenth century, a governorship was constituted in the Island, adhered to the Starboard of the Lesbos Island which was a part of the ‘Island of Mediterranean’ (a Province named as Cezair-i Bahr-i Sefid) State of the Otoman Empire [3]. During the Balkan Wars, the Island was invaded by the Greek Navy and came under the Greek control. When the Turkish War of Independence ended with the Greeks’ defeat in Anatolia, the Western World agreed to the new Turkish Republic, in 1923 by the Treaty of Lausanne which made Bozcaada and Gökçeada part of Turkish Republic, and exempt them from the population exchange that took place between Greece and Turkey. The Greek inhabitants of the two islands were allowed to stay and keep their school and churches. Over the years, many Greek families have left and only few families at present live in the Island (approximately 20 people).

4

Physical structure of Bozcaada

The built up area of Bozcaada, which is the urban conservation site is located on the northeastern part of the Island, at the skirts of the castle, where the slopes surrounding the settlement reaches the sea in a valley form (Map 2). The main axis, Çınarçarşı Caddesi divides the settlement into two, where the Alaybey Neighborhood is located on the south, whereas Cumhuriyet Neighborhod is located to the north. Historically the Turkish citizens has resided at the Alaybey Neigborhood, known as Turkish District and the Greek citizens reside at the Cumhuriyet Neigborhood, known as Greek District in the daily speech. The WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


333

traditional fabric from the 19th century of Bozcaada presents typical architectural features of Western Anatolia. The religous structures are scattered around the two neighborhoods; the Alaybey Mosque (registered as monument), in it’s courtyard there is a historic cemetery from the Ottoman Era, Köprülü Mehmet Pahsa Mosque (registered as monument), the Namazgah Fountain, hamams etc., are found in Alaybey (Turkish) district, and the others, a Church Virgin Mary (the belfry of the church, which is of 23.8 m height, was restored in 2006), a chapel is located in Cumhuriyet (Greek district).

MAP II

Map 2. There was a destructive fire in the Cumhuriyet district which burned up nearly the entire neighborhood in 1874. The neighborhood was reconstructed with a grid-iron plan following the fire [4]. The streetscapes in the Turkish side are composed of very organic and intrinsic quality. The traditional buildings are made of masonry and timber frame structures. There are slight differences in architectural styles between the Turkish and Greek neighborhoods. The Greek Houses have basements where the kitchen, bathroom and laundry are located. The windows are high and wide with shutters. Upper floors are made of timber, with high windows and balconies, different from the Turkish houses. Many houses have extensions with high walls called anexes (mağaza) used for vine production and storage for winter supplies [5]. In the Turkish Neighborhood, the basement is of higher floors with narrow window openings, which are used for storage and gizzard. In the houses there are closets, a small bathing area, gusülhane (a small niche suitable for bathing in the traditional housing), and timber ceilings. In the countryside the vineyard houses are located to meet the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

334 Sustainable Development and Planning V needs of the agricultural production. The rooms are composed of kitchen and barn. The two story houses are called ‘tower (kule), and one story is called dam type. Except for the renovated buildings apt to it’s original function, some of the vineyard houses are used for vacation homes.

5

Conservation planning efforts

In Turkey, the first enactments for preservation appeared in the 19th century with regulations concerning old monuments. In the modern times, the 1973 Law on Old Monuments was preceded by the 1983, Law on the Conservation of Cultural and Natural Beings (Law of no. 2863). The law provoked the development of a substantial legislation further supported by National Parks and Environment, and international charters further enlarged the content of conservation [6]. The first planning efforts of Bozcaada were done by the Urban Planning Department of Bank of Provinces (İller Bankası) and approved by the Supreme Council of Immobile Historical Assests [4]. With this plan, the entire island was designated as “natural conservation site”, traditional urban fabric was preserved and a limited area was designated for new development. The second Conservation Plan of Bozcaada was developed again by the Urban Planning Department of İller Bankası in 1994. A new effort for conservation plan has been started as the result of the decision to end this plan and a new conservation plan needs to be developed by the Çanakkale Regional Conservation Council. The financial resource for the planning efforts is provided by the ‘Contribution Fund for Conservation of the Immobile Cultural Assets of the Immobile Cultural Assets’, (law 2863, article 12) from the İl Özel İdaresi (Province’s Special Administration) and Bozcaada Municipality provided a start to process of the Conservation Plan development. The new planning is expected to come into effect soon. The public authority have made the decision that the Island was under conservation and by doing this, the island was prevented from the massive construction of vacation homes flourished in the coastline of the Nation. However, there is controversy that, although the the necropol area and its surroundings, are designated ‘First degree Archeological Site’, as one can see easily in the Map 2, that the public houses have been built for the state officials within the immediate surroundings of necropol area. The size and architectural features of the buildings do not fit the traditional fabric; in addition they have a damaging effect of the unique silhoutte of the Island. In the dwelling area of the Island, there are nine registered monumental structures (including historical mosques, church, fountains, cemeteries and Bozcaada Castle), and 134 registered civil architectural buildings can be found.

6

Tenedos-Bozcaada: identity and visioning of the settlement

In the academic circle, the rapid urbanization and construction that have taken place in the country very rapidly and most of the time illegally, creating very similar, uniform settlements, cities without an identity, is one of the mainly discussed and agreed topics. It is hard to say that the protection of the rich WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


335

historical culture and making it available for the future generations is well executed. Cultural heritage in the Turkish context is not simply for public good, but it is often a base for conflict. When, one talks about the identity of a settlement or a living environment, it should be understood that the residents of those cities or environment refer to the intrinsic qualities that they think the city possesses, a kind of idealization constituted around the shared values, or a bulk of objectives [7]. This kind of evaluation bears some potential to project the future around an ideal at the societal level. A construction of identity around a common will makes it societal instead individualistic. This kind of projection bears different thinking and assessments, with this respect it is intersubjective citizens can make sacrifice as long as they ascribe values to their living environment. The elements that constitute a settlement’s identity are not limited solely to physical environment or natural environment. Experiences, memories, social relations transferred by generation to the new comers, as well as private memory walks and personal retreats, should be taken into consideration as identity elements. The identity elements are constituted in time. However it is not static; it has been subject to change in history and will be a subject to change in the future. “How the identity will be constructed” process or how it will be get into touch within the planning-design process, is vital, especially in the “cultural heritage” issue. In this part of the study, in-depth interviews were done with the Islanders and Statesmen of different administrative institutions. There is somehow integral integrity by looking at the definitions of the Islanders. Almost all the participants in this study stressed the importance of the viticulture for the Island. The question “what are the main components which give the Island its intrinsic quality” has been answered by the majority as the “vineyards”. Island’s wines, its high quality grapes, are the complimentary attributes which creates a coherent unity for the Islanders. The sea, the shoreline and how the wind manipulates the rhythm of the daily life are the qualities mentioned so oftenly. The streetscapes, its vernacular architecture, mosques, church and mostly demolished windmills give the character to the intrinsic siluettes of the Island on approach from the mainland. Another point that draws attention is that people from different ethnic groups and religions living together in peace. The identity elements that set aside Bozcaada from other settlements are rooted on the social life and culture of Turkish-Greek societies and togetherness.The culture of two different societies living together must have played a role as some respondents point out that there are single women from all ages who live in the Island feel very comfortable and safe, and foreigners who settled here feel at home and not as foreigners. The responses to the question of “How would you like to see the Island in the future?” are grouped in two categories: (1) It is emphasized that the Island with well-preserved natural and cultural features, a “unique” island in the world, or an island as a “model”. (2) Responses of mostly the Islanders who were born there “As it was in my childhood”, “Together with the people whom we used to live with” and a wish to preserve the society of two different cultureswhich are unique to this Island. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


7

Social cohesion

In the data set, we have information of the 40 households and 120 people. The questionnaires were distributed on March 21-29, 2011 and the sampling is five (5) per cent of the census population of Bozcaada. To cover all the settlement area, all the questionnaires were taken from almost every street and houses were chosen randomly. The two areas are of importance for the social cohesion: (1) welfare indicators (education, employment, housing), (2) Ethnicity, immigration, and belonging. The data set contains the information of the 120 persons. The average size of the household is 3 (three). Education as the basic component of the cultural capital and high level of education can be taken as the fundamental in the integration of the social and economic sphere. In this vein, the level of education is quite high in Bozcaada that 40 per cent of the population have high school and university degree. 53 per cent of the population work actively and wage earner is quite high whereas working for the family is the highest, which has to be interpreted with the type of the production (Table 1). Income distribution has shown that lowest income quintile is higher, a 28.6 per cent (Table 2). With the lowest and second lowest income quintiles, a 39 per cent of population have lower income, however, midincome, fourt and top income quintiles in total have reached a 61 per cent. The top income group is 4.4 times more than lowest income group. The income distribution has shown slightly an equal distribution among the quintiles and more than the absolute average households’ income is high in Bozcaada. This is due to the mix-economy and availability of job in the Island. The data obtained from the Governership (kaymakamlık) of Bozcaada shows that there is fairly low level of poverty in Bozcaada as compare the rest of the nation. The demand for obtaining health coverage under the state’s provision for the poor people (green card) is very low in the Island. For the winter time, the number of demand for charcoal is hardly for 60 people. The place of origin reveals that more than half of the population was born in Bozcaada (54.6 per cent) whereas some of the population was born in the town (Bayramiç) in vicinity of the Island (28.6 per cent) (Table 2). The birth place of the population from the metropolitan urban center and Istanbul is quite high (4.2 and 5.9 per cent) and indicates the level of urbanization in the Island. Table 1:

Socio-economic structure (1).

Count

No school completed Primary Sch. Secondary schooling High school

Count

Count

12

% 10.4 Wage earner

18

% 28.6 Child rearing

7

%

20.6

43

3

%

4.8

Retired

6

%

17.6

2

%

3.2

Housewife

6

%

17.6

29

% 37.4 Causal earner Self % 8.7 employed % 25.2 *U.F.W

University

19

% 16.5

High degree Total

2 115

%

10

1.7 0

39

% 61.9

Apprentice

1

%

Total

63

% 100

1.6

Seeking job Not wanting to work Elder Total

*U.F.W, unremunerated family workers.


1

%

2.9

3

%

8.8

11 34

%

32.4 100


Table 2: Income Quintiles (20 %) Count Percent Lowest 8 28.6 2. lowest 3 10.7 Mid 6 21.4 Fourth 6 21.4 Top 5 17.9 Total

28

100

337

Socio-economic structure (2). Places of Birth Count Bozcaada 65 Istanbul 7 Metropolitan city** 5 City 7 T.A.M.R* 34 Abroad 1 Total 119

Percent 54.6 5.9 4.2 5.9 28.6 0.8 100

Ownership status of the House Count Percent Tenant 11 27.5 Tenure 26 65 Not paid 3 7.5 (belongs to the family) Total

40

100

*Town in Aegean-Marmara Region./ ** A city, which has a population more than a million is taken as the metropoliten city.

For the information about the ethnicity, the mother tongue is taken and 87.5 per cent of the population is Turkish and 7.5 per cent Greek, and 5 per cent another ethnicity. The absolute majority of the population feel him/herself as part of Bozcaada and there is almost no sign of exclusion or relion xenophopia against other relions or ethinicty in the Island in general (Table 3). The information provided by the respondents reveals that there is slightly coherent and peaceful community life in the Island. However, underneath the questionnairies, though not heavily, there is continued existence of frictions between different groups. The Islanders are the groups of many different background and places. The first is the native Islanders, who have been living in Bozcaada for generations, the second, the Istanbulites who are mainly the owner of the hotels as well as an intellectual group who discovered the island when the transportation was underdeveloped and the travel to the Island was hard, and lived on the Island long enough to consider themselves as the Islanders. The last group are the workers who come mainly from the mainland in the vicinity of town of Bayramiç, who work hard and do almost all kinds of labour and the most despised among the entire group. Table 3:

Inclusion, exclusion and belonging.

I

II

Agreed partially Strongly disagree

2 38

% 5.0 95.0

Total

40

100

Agreed partially Disagreed Strongly disagreed Total

III 2 1 37 40

% 5.0 2.5 92.5 100

Yes No

27 6

% 81.8 18.2

Total

33

100

I I cannot accept being neighborly with someone out of my religion, II I cannot make shopping from someone out of my religion. III I feel myself belonging to Bozcaada

8

Legal and administrative structure

Bozcaada’s municipality does not have sufficient number of technical staff (an architect and a map tecnician) and expertise to handle all those excessive public work and heritage issues. The main complaints in part of the municipality can be summarised as; (1) the bureaucracy and all kinds of paperworks are extremely painfull, exhausting and time consuming; (2) The plan’s decisions, or local demand sometimes contradict with the Çanakkale Regional Conservation Committee’s decisions or remarks; (3) The committee holds a meeting once a year and it is not sufficient to solve the deep problems of the Island. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

338 Sustainable Development and Planning V Since the conservation is part of the public domain, tax exemption is provided for the property owners whose property has been declared of historical value and the contribution margin for the individual users and for the municipalities who administer conservation areas has been increased and diversified New ways of exchanging the privately owned historical property with government owned nonhistorical property have been introduced. However, this study has shown limited benefits of the new regulations and organizations. In the interviews, the municipality officials have not shown substantial individual effort to tap into the Ministry of Tourism and Culture’s “Contribution to Conservation Fund”. Another handicap is the prolonged delay for the payment of the funds, since the Ministry withholds the payments until the conservation project is established or after the project is completed. This process, with the added layer of painful bureaucracy, usually discourages lower-income or mid-low-income groups enabling only the groups with sustainable financial reserve to follow through. Public administration is aware of foreign funds and the District Governor together with Municipality has exploited the European Union Fund for constructing a kindergarten to support preschool education. For the international cooperation the municipality has created a friendship link with two European cities, Valu Lui Traian in Romania and Gols in Austrias. Despite all the negative points, it would be unfair to ignore that the institutional structuration of the legal and administrative capacity has reached some maturity, such as the Regional Conservation Committee which now operates country wide and KUDEP (Conservation, Implementation and Supervision Bureu) which operates under the direction of town municipalitiesgovernorship and provides support to the local conservation departments and targets to increase the productivity of the conservation efforts. The study area of regional conservation committee encompasses world famous antique towns (Troia), and historical areas that witnessed the country’s painful war towards the independence leading to the founding of the Turkish Republic (Çanakkale-Gallipoli War). The committee’s personel and equipments are limited and not adequate handling this vast area’s needs. In the committee’s jurisdiction, there are 425 different sites in total and they have just three archaeologists, two urban planners, one architect and one map engineer. The work is hard and bureaucracy slows down the process enormously. The technical personnel within the town municipality and within the conservation establishments need to be educated and their numbers should be increased to meet the work load.

9

Economic sustainability: viticulture and wine production

The Island appears to have enjoyed its most prosperous times from the late Archaic to the end of the Hellenistic period. It was during this prosperious period that Tenedos mints its coin depicting bunch of grapes as well as wine-related artifacts such as kantharoi and amphorae [1, 8]. Since the Archaic times, the viticulture and winemaking has been the Island’s main cultural trait more than being the economic activity. The vineyards occupy one third of the Island WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


339

(1185 ha) and 80% of the agricultural land (1478 ha). Out of total 5 million vine stock, 1600 tons of grapes for table consumption and 3900 tons of grapes for wine making are cultivated. There are wine grapes unique to Bozcaada like Karasakız (Kuntra), Altınbaş (Vasilaki) and Karalahna. During the latest years, there has been a move towards growing wine grapes to make French style wines, mainly Cabernet Sauvignon, Shordone, Merlot and Gamei [5]. In the Island, until the 1925s, the wine production was in the hands of the Greek population. After the Island became part of the Turkish Republic, the Greeks who stayed, taught the Turks wine making [9]. After the 1956, better use of machinery made it possible for more wine production and the Island’s wine economy started growing. The same year, The Bozcaada Wine Making Inc. was established. Between the years of 1960-1980, there were small and big 13 wine production plants. In 1980s, the wine production stalled and many production plants went out of business. The main reason for the decline in viticulture was the high ratio of taxes which had caused many businesses to go bankrupt [9]. After 2001, the taxes have been brought down to 48 per cent. Also, in 1998, the State offered support to the Island’s biggest three producers and modernized the equipment and machinery which resulted in better quality wine production. With the introduction of new grape varieties, the Island’s wine production seems to have improved in recent years. The Island’s producers opened up their own wine bars in 1999. Currently, there are five wine producers and two more will come in the near future. The Agricultural Development Cooperative established in 1974, has 397 members directly working with the wine industry. However, even though there are some improvements, wine producers still have a lot of hardship and they complained about the lessening State support and losing the vineyards to development. Since the profit margin is low, some of the producers sold their lands to be used as vacation home sites. The information that I received from the Bozcaada Province Department of Agriculture supports the decline in vineyards (Table 4). The building permits for small capacity housing in vineyards approved by the Regional Conservation Committe posses a big danger for the Island’s wine production. Most of the owners of these houses do not take care of the vines or simply they convert the gardens for other use. These so-called authentic houses are used only for few months during summer and most are fenced in with concerete walls which do not fit the Island’s landscaping. Other factors that contribute to the decline seem to be the lack of adequate State subsidy, increasing cost of fuel, fertilizers and especially the recently increased Special Consumption Tax. Against all odds, the Islanders have been fighting to keep the viticulture alive as part of the Island’s lifestyle Table 4:

Statistics of the agricultural sector.

Years

No. of farmers No. of Cultivation Areas (viticulture) Fishermen (ha.) 210 35 1800 1980 367 52 1100 1990 367 40 1100 2000 397 29 1200 2010 Source: Bozcaada Province Department of Agriculture (Bozcaada Kaymakamlığı).


Annual product (tons) 4500 2000 3400 5000

340 Sustainable Development and Planning V and culture. The increasing interest in wine culture across the country is an encouraging sign. Many of the Island’s wine producers have been actively searching for international markets since the State taxes are still very high.

10 Tourism The establishment of a regular ferry boat service from the mainland in 1996, has led to an increase in Island’s tourism and to accomodate the increased number of visitors, new motels, guest houses and restaurants opened up. Today, the tourism plays an active role in Island’s economy. The natural beauty of its bays, and coastal line, clean beaches and the lifestyle attract many tourists to the Island. However, among all, one of the main factors that increased the touristic activities is the Island’s vineyards and wines [10]. According to the data from ‘Bozcaada Tourism Office’ (BOZTID), the Island has the capacity of 2500 beds and 118 registered contractors’ currently function in the tourism sector. There are also guest houses run by families which can provide up to 1000 bed capacity. There has been also an increase in the numbers of foreign visitors. This may be due to the fact that the Conde Nast travel magazine’s Reader Choice Awards honored Bozcaada as the second most beautiful island in the world [11]. The Island’s climate and the temperature of the sea water allow a shorter summer tourism season compared to the other touristic areas of in the country. The best months to visit for enjoying the sea and sun are June, July and August. The Island’s population go up in parallel to the touristic activities [12]. This seasonal increase brings its challenges. There is limited parking in the Island but the increasing number of cars coming in, cause long traffic jams along with the noise and dust. The 4-5 hours of waiting at the ferry station has been somewhat reduced due to new reservation system. The Island’s underground resources are very limited and the water capacity is naturally low [12]. Most of the water to the Island is provided from Çanakkale via an undersea pipeline. The tourism officials stated that currently most of the touristic activities in the Island are handled without a long term plan, rather by concentrating on shortterm profit. The natural attraction that lure the visitors in, seem to be in dire danger of being spoiled. The increasing number of hotels and motels seem to be damaging the authentic nature of the Island but attracting more visitors. The officials also stated the fact that they have been having hard time finding qualified employees who are trained for tourism sector [13]. Since most of the Island is under protection plan, there are no permits for new development and this brings problem of finding rentals for the workers. About 75% of the touristic facilities are run by the Islanders and the guest houses are operated wholly by the families who live in the Island. Our conversations with the tourism officials also revealed different views for the future of Island’s tourism. We discovered that there is a trend to target the upscale visitors with money. There seems to be less support for short-staying tourists and tour busses that bring in the daily visitors [13]. However, some of the Island’s big hotel operators seem to equate the high quality with high priced and they seem to be in an effort to frame Bozcaada within their liking and standards. Instead of advertising for the Island’s cultural WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


341

heritage and natural quality, they seem to take the easy route of advertising the Island as the new rising star. There has been on-going debate about the danger of this type advertisement and the fear that Bozcaada may one day become one of the many touristic places who have lost their popularity. The debates reveal that so far there has not been a consensus on how to attact the issue.

11 Fishing Bozcaada lies on one of the major fish migration route; therefore, fishing is a vital part of the Island’s economy. During the migration season, many boats, small and big, arrive at the Island for fishing. The Island is also rich with year round seafood. The local fishing is mainly done in small scale. Currently 48 fishing boats and 120 professional fishermen are registered with the port authority. In the interview with the district governor (Kaymakam), it was told that the fishing industry has been lagging behind the viticulture and the tourism and there has been a decline in the numbers of fishermen. The declining fish population during the recent years seems to have increased the stress on the fishing sector. One good thing is that increasing tourism activity in the Island seems to be creating a demand for the locally caught seafood, especially for the Island’s famous calamari and sea urchin.

12 Conclusion A new planning rhetoric, an integrated conservation approach, where the identity of the urban areas is taken into consideration and where the actors that shape the urban space and affected by being shaped, are included in the decision making process is needed. A conservation planning for the future of Bozcaada Island must be developed by the participatory practices drawn in line with the decisions made locally, and it must be continuously re-arranged around the mechanism to manage the process, rather than being a control instrument of the central administration. This study reveals that, in Bozcaada, different groups, which are of different interests and expectations, fight for the material resources and societal meaning. This struggle has to be comprehended as understanding of each other, making compromises, persuasion, withdrawal, as part of the relentless process for producing creative new ideas around a common ideal, leading to new solutions in the protection of cultural heritage, and making it available for the future generation. The issues must be put forward by trying to understand the dynamics that create the conflict and tension after the identification of targets leading up to grounding the “long-term benefit” and the vision shared by the majority. The short-term arrangements will undoubtedly be decided by the economic concerns. If the main preoccupation is to create a ‘benefit’ for all that goes beyond the instant economic return, a kind of new mechanism that ‘thinks for itself’ may be an option. This new mechanism has to be constituted in a horizontal fashion in which all the bodies, organizations, agencies with different responsibilities and functions come together.


342 Sustainable Development and Planning V In the limited scope of this study I detected a desire in the Islanders to take the responsibility for their own affairs through increased local involvement of the community voluntarily. The newly constituted ‘street talks’, the affairs to publish a local ‘newspaper’ and constant discussions about their local problems, and the future of the Island both in terms of tourism, viticulture and wine production, the existence of high awareness and public interest by the officals and civil society organisations are evidences. They are aware of the interdependence of the each sector to another, and that the problem in one sector is deeply affected the other. The tourism sector is aware of the fact that the overuse of the resources and the deterioriation of the landscape will negatively affect their standing in the long run. The end of viticulture will cut off the essence of the place. For the viniculture and wine production, the Islanders easily understand that the existence of tourism creates a new opportunity, a mix economy for the Island. Tourism is very attractive for the young generation who generally are not willing to stay in the Island long. For those, who are occupied in the agricultural sector that the existence of tourism can create a kind of demand and a consciousness about their products. The promotion of the Island’s outstanding history and cultural heritage will open new opportunities; create a kind of global partnership and appreciation even at the world level.

References [1] Takaoğlu, T. & Bamyacı, A. O., Continuity and Change in Rural Land Use on Tenedos/Bozcaada. Ethnoarchaeological Investigations in Rural Anatolia, ed. T. Takaoğlu, Istanbul: Ege Yayınevi, pp. 115-137, 2005. [2] Bamyacı, A. O., Antik Dönem Denizciliğinde Tenedos/Bozcaada: Kıyısal Kullanım ve Ticaret (Tenedos/ Bozcaada, Maritime in the Antiquity: Coastal use and commerce), unpublished Msc thesis, Onsekiz Mart Üniversitesi Sosyal Bilimler Enstitüsü Arkeoloji Anabilim Dalı, Çanakkale, pp. 171, 2006. [3] Orhonlu, C., Bozcaada’da Türk Eserleri ve Kitabeleri (Turkish Achievement and Inscription in Bozcaada), Türk Kültürü, 86, pp.139-149, 1969. [4] İller Bankası İmar Planlama Daire Başkanlığı (Bank of Provinces, Urban Planning Department, Bozcaada- Çanakkale, a Planning Report of the Conservation Plan of Bozcaada), 1992 [5] TC. Bozcaada Kaymakamlığı (Turkish Republic of Governership of Bozcaada) Web Site, Bozcaada-Çanakkale, www.bozcaada.gov.tr [6] Mardan, E. Taşınmaz Kültür ve Tabiat Varlıklarını Koruma Mevzuatının Gelişimi ve Yargısal Denetim (Evolution of the Legal Aspects of the Immobile Cultural and Natural Properties and Juristic Control), Mekân Planlama ve Yargı Denetimi, eds: M. Ersoy & H.Ç.Keskinok, Yargı Yayınevi, Ankara, pp. 156-199, 2000. [7] Tekeli, İ., Bir Kentin Kimliği Üzerine Düşünceler (Opions on the Identity of a City), Kent Planlaması Konuşmaları, T.M.M.O.B publishing, Ankara, pp. 79-88, 1991. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


343

[8] Takaoğlu, T. & Bamyacı, A. O., Antik Çağda Bozcaada (Tenedos) (Tenedos- Bozcaada in the Antiquity), Çanakkale İli Değerleri Sempozyumu (Symposium on the Assets of Çanakkale Provinces), Çanakkale Onsekiz Mart Üniversitesi, pp. 71-82, 2008. [9] Durmuş, H., Bozcaada’nın Sosyoekonomik Yapısı ve Kültürü, unpublished Msc Thesis, Osmangazi Üniversitesi, Sosyal Bilimler Enstitüsü, pp. 202, 2006. [10] Ayhan Kaptan, Ç., Özgün Peyzaj Karakteristiklerine Sahip Mekanlara Yönelik Bir Peyzaj Planlama Yönteminin Ortaya Konulması Bozcaada Örneği (Developing A Landscape Planning Approach For The Areas Having Unique Landscape Characteristic: The Case of Bozcaada), unpublished Phd. Thesis, Ege Üniversitesi Fen Bilimleri Enstitüsü, pp. 159, 2007 [11] Condé Nast Traveler: 2010 Readers’ Choice Awards, http:// www.concierge.com/tools/travelawards/readerschoice/islands [12] Kaptan Ayhan, Ç., Bozcaada’da Turizm Hareketlerinin Gelişimine Yerel Halkın Yaklaşımı Üzerine Bir Araştırma (The Approach of the Local Residents Towards the Developent of the Tourism Activities in Bozcaada), An Investigation Çanakkale İli Değerleri Sempozyumu (Symposium on the Assets of Çanakkale Provinces), Çanakkale Onsekiz Mart Üniversitesi, pp.17-23, 2008. [13] Adaposta, Local Newspaper, Nisan-Ekim 2009, http://www.adaposta.com/ Index.php/ [14] Özgönül, N. Alaçatı’da Yaşam (A life in Alaçatı), Ege Mimarlık, pp. 18-25, Ocak (January) 2010.




345

Literary tourism as a promoter of cultural heritage L. Ghetau & L. V. Esanu Faculty of Geography and Geology, Iasi University, Romania

Abstract In the recent past, Government interest toward conserving and promoting Romanian cultural heritage has visibly increased. National authorities are trying to uphold it as a single entity through different measures like cultural events and touristic activities. The drawback to this otherwise positive course of action is that this process cannot oversee or offer an efficient degree of protection and an even exposure to all types of cultural objectives. None the less, promoting cultural heritage holds top priority, but at the same time it is equally important that there are no hasty measures taken and an appropriate exposure of all its facets is granted. A more fitting solution for accomplishing the task at hand would be to first divide Romania’s cultural objectives in distinct groups, in this case literature, and attach a suitable form of tourism dedicated to its requirements. In order to meet these terms a series of conditions must be taken into consideration. Literature’s relationship with tourism has already been consecrated through Literary Tourism, but this marriage of worlds has yet to be described from a geographical perspective. In order to validate this point of view Romania’s literary icons have been brought up because of their crucial role in shaping the country’s image and people. This study would be responsible of drawing attention to a new form of tourism for Romania; one which focuses on promoting aspects and personalities form the literary world. Working with specialised forms of tourism represents a mature and efficient approach toward the sustainable promotion of a destination’s cultural heritage. Keywords: cultural heritage, literary icons, tourism, conservation, sustainability.



1 Introduction Writing and travel have represented one of the greatest hobbies of civilized man, the two playing an important role in shaping and defining ones intellect by first broadening his horizon of the World. Even though their original purpose has not yet been fully elucidated, somewhere along the way, literature and travel have common purposes; both answering man’s need to escape the daily routine of life. It is impossible for one who discovers literature or travel not to come across the other at some point in his journey. Through free will and most of all through imagination the two were joined together forming what is known today as literary tourism. A fusion of two worlds, seemingly so far apart but at the same time so close to each other, acting as an extension of man’s understating process regarding not only himself but also what surrounds him. Literary tourism originated in the United Kingdom making its presence felt around the second part of the eighteenth century and well into the early beginning of the nineteenth century when it started to be seen as a very popular form of travel for the youth of that time. Throughout time the phenomenon spread quite rapidly to other parts of Europe and even to Russia and the United States of America capturing the attention not only of enthusiast readers of all ages, but also of the academic world. Scholars like Stephen Coan, Mike Robinson, Randy Malamud or Nicola J. Watson all rose to the challenge and over time elaborated numerous scientific articles and books regarding the importance or validity of literary tourism. And as with any other phenomenon that increases its popularity it started to attract both positive and negative feedback, some considering it to be the next step in the bonding process between a reader and the author’s work while critics look at this form of travel as being a cheap appropriation. Although the opinions regarding literary tourism’s utility are divided, one quality must not be overlooked; it’s potential for conservation and proper promotion of literary icons along with their associated destinations, aspects which overlap with the main task of the current paper. Literature is a form of spiritual travel, while tourism is the ink with which it is written. Using a geographical point of view the body text shall contain several chapters dedicated to properly placing this form of travel within the general context of the touristic phenomenon and to demonstrate its utility in the conservation process of a destination’s cultural heritage by introducing it to a location which shows affinity toward literary tourism. For this study the earlier mentioned perspective is crucial because until this moment the subject of literary tourism has been discussed mainly from a sociological, literary or economic angle leaving aside the factor of spatiality. Not taking into consideration the final factor leaves this form of travel suspended to some degree, because without a proper understanding of its spatial WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


347

patterns its purpose is only half uncovered. In the present situation geography does not act as another individual element brought into discussion, but rather as a bonding agent. One author, Stephen Coan, raises the subject of literature’s spatial dimension and how it can influence tourism, in his book ‘Read book, will travel’, but the subject is not appropriately addressed from beginning to end lacking a geographer’s perspective. Another problem, but at a general level, regards the perception of literary tourism as two separate components in a relation where one influences the other, thus steering attention away from the more pressing issue of conserving cultural heritage. The joining of two or more terms does not always create a situation where one rises above the rest. Literary tourism represents an exception where its origins complement each other, even though the name that defines this activity is composed. This apparently odd match of words represents their affiliation to the unconventional touristic practices, a frequent characteristic among alternative forms of travel.

2 Theoretical framework The purpose of an alternative form of travel is mainly to serve as an answer to the specific conservational needs of a particular category of objective that can be found within the ensemble of a destination’s cultural heritage, representing an active instrument in any plan for sustainable development strategy. Understanding the semantics of the words used in naming these instruments and the meaning that results after their fusion symbolizes one of the essential first steps towards constructing an interdisciplinary theoretical background from which further progress can be made. Because of its quite fascinating and at the same time natural word association, literary tourism represents a topic that can also be placed within the same class of forms of travel like, dark tourism, urban questing or industrial archaeology; all drawing their names from the activities around which they revolve. The role of elaborating the name’s meaning is that it grants the opportunity of uncovering which are the scientific domains that can be implicated in the study and would best serve it. With literary tourism the aspect of deciphering its name was somewhat overlooked, studies concerning the current subject being focused mainly on sociological aspects. This approach is reflected in various works, like The Literary Tourist, Read book, will travel or The Value of Literary Tourism. Upon an inspection of their general structure on can observe a series of similarities concerning the phenomenon’s analysis; pinpointing the exact destination of origin, the time of its birth, types of objectives, tourists that fall under this category and also the motivation behind their journey. Even though different authors have complied a personalised portrait of the literary tourist and his destination of choice; one stands out in particular. In his work Read book, will travel Stephen Coan provides a very straight forward WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

348 Sustainable Development and Planning V distinction between the different types of visitors which show varied degrees of affinity toward this form o travel. The researcher mentions in his studies two distinct types of literary tourist, representing the extremities of this typology; in the first category he distinguishes the literary pilgrim – being represented by the avid admirers and at the opposite part of his description there are those who choose to integrate into their vacation itinerary a destination related to what they have read in the past [1]. Based on this first distinction the author went on and elaborated his vision regarding the literary tourist, establishing what in particular motivates the target group to partake in this form of travel. From his studies Coan distinguishes that practitioners of literary tourism are drawn by all literary aspects concerning the text, author and even movie scripts [1]. Although the book brings to light very important issues concerning literary tourism’s inner workings at the same time it limits itself at uncovering what is the tourist’s role is in this equation; thus proving its focus on a precise area of expertise, sociology. This attention toward a single perspective leaves numerous questions unanswered, some of them regarding crucial aspects like the spatial dimension of this phenomenon, where does it lie in the world of tourism or if it is capable of bringing socio-economical benefits. It is true that sociology lies at the heart of every situation where the human element is implicated but without analysing the pattern through which it spreads or by not giving an equal priority to any of the earlier questions, a study on tourism based on a solitary scientific perspective is destined to walk through the dark. Human geography brings a crucial element to studies on tourism, a sense of direction, which is not only done through written depiction, but also and most importantly through cartographical support; being represented by different types of specially designed maps which can embody a variety of aspects ranging from pinpointing the location of objectives to illustrating the migration pattern of visitors to and from the location of interest. These aspects coupled with the social viewpoint are able to reach out and correctly address queries as those above. The element of orientation provided by human geography, in this case, adds a considerable degree of precision and depth to the understanding process; usually definitions are able to sum up perfectly the different areas of expertise through which a subject has been approached. In a 2009 issue of The Chronicle of Higher Education, Randy Malamud provides a brief but favourable argument in which he states that literary tourism travel with a focus on historical locales connected to famous authors [2]. This short description can also serve as a definition for this alternative form of travel, from which it can be clearly seen that Malamud shares a similar perspective as Stephen Coan; both creating an image that partially taps the subject. A more complex definition, but still within the same lines as the previous examples has been provided by an online magazine called The Heart of New WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


349

England which considers that literary tourism is a type of cultural tourism to places related to events or fictional characters in books. It also involves visiting places and areas related to the lives of the book authors [3]. As before, the current definition elucidates very important characteristics which none the less make up literary tourism’s trademark, but at the same time it lacks a certain degree of precision and wholeness. Definitions can be seen as a summary for an entire theoretical framework which in several lines must be able to describe the main characteristics of a phenomenon but also address issues concerning placement within a vaster area of study and also a clear purpose. Taking into consideration the examples provided by the previous paragraphs along with a more composite approach, literary tourism represents a form of travel which resides under the category of alternative types of tourism, representing an instrument designed for the conservational purposes of a specific category of cultural heritage; in the current case objectives, locations, events related to different aspects of literature. Also, adding to the creation or consolidation of an area’s cultural identity and playing a decisive role in its quest for sustainable development. The earlier definition serves as a multidisciplinary insight which manages to capture literary tourism’s implication in the socio-economical scene and not just to present types of objectives or sites that are characteristic for this form of travel. Alternative forms of tourism, like literary tourism, represent the prime instruments responsible with the sustainable development of an area’s cultural identity and preservation of its cultural heritage. Literary tourism’s role increases exponentially when it comes to its implementation in a new area because it becomes one of the first steps taken by local authorities in the ongoing process of raising the community’s awareness regarding the importance of cultural heritage and their slow economical reorientation.

3 Iasi – a cultural destination Changing the economic profile of an urban environment can pose quite a challenging task even for the most experienced planners. The process requiring a well formulated vision based on the city’s remaining assets and also the full support of its local community. The urban environments most likely to undergo this transformation are those which were once renowned for their economic profile based mainly on industrial activities. Western European cities like those of the United Kingdom have become models of efficiency through their capacity to transform former industrial icons as Liverpool, Leeds or Salford into veritable cultural destinations. Over time these examples have inspired other cities, which come from a similar background, to adopt similar initiatives based on sustainable


350 Sustainable Development and Planning V development principles in order to guarantee a bright future for their younger generation. An urban environment which is currently undergoing this slow process of economic reorientation is the city of Iasi, Romania. During the socialist regime Iasi was known nationally as one of the many greatly industrialized urban environments. But after 1989 these activities were abandoned because of the costly upkeep. The following time interval was spent by local officials assessing the alterations brought, by the forced insertion of industrial activities, to the urban landscape. Through the aid of its universities, different organizations like the Iasi 600 Foundation and the combined initiatives commenced by local authorities the city has been able to successfully promote its diverse types of cultural objectives (e.g. museums, churches, historical buildings etc.). In order to encourage the practice of different forms of cultural tourism annually various events are organised, each being dedicated to a distinct artistic sphere. Until now Iasi been the host of events such as the Cucteni 5000 Fair (promoting the traditional craft of pot making), the Doc Est Film Festival and Zilele Ludicului (a theatrical performance festival); all drawing annually important touristic flows. Literature and all related aspects also represent an important element in Iasi’s cultural heritage. Even though this fact has been upheld through different small events, like Copou – parcul poeziei, Scriitori pe calea regală, Zidurile care vorbesc or Tramvaiul cu scriitori; they still lack the necessary visibility to impose a distinct shade and attract more significant flows of literary enthusiasts. Insuring that Iasi’s literary sphere is taken to a higher level of promotion without compromising its authenticity in favour of a short term lucrative strategy, a new form of management is required; represented through an instrument capable of balancing both aspects. The situation can be solved through a long term insertion plan of an alternative form of touristic management, literary tourism. By placing all events and cultural objectives, related to literature, underneath one identity then it creates a coherent facet which boosts the overall cultural image of the city. Diversifying and sustaining literary related activities in Iasi could represent a perfect opportunity to draw attention on existing monuments, memorial houses; representing the last direct link to many national educational breakthroughs. Within the city’s urban limits numerous literary historical landmarks can be found, many of which have stood the test of time only to be slowly wiped away from the public’s memory. Out of the wide variety of objectives seven have been chosen in order to highlight through a brief description their decisive influence that they’ve had on the country’s history and culture. The Dosoftei Memorial House was built by Dosoftei in the second half of the 17th century; after the construction process was finalized the owner installed the second printing press in all of Modova. Here he printed the following religious WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


351

books: Liturghia (1679), Psaltirea de-nţeles (1680), Viaţa şi petrecerea sfinţilor (1682–1686). Between the years 1966 – 1969 the building was renovated and in 1970 it served as an extension for the Museum of Romanian Literature hosting the Old Literature display, keeping safe in its cases several important artefacts like a Slavic manuscript dating back from the 14th century, a Liturghier which was printed by Macarie in the year 1508 (the first ever Romanian printed document) and also a life-size replica of Dosoftei’s printing press and many other religious paintings which date back from the 16th and 18th century [4]. The Mihail Sadoveanu Memorial House was originally built by Mihail Kogălniceanu in the year 1842 with craftsmen brought over from Italy. In 1867 because of financial problems Kogalniceanu was forced to sell the building. After 51 years the house was bought by Mihail Sadoveanu and his brother. Before moving to Bucharest in 1936 the famous author will have written here over 35 books, period which proved to be his most prosperous; leaving behind masterpieces such as: Hanul Ancutei (1928), Zodia Cancerului (1929), Baltagul (1930) and many others. After Sadoveanu left for Bucharest the famous Romanian musician George Enescu lived in the beautiful home for about two years. And in 1980 the building was declared the Mihail Sadoveanu Museum, also serving as the headquarters for the Institute of linguistics, literary history and folklore which belonged to the Academy and Institute for Anthropology [4]. The Gheorghe Asachi Memorial House, the building can be found in place of the ‘Asachi School’; here took place the first seminars on Romanian language. A famous sculptor from Bucharest called Gheorghe Lazar sculpted a statue in his honour which can be found today in front of the National Theatre [4]. The Vasile Pogor Memorial House was built in 1850 by Vasile Pogor, property which was later given to his son Vasile V. Pogor (publicist, poet, mayor of Iaşi and one of the five founding fathers of the Junimena Society). The building was also called the ‘the house with bright windows’ because it was one of the first houses in Iaşi to have electricity. ‘The house with bright windows’ served as a meeting place for the members of the Junimea Society [4]. The Ion Creangă Memorial House. Ion Creangă lived as an underlessor for the Vartic family. The house was located in a modest part of the town. In 1879 Ion Creangă bought the house form the Vartic family and decorated it to suit his needs as an author. As homage to Creangă’s contribution to literature in 1918 his home became Romania’s first Memorial Museum [4]. The Otilia Cazimir Memorial House. It was bought in 1908 by Gheorghe Gavrilescu, Alexandra Gavrilescu’s (the future Otilia Cazimir) father. She remained in this house, until her final days on Earth, greeting friends like: George Topirceanu, Mihai Codreanu, Petre Comarnescu, George Lesnea, Nicolae Labis, Florin Mihai Petrescu, Ion Istrati, Ana Maslea. On the 10th of June 1972 the house was declared a museum; visitors who cross its threshold can still find personal belongings which were found in the late author’s possession [4]. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

352 Sustainable Development and Planning V The Mihail Codreanu Memorial House. The plot of land was give to the author in 1933 by the city council as a reward for all his activity as a writer and citizen. The house called ‘Vila Sonet’ was finished in 1934 in accordance to the owner’s specifications. The famous writer lived here until the 23rd of October 1957 when he died. After his death the house served as a haven for authors who often dropped by for a glass of wine and a game of chess. Some of these visitors were famous authors like: Mihail Sadoveanu, George Topîrceanu, Ionel Teodoreanu, Demostene Botez, Otilia Cazimir. Because of their frequent visits the ‘Villa Sonet’ became known throughout the country as being the meeting place for all of Romania’s bohemian society, numerous literary debates being held there. Today the ‘Vila Sonet’ and all the late authors’ possessions are being guarded by the two bronze bulldogs placed at the house’s entrance [5]. Another factor for which these specific objectives were chosen was their spatial positioning and arrangement within the city’s urban boundaries. This does not only represent an advantage when organising the itinerary of a guided tour but the objectives can be seen as a source for the redenomination of neighbouring businesses and attraction of potential investments. By attracting visitors to the proposed locations, business owners could benefit from this impulse and slowly adapt their economic activities to match with the objective’s theme. Understanding the importance of matching the surrounding area to the objective’s topic helps raze the degree of emotional impact on visitors, also prolonging the feeling of authenticity. Encouraging this type of spatial accord would not only enforce a truly sustainable area within the city but would also set the foundation for a project where the entire urban area could be divided based on the type of touristic objectives found within their proximity. Thus by managing touristic objectives through a specialised form of tourism, such as literary tourism, would guarantee that they are well conserved and represent a significant asset in consolidating Iasi’s plan for a social, economical and cultural sustainable development.

4 Summary Understanding the necessity of sustainable development and implementing specific strategies represents a crucial course of action that must to be adopted by local authorities when an urban environment is passing through a process of socio-economical reorientation. Cities like Iasi which are still looking to consolidate their external image as cultural destinations must look toward alternative forms of tourism in order to obtain an even exposure for each type of objective. Benefiting from a rich history Iasi will be able to incorporate literary tourism into its already growing ensemble of alternative forms of tourism, taking it closer to the standards of sustainability set by other international cultural destinations.



353

Pre-existing cultural events, like Tramvaiul cu scriitori, dedicated to celebrating past and contemporary literary icons demonstrates that the city’s affinity and preoccupation toward keeping its traditions alive is still present. For this study case the insertion of literary tourism as a symbol of touristic management would grant local officials the possibility of discovering more efficient methods of conservation and exposure through international partnerships with other cultural destinations which have shown determination and progress in identifying themselves through alternative forms of travel. By adopting a ‘divide et impera’ approach along with a well formulated long term development strategy Iasi shall be able to consolidate its image among other already existing cultural destinations.

References [1] Read book, will travel by Stephen Coan http://www.literarytourism.co.za/index.php?option=com_content& task=view&id=85&Itemid=42 [2] The Value of Literary Tourism by Jennifer M. Eisenlau http://www.transitionsabroad.com/listings/study/articles/study-abroad-thevalue-of-literary-tourism.shtml [3] Online magazine The Heart of New England http://www.theheartofnewengland.com/travel/nh/literary-tourism.html [4] Romanian Memorial Houses http://museum.ici.ro/moldova/Iaşi/romanian/fmuzeu.htm [5] 2005, Plan de amenajare a teritoriului metropolitan Iaşi, S.C. HABITAT PROIECT S.A., Iaşi




355

The soundscape of cities: a new layer in city renewal M. Leus Department of Design Sciences, Artesis University College Antwerp, Belgium

Abstract The conservation of historical heritage and the development of public spaces are important issues for the liveability of cities and everyday life. Yet, spatial qualities are rarely designed and evaluated as a combination of senses. Public spaces manifest themselves not only in a visual but also in an acoustic way. Next to the visual aspect of urban spaces, sounds and silence are also indicators of the environmental layout. A sonic urbanity opens a perspective for a better policy with regard to sensorial aspects in design and management of public spaces. The study of the soundscape of cities is an ‘ear-opening’ for the multi-sensory qualities of semi-public spaces. Research in which the soundscape is integrated, helps to enhance and emphasize the different components and the underlying historical layers of the city and stimulates the imagination in the construction of narrative tales. The northern part of the city centre of Antwerp, a remarkable cultural heritage site, is used as a case study to examine different concepts and methods for the implementation of sound in urban development. The research of soundscape in urban planning and heritage management of cultural sites opens up perspectives to create new design paradigms for public spaces. Keywords: soundscape, cultural heritage, experience, sonic concepts, notation tools, communication.

1 Introduction The soundscape of a city is generally marked as something trivial. As a result of contemporary technological noise pollution, urban sounds are often defined as ‘unwanted’. Sound pollution, an important form of discomfort, has a negative WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110301

356 Sustainable Development and Planning V influence on the quality of life in urban public spaces. Sound is rarely used as a positive, informative or explorative social perception instrument within the existing urban planning and heritage management. The experience of urban public spaces by walking has been studied by several urban researchers but their attention has been mainly focused on the visual aspects or the aesthetic dimension of the spaces [1–4]. Urban designers show a passive acceptance of the aural sound decor. Sound is rarely considered as having a potential contribution in tackling conceptual strategies for the revitalization of urban public spaces [5]. Nevertheless, the experience of the spatial qualities of public spaces is often evaluated by users of these spaces as a combination of senses [6, 7]. Due to the static image of urban spaces in contrast to the soundscape which occurs as a dynamic process, consisting of changeable sound waves between the sources and the listener, the urban soundscape is often regarded as complex. The soundscape is four-dimensional and not limited to the material borders of a space; sounds create a kind of an immersive experience space. As Neuhoff pointed out, many cumulative aspects of different sounds influence each other and “changes in one variable may influence the perception of changes in another variable. Changes in any of these perceptual dimensions can influence perception of changes in the others” [8]. Moreover, the experience of soundscape holds different meanings for different people, depending on their cultural and social background, education and previous experience [9]. Although cultural heritage sites offer a valuable contribution towards creating a sustainable environment within the vulnerable continuity of the urban story, sound and heritage, both in their tangible and intangible dimensions, are embodiments of urban places that open space for interpretation. Both project fragments of urbanity and weave them into a scenario by the experience for inhabitants and visitors. Yet, the selection of world heritage sites never demands specific acoustic criteria. Different heritage charters and documents developed at the international level in ICOMOS and UNESCO don’t pay special attention to sound as an inherent value of cultural heritage which enhances the experience and interpretation of the historic site. Acoustic research in relation to urban design requires not only a problemsolving, but also a problem-defining attitude. The most important reason is that planners are lacking an adequate design vocabulary such as aural evocative concepts and tools to integrate an acoustic consciousness in the design process of urban spaces [10]. Yet, communication on soundscape is limited to a conventional semantic language, directed to the physical measurements of urban noise and the description of psychoacoustic parameters [11]. These physical notations are only accessible for those who are trained to decode them. The main question is how a designer can be a composer of a sound performance of the urban space. Or should we rather conclude that a soundscape is an indefinite given that is impossible to orchestrate?



357

2 Aim The general objective of this research is to define aural concepts and tools which are applicable during the design process so that urban planners, heritage consultants and architects are able to create public spaces with more sensorial and particular aural qualities. On the one hand this will contribute to the increase of the accessibility of cultural heritage, while on the other hand it will alter the current theoretical urban soundscape discourse. In this way soundscape remains no longer restricted to a recommending theory about noise pollution, but steers applicable keys or strategies for the design process. Aural concepts as a design philosophy provide a base to underpin a deeper cultural meaning that stimulates the interpretation and the interaction with the user and the cultural heritage. Akin argues that “conceptual variables are the schemata that provide the underlying order and structure for an aspect of an architectural design” [12]. Aural concepts can be compared to the soundtrack of a movie, as they both evoke particular emotions and expresses messages [13]. To receive an adequate answer the following questions will be examined: - How can we map or record a soundscape of a public space as an expressive and significant tool for urban planners and architects? - How do we conceptualise the aural sense as a perceptual system and how will it be integrated in het design process of urban public spaces. - How can sounds influence the story of the place, in relation with the cultural heritage? Although these questions are not self-evident, they are pressure questions that we have to formulate in order to improve the urban fabric. After explaining the relationship between sound, urban public spaces and cultural heritage, we will also discuss the results of an experimental workshop which explores the sound experience of the urban public space by walking. Heritage is often just a piece of scenery on these walking routes, but sometimes it is the aim of the visit, or a framework for temporary stays, study or entertainment. The hypothesis which we want to test is if soundwalks are useful for the opening-up of cultural heritage.

3 Synergy between soundscape in urban public spaces and cultural heritage The word ‘soundscape’ covers two important dimensions, namely the relation, on the one hand, between the human being and the sound environment, or the ecological dimension, and the creation and conceptualization of the sound, or the design dimension, on the other hand [14]. Soundscape is also a striking indication of the genius loci, “because the engagement and appreciation of a place depends on the sound the listeners can hear” [15]. Emily Thompson discerns different ways of listening: “A soundscape’s cultural aspects incorporate scientific and aesthetic ways of listening, a listener’s relationship to their environment, and the social circumstances that dictate who gets to hear what” [16]. Engaged listening WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

358 Sustainable Development and Planning V integrates different aspects of the aural experience. It connects rational as well as emotional aspects. Sounds are the voices of meanings and act as a communicative medium that provides relations charged with emotional and psychological connotations [17]. In his book ‘New City Spaces’, Jan Gehl distinguishes different types of public spaces: main city squares, recreation squares, promenade squares, traffic squares and monumental squares [18]. From the vision of soundscapes, this typological classification of squares can be completed by adding restorative squares [19]. These tranquil or restorative environments are able to evoke contemplation and support reflective activities [20]. The acoustic quality of a public space largely determines the communication and the experience of sound as an extra source for intensifying and amplifying the visual image, and leads to a better understanding of the genius loci. Sound and silence can break through the artificial classification between tangible and intangible cultural heritage [21]. Mills stated that sound as a social ‘agency’ can work as a trigger between sender and recipient [22]. Sound communicates information by making people alert and provokes a response of the recipient. Cultural heritage as well as soundscape is associative rather than linear and relative rather than absolute. Cultural heritage is emotionally charged and based on remembrance and the power to keep memories alive and can be regarded as a stimulus or as an obstacle for general spatial development. The sonic environment stipulates the possibilities for perception of the cultural heritage. Strong sound values can repress the weak historical values. However, when the soundscape matches with the heritage, the cultural values will be amplified. Especially in medieval cities and historic city centres, churches, monasteries, closed building blocks, or palazzos with courtyards have the quality to block the sounds of the city, creating ‘silence’. But also narrow streets, mineral surfaces, galleries with vaults, and traditional places, have a particular acoustic quality. In a positive way, church bells, live music performances, sounds of talking and walking people, sounds of activities in cafés, natural sounds such as singing birds and the rustling leaves, are all considered as the notes of positive soundscapes. Bringing the cultural heritage into urban soundscape-studies offers much potential and enables us to explore ‘meanings’.

4 Research methods An experimental interdisciplinary workshop, set up at the public space lab of the Artesis University College of Antwerp, brought together experts from different domains such as architecture, urban planning, art-history and archaeology, in order to discuss their perspectives on the soundscape of urban public spaces. These participants were all experts in the architecture, heritage or urban design. 4.1 Introspection as a starting point The theoretical basis of quantitative acoustic research, which purely defines sound parameters, is too complex for urban planners to get a sufficient image of WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


359

the acoustic experience of a public space [23, 24]. Therefore a qualitative research based on a subjective experimental field study for the survey and analysis of the context was conducted. Nakamura emphasizes that “it is the subjective challenges and subjective skills, not objective ones that influence the quality of a person’s experience” [25]. In this workshop, the participants take the user’s role and empathize with the user’s experiences while walking in urban historical spaces. This approach is based on the idea that the designer’s personal experience is a key to acquiring insight, especially in a direct relation with acoustic research by design. Within this framework the acoustic and visual mapping of experiences as well as activities of the visitors and inhabitants plays an important role. 4.2 Soundwalks Because of the ephemeral nature of sound, it is essential for urban designers to think in time dimensions, and to take into account changes, movements and spatial events. Favole pointed out that public urban space is meant to be experienced by walking [26]. Walking as a tuned physical dialogue with the environment explores the experience of listening which offers a stronger sense of community or belonging [27, 28]. This reflects an affinity with our past. The exploration of soundwalks as developed by Schafer in the seventies is an important valuable tool for aural awareness [29, 30]. Soundwalks, active listening walks, lead to being engaged in the physical and sensory environment and affect the sense of time and place. Järviluoma argued that “Space is a system of places; a place is a space that is special through the meanings connected with it. When we move the places become activated and we enter into a dialogue” [31]. Interpretation connects the sensorial experience with the conceptual idea of meaning [32, 33]. 4.3 A cultural perspective of ‘modern storytelling’ in urban planning An interpretive historic research was implemented to report the findings in a narrative story [34]. Linda Groat and David Wang define an interpretive research as “investigations into social, physical phenomena within complex contexts, with a view toward explaining those phenomena in narrative form and in a holistic way” [35]. Especially cultural heritage can act as a mediator. Marc Childs explains that stories can inform and condition the design of places in multiple ways [36]. First of all, urban designers can curate the narratives in ways that support the designers' engagement with place stories; secondly this will activate cycle of interactions between stories and create formats for the inclusion of multiple designers and a diverse set of independent stories. 4.4 Philosophy of the workshop The first step focused on the qualitative survey and analysis of the context, the historical space. The objective was to obtain a deeper understanding of the relation between sound and diverse actors and aspects of the urban environment. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

360 Sustainable Development and Planning V Therefore a multidimensional reading of space and its qualities was set out by a field study that observed the area in three ways: First the context mapping gathered information of spatial characteristics and the urban development. This spatial analysis resulted in several quick scans: the historical evolution, the cultural heritage, the morphology, functionality, mobility and open and green spaces… These aspects were constantly tested in relation to each other. Secondly, a mapping of behaviour patterns of the visitors and the inhabitants was studied. Thirdly the experience of the urban spaces was incorporated in the research by using a visual and sound mapping. Appraisal of the soundscape depends mainly on the way it matches with the setting [37]. The second step was the study of the historical stratification of the city with special attention for the spatial and temporal links in order to support the interpretive research. The third step was the expression of the evaluation and interpretation of the current and future situation by means of a postcard with a slogan. Postcards are an attractive medium for communication because they provoke inspirational responses and in a certain way they act as a kind of emotional toolkit. The results of these analyses were translated in plans and sketches so that potential opportunities for new interpretations and development in relation with the vulnerability of the sites were visualized. For this purpose, an appropriate set of instruments was developed by means of the configuration of concepts and soundmapping tools that outline a clear description and typifying illustration of the sonic environment.

5 Case study: northern part of Antwerp, Belgium Yin describes the importance of case studies as follows. “In general, case studies are the preferred strategy when ‘how’ or ‘why’ questions are posed, when the investigator has little control over the events, and when the focus is on contemporary phenomena within some real-life context” [38]. The soundscape of the northern part of the city Antwerp was recorded, mapped, assessed and formulated in action items that underpinned the concepts for a sonic urban heritage policy. The historical city centre of Antwerp, located on the right bank of the river Schelde, was indicated with the denominator from MAS, the new museum at the river, to the old central city market. This site is the most representative for the purpose of the survey because a preliminary masterplan revealed the existence of acoustically interesting spots in this area. In addition the site contains cultural heritage par excellence. 5.1 Notation tools The complexity of urban environments demands for new forms of mapping and depiction to enhance urban design and planning. Two notation schemes which are already familiar to the traditional toolkit of depicting urban spaces, represent the aural criteria and make the sonic phenomena communicable and duplicable to support the concepts design process [39]. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


361

The first notation system shows different diagrams that depict the assessment of the sonic perception in relation to the context. The most important layers of urban experience, the static parameters and the dynamic or temporal sound parameters, were put into radial diagrams, a series of concentric rings associated with increasing intensity of experience. The quality of experience intensifies from the inside to the outside. This graphic notation is a subjective way of mapping the environmental qualities and depicts the relationship between the context, soundtrack and image of each public space. These diagrams give extra value to the acoustic categorization of urban public spaces.

Figure 1:

Square of St. Mary’s Cathedral: temporal sound parameters – context parameters.

A second way of mapping is extracted from the visualization of musicology and geography. For the mapping of soundscape, a sonogram can act as a metaphor for the acoustic environment. A sonogram is a picture drawn by sounds; it articulates a representation of sound waves, which locates the data in frequency, amplitude and time dimensions [40]. This three-dimensional image looks like a geographic landscape and makes the invisible soundscape visible. The variety of a geographic landscape partly determines the attractiveness of it. The same applies to soundscapes where a mixture of sounds characterizes a specific area. This is comparable with the method of representation introduced by Chiambattista Nolli in his ichnographic plan of the city of Rome in 1748, where he accentuated the public spaces both inside and outside [41]. But this icon fails to evoke an impression of complex urban soundscapes, principally because the various sound sources and their loudness or pleasantness are difficult

Figure 2:

A sonogram, articulating the sounds of public spaces.


362 Sustainable Development and Planning V to distinguish. According to synesthetic, which explores the relationship between music and colours, expressing sounds in colours is complicated by personal experiences, which brings out moods and associations [42]. 5.2 Sonic concepts Four sonic concepts will highlight different strategies that can be applied to tackle soundscape in current and future plans for sustainable development of urban public spaces. Lucas and Romice emphasize that we should incorporate sound concepts integrally in the drawings that constitute the design process and not as an additional and separate process: “This is due to the way in which drawing is a part of the thinking process itself and not a later representation of an already complete and static idea” [43]. The results of the workshop reveal some emblematic themes which could be transferable to other cityscapes. Therefore we present them as possibly relevant acoustic themes in urban planning.

Figure 3:

Four sonic concepts: Thresholds, silence, Pac-Man, secrets.

5.2.1 Concept 1: Soundscape thresholds – a transition between inside-outside The oldest historical part of the city around the Central Market is characterised by many public spaces such as the squares of many churches. In this quarter you can explore the music and the historical sounds of the city, such as the bells of the famous Gothic St. Mary Cathedral. The cultural heritage plays an important structuring role in the urban fabric of this quarter; it arranges the soundscape into a harmonious whole, with strong sound contrasts between different areas. In this area, the concept of thresholds or in-between spaces is very important, because thresholds mediate between inside and outside. Sound thresholds and passages in the public spaces are frequently crossed unconsciously [44]. The configuration and materialization of these transition zones offer a frame of significances on a morphological as well as on an acoustic level. Subtle interventions in pavements influence the sound and echo of footsteps and support the experience of entering a different scene. Each passage assumes the presence of a transformation, for example the transformation of a noisy to a quiet area. These are moments in the course of which the city as a whole gets its richness of articulation. The art of



363

montage is determined by the significance of the image, the cultural heritage. The same principle can be applied to the sequences of aural fragments [45]. 5.2.2 Concept 2: The magic of secrets spaces The area, which borders to the river Schelde, is determined by the presence of water. The workshop revealed the importance of an intrinsically isolated urban space, an amazing network of underground waterways such as covered canals, rivulets and moats and a large pallet of both upper- and underground archaeological heritage. These waterways, dating back to the middle ages, functioned originally as lines of defence while later on they were used as an inland port and as water supply systems. Although covered with archways, these structures explain the structural morphology of the city of Antwerp in a secret way. These underground canals carry a tremendous symbolic meaning. Mystery intersects throughout the various civilizations that left their imprint. The canalhouse or ’Ruihuis’, which is situated close to the central market and the MAS, the new museum on the river in the northern part of the city, function as a gate to enter these canals. This concept doesn’t represent a submissive position but exposes a sensitive interior world. The interplay of light, dark and sound, silence, echo and resonance are a central theme in this scenographic experience of these underground worlds. The exploration of secrets is incomplete without a glimpse into different layers. The palimpsest of the city covers what is re-inscribed, the metaphor of a chrono-spatial scaffold represents the secrets of this area. 5.2.3 Concept 3: Pac-Man, an urban labyrinthian game This area along the old docklands is a patchwork of old and new and is branded by a jumble of sounds. The chaotic perception of sounds interferes with the old and new cultural heritage. The postcard of this group expresses this vivid quarter with courtyards, formal and semi-public spaces in old monasteries and palazzos , which have been reused as university amenities and which can be compared with a scenery for Pac Man. The Pac-Man concept, as a metaphor for the labyrinthian structure of this area and its soundscape, is inspired by Pacmanhattan, an urban game that stimulates an active listening to the stories of the cultural heritage of New York City [46]. By incorporating play, experience, narration, and social interaction into this game, the players will discover aural scenes on location together with other people. The creation of a partly virtual ‘walkabout’, a system of routes, referring to the aboriginal’s cultural reading of the land, will interweave the soundscape with the legends related to the cultural heritage. In this way, the soundwalk will not only increase the awareness of the soundscape but the game will also motivate the participation in the search for actual sensorial and sustainable cityscapes. 5.2.4 Concept 4: The sound of silence The university neighbourhood, a historical core of the city, displays an intricate network of streets and semi-public spaces. Silence and tranquillity, which are present in the courtyards, the semi public spaces that are part of the university campuses, can reinforce the identity of this area. The beguinage, a walled community that has been entered in 1998 on the list of world heritage is also WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

364 Sustainable Development and Planning V situated in this area. Miller states that silence as soundlessness do not exist. “Silence exists as reference to the ambience of a soundscape, so that quiet and silence become nearly synonymous” [47]. Therefore quiet areas are areas with a good acoustic quality which have a restorative quality. Quiet areas are places where time and space are in touch with each other. The past is generally silent but it is within this silence that the heritage listens and stimulates the imagination in the construction of narrative tales. The human being is the central issue for the opening-up of silent areas [21].

6 Conclusion Within this research the environmental sounds are considered as ‘sources of meaning’ instead of nuisances. This approach, by which sound is the catalyst for the uploading of the cultural heritage qualities and livability of public spaces, can also bring a new dimension to the ‘World Heritage concept’. The soundscape around the world heritage sites is unique and irreplaceable; it supports the universal and outstanding value of this heritage. Discussions with the participants reveal that the concepts and the notation diagrams offer a structured set of aural information and powerful tools to urban designers and heritage managers. Applying a ‘performative lens’ will shift the design methodology from conventional notations and concepts dealing with morphology and ‘image’ to aural sensations including narrative assemblages. It is impossible to design meaning [48], in the same way as it is impossible to design experience [49]. Orchestrating the soundscape of a city is complicated because it is impossible to examine all the different parameters and their relationship. Like in music there are different ways to orchestrate the same score. The choice of an orchestral scheme also depends on the sound sources, the spatial environment, the activities… An ultimate approach to urban soundscape does not exist because the soundscape and the cultural heritage in the urban context is complex and multiform in character, status, and meaning. Including the soundscape of the cityscape into an urban design supposes a holistic and sustainable approach.

References [1] Jacobs, A., Great streets, MIT Press: Cambridge, 1993. [2] Ching, F., Architecture, Form, Space, and Order, John Wiley & Sons: New York, 1996. [3] Isaacs, R., The urban picturesque: an aesthetic experience of urban pedestrian places. Journal of Urban Design, 5, pp. 145-180, 2000. [4] Brown, B., Werner, C., Amburgey, J. & Szalay, C., Walkable route perceptions and physical features: converging evidence for en route walking experience. Environment and Behavior, 39, pp. 43-61, 2007. [5] Durmisevic, S. & Sariyildiz, S., 2001, A Systematic Quality Assessment of Underground Spaces - Public Transport Stations. Cities, 18(1), pp. 13-23, 2001. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


365

[6] Rasmussen, S., Experiencing Architecture, MIT Press: Cambridge, 2001. [7] Pallasmaa, J., The eyes of the skin, Wiley-Academy: Chichester, 2005. [8] Neuhoff, J.G., Kramer, G. & Wayand, J., Pitch and loudness interact in auditory displays: Can the data get lost in the map? Journal of Experimental Psychology, 8, 17, 2002. [9] Southwork, M., The Sonic Environment of Cities. Environment and Behaviour, 1(1), pp. 48-70, 1969. [10] Blesser, B. & Salter, L-R., Spaces speak, are you listening? Experiencing aural architecture, MIT Press: Cambridge, 2007. [11] Raimbault, M. & Dubois, D., Urban soundscapes: Experiences and knowledge, Cities, 22(5), pp. 339-350, 2005. [12] Akin, Ö., Case-based instruction strategies in architecture. Design Studies 23 (4), pp. 410, 2002. [13] Blumstein, D., Davitian, R. & Kaye, P., Do film soundtracks contain nonlinear analogues to influence emotion? Biology Letters, 6, pp. 751-754, 2010. [14] Truax, B., Acoustic Communication, (2nd ed.), CT: Ablex Publishing: Westport, 2001. [15] Anderson, L., Mulligan, B., Goodman, L. & Regen, H., Effects of sounds on preferences for outdoor settings. Environment and behavior, 15(5), pp. 539-566, 1983. [16] Thompson, E., The Soundscape of Modernity, MIT Press: Cambridge, pp. 1-2, 2002. [17] Labelle, B., Other Acoustics. OASE 78, NAI: Rotterdam, pp. 17, 2009. [18] Gehl, J. & Gemzøe, L., New City Spaces, The Danish Architectural Press: Copenhagen, pp. 87, 2001. [19] Kaplan, R. & Kaplan, S., The experience of nature: a psychological perspective, University Press: Cambridge, pp. 189, 1989. [20] Herzog, T. & Bosley, P., Tranquility and preference as affective qualities of natural environments. Journal of Environmental Psychology, 12, pp. 115127, 1992. [21] Leus, M., Silence and tranquility areas, the extreme periphery of the inbetween cities, PLIC International conference Public Life in the in-between cities, I.I.T.: Haifa, pp. 93, 2010. [22] Mills, S., Sensing the place: Sounds and Landscape Archaeology. D.W. Bailey, A. Whittle & V. Cummings (eds.), (Un)settling the Neolithic, Oxford, pp. 80-81, 2005. [23] Dubois, D., Guastavino, C. &Raimbault, M., Les catégories cognitive du bruit urban: des discours aux indicateurs physiques, Acoustique & Technique, 39, pp. 49-57, 2005. [24] Schulte-Fortkamp, B., The meaning of annoyance in relation to the quality of acoustic environments. Noise and Health, 4(16) pp. 13–28, 2002. [25] Nakamura, J. & Csikszentmihalyi, M., The concept of flow. Handbook of Positive Psychology, eds. C. Snyder & S. Lopez, pp. 92, 2005. [26] Favole, P., Squares in Contemporary Architecture, The Architectura & Natura Press: Amsterdam, 1995. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

366 Sustainable Development and Planning V [27] Ansdell, G., Rethinking music and community: Theoretical perspectives in support of community music therapy. Community music therapy, eds. M. Pavlicevic & G. Ansell, Jessica Kingsley Publishers: London & Philadelphia, pp. 91–113, 2004. [28] Fiumara, G., The other side of language: A philosophy of listening, Routledge: London and New York, 2006. [29] Schafer, M., The Tuning of the World, Knopf: New York, 1977. [30] Kang, J. & Zhang, M., Semantic differential analysis of the soundscape in urban open public spaces. Building and Environment, 45(1) , pp. 150-157, 2010. [31] Järviluoma, H., Truax, B., Kyto, M. & Vikman, N., (Eds.), Acoustic Environments in Change. Tampere: University of Joensuu: Tampere, 2009. [32] Saipradist, A., A critical analysis of heritage interpretation and the development of a guidebook for non-Thai cultural tourists at Ayutthaya World Heritage site, Unpublished PhD, Silpakorn University: Bangkok, 2005. [33] Crowest, R., Multisensory interpretation and the Visitor Experience, Dissertation submitted in partial fulfillment of the requirements of the Degree of MA, Heritage Interpretation, University of Surrey: Strawberry Hill, 1999. [34] Collingwood, R., The Idea of History, Oxford University Press: London and New York, 1956. [35] Groat, L., & Wang, D., Architectural research methods, John Wiley & Sons: New York, pp. 136, 2002. [36] Childs, M., Storytelling and urban design. International Research on Placemaking and Urban Sustainability, Journal of Urbanism: 1754-9183, 1(2), pp. 173 – 186, 2008. [37] Carles, J., Lopez Barrio, I. & Vicente de Lucio, J., Sound influence on landscape values, Landscape and urban planning 43, pp. 191–200, 1999. [38] Yin, R., Case study research: Design and methods, Applied Social Research Methods Series (3rd ed.) 5, SAGE Publications: Thousand Oaks, CA, 2003. [39] Lawson, B., How Designers Think: The design process demystified (3rd ed.) Architectural Press: Oxford, 2000. [40] Lidy, T. & Rauber, A., Classification and Clustering of Music for Novel Music Access Applications. Machine Learning Techniques for Multimedia", M. Cord, P. Cunningham (Hrg.), Springer: Berlin Heidelberg, 2008. [41] Leupen, B., Grafe, C., Körnig, N., Lampe, M. & de Zeeuw, P., Design and Analysis, 010 Publishers: Rotterdam, 1997. [42] Asmus, E., The measurement of musical expression. Paper presented at the Suncoast Music Education Research Symposium, Tampa, Florida, 2009. [43] Lucas, R. & Romice, O., Representing Sensory Experience in Urban Design. Design Principles and practices: an International Journal, 2(4), pp. 83, 2008.



367

[44] Van Eyck, A. & Hertzberger, H., Drempel en ontmoeting: de gestalte van het tussen, (threshold and encounter, the shape of in- between, Forum (8), pp. 248-251, 1959. [45] Brillenburg Wurth, K., The Musicality of the Past: Sehnsucht, Trauma, and the Sublime. Journal of the Philosophy of History, 1(2), pp. 219-247, 2007. [46] PACMANHATTAN, http://pacmanhattan.com [47] Miller, W., Silence in the Contemporary Soundscape. MA Thesis, Department of Communications, Simon Fraser University: Burnaby, 1993. [48] Berlo, D., Process of Communication: An Introduction to Theory and Practice. Holt, Rinehart and Winston: New York, 1960. [49] Thackara, J. Articles of Association Between Design, Technology and The People Formerly Known As Users. Doors of Perception, 2000. www.doorsofperception.com



Section 5 Environmental management



371

The evaluation of ecological sustainable development capacities in Kashan: an historic city of Iran N. Marsousi & A. R. Lajevardi Payame Noor University, Department of Geography, Iran

Abstract This paper is trying to evaluate the ecological capacities of the environment for sustainable development in the urban sprawl of Kashan in its future developments. So we evaluate the land capacities as the most important ecological factor. Kashan is an historical city in Iran, which is famous for its Persian carpet manufacturing. It has experienced the sprawl growth in recent decades. The methodology of this study is analytical-descriptive. The results show that: 67% of physical development of Kashan between the years 1938 to 2007 is caused by population growth, and 33% of it is due to sprawl growth. Also the existing Kashan land capacities can accept more than double of the existing population (572,508). In other words, it can have 2.13 times population growth in the following 30 years with the same urban area. Keywords: sprawl, urban land, ecological capacities, sustainable development, Kashan.

1 Introduction Urban sprawl has been the most important barrier to urban sustainable development and that it prepares grounds for social unrest and insecurity [1]. Studies show that the cities with sprawl have suffered from greater losses when unexpected events have occurred [2]. Also the sprawl causes the density of the population distribution, requiring the need for much more services and authorities are forced to spend more for those services in comparison to the time when the city has the extensions in height and this makes the misdistribution of


372 Sustainable Development and Planning V the services in the city, and basically there comes some weaknesses in this regard in a way that sometimes results in some dissatisfactions [3].

2 Methodology For achieving our objective we have used Holdrn’s model and the population prediction models. The research methodology used here is a descriptive-analytical method.

3 Discussion and findings 3.1 The appearance and physical growth of Kashan Functional changes in Kashan started in the third decade of the twentieth century, and have gradually appeared in the city’s view after 1951. Rapid growth of urbanization started from 1961 [4, 5]. Table 1:

Annual growth of population and extent of Kashan in the period of 1938 to 2006 [6].

Year Population Annual population growth

1938 46690 -

1956 45955 -0/81

1966 58428 2.43

1976 84863 3.8

1986 138599 5.02

1996 201372 3.8

2006 248789 2.13

extent Annual extent growth

500 -

700 1/88

900 2/54

1400 4/5

1800 2/54

5000 10/75

6000 1/84

3.2 Comparative analysis of urban land per capita gross in Kashan, and some cities in the world 3.2.1 Comparative analysis of urban land per capita gross in Kashan with some other cities of Iran For comparative analysis of urban land per capita gross of Kashan with other Iranian cities, 16 cities were randomly selected from among Iranian cities. With a view of table 2 it is clear that: the average land per capita gross is higher in only two cities of Rasht and Yazd compared to Kashan. While the average land per capita gross in other cities studied, is lower than Kashan. The average land per capita gross is, in Tehran 40 percent, in Urmia 30 percent, in Ahvaz 94 percent, in Bandar Abbas 50 percent, in Kerman 95 percent, in Araq 42 percent, in Shiraz 61 percent, in Ekbatan 69 percent, in Ardabil 62 percent, in Zanjan 63 percent, in Qazvin 38 percent, in Sanandaj 50 percent, in Khorram Abad 41 percent and in Boroujerd 50 percent of the amount of per capita gross land in Kashan. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Table 2:

373

Comparison of urban land gross per capita in the cities of Kashan, compared with some other Iranian cities in 2006 [8].

Name

Population

The extent to hectare

Density per hectare

Per capita gross land for each person (Square meter)

Kashan Urmia Ahwaz Bandar Abbas Tehran Rasht Shiraz Ekbatan Kerman Arak Ardabil Yazd Zanjan Qazvin Sanandaj Khoram Abad Borujerd

248789 577303 969843 367508 77050306 551161 1214808 473149 496684 438338 412669 423006 341801 349821 311446 328544 229/541

600 4200 22000 4500 73000 13600 17900 7940 11500 4500 6200 11000 5250 3240 3800 3300 2900

41/46 137/45 44.04 81/66 105/54 40/52 67/86 59/59 40 97/40 66/55 40 65/10 107 81/95 99/55 79/15

241 72/75 227 122/4 94/7 246/75 147/25 167/81 231/51 102/66 150/24 260/043 153/59 92.61 122/01 100/44 126/33

3.2.2 Comparative analysis of urban land per capita gross in Kashan and some existing standard scales in Iran The average per capita gross in the city of Kashan does not match with the existing standard scales. The average per capita gross of urban land in Iran is 39 percent, in the warm and dry cities is 41 percent; in cities composed of 100 to 250 thousand inhabitants it is 45 percent; and the recommended figure by the Housing and Urban ministry is 41 percent per capita gross land for Kashan. Table 3 shows average land per capita gross for each of the standard scales studied.



Figure 1:

Initial extent and scope during 1938, 1956, 1966, 1976, 1986, 1996 and 2006 in Kashan [7].

3.2.3 Comparative study of urban land per capita gross in Kashan and some cities in developing countries For comparative analysis of urban land per capita gross in Kashan, with some cities in developing countries, 12 cities have been selected randomly. The total population size, density of people per hectare and the average land per capita gross for each person of the selected cities are presented in table 4.



Table 3:

Average land gross per capita for each standard scale study in 2006 [8]. Per capita gross land for each person (square meter)

Name Kashan Total cities in Iran

241 95/24

Recommended figure of Housing and Urbanism Ministry

93

Average number of dry and hot cities

`07

The average figure for 100 to 250 thousand cities Table 4:

375

109

Comparison of urban land gross per capita in Kashan, compared with some cities in developing countries in 2006 [8].

Name

Population


Density per hectare

Per capita gross land for each person (square meter)

KASHAN Cairo Damascus Kuwait Baghdad Algiers Tashkent Warsaw Moscow Buenos Aires Istanbul Caracas New Delhi

248789 8000000 1700000 961000 6555000 1519570 3786000 1693000 10383000 3050000

600 45300 57300 20000 73400 10000 74235 51700 108100 30300

41/46 176 29.66 48/05 89/3 151/95 51 32/75 96 150/24

241 56/62 337/05 208/11 111/97 66 196 305/37 104/11 66/55

12574000 2100000 18405858

153900 47727 95863

81/7 44 `93

122/39 327/27 51/81

By looking at table 4 it becomes clear that the average land per capita gross is higher in only three cities of Warsaw, Damascus and Caracas, compared to Kashan. The average land per capita gross is less in other cities studied in comparison to Kashan. The average land per capita gross in Cairo is 23 percent, in New Delhi 21 percent, in Algiers and Buenos Aires 27 percent, in Moscow 43 WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

376 Sustainable Development and Planning V percent, in Istanbul 50 percent, in Baghdad 46 percent, in Tashkent and Kuwait 81 percent of per capita gross land in Kashan. 3.2.4 Comparative analysis of urban land per capita gross in Kashan and some East Asian cities For comparative analysis of urban land per capita gross of Kashan, some 12 East Asian cities have been selected randomly. By looking at table 5 it becomes clear that: Only in Pyongyang, the average per capita gross has more land compared with Kashan. In other cities studied, the average per capita gross is lower than that of Kashan. The average land per capita gross is in Dhaka 17 percent, in Tokyo and Seoul 24 percent, in Manila 30 percent, in Jakarta 33 percent, in Taipei 42 percent, in Nanjing 49 percent, in Nagoya and Kuala Lumpur 59 percent and in Bangkok 79 percent per capita gross of land in Kashan. Table 5:

Comparison of urban land gross per capita of Kashan and some cities in East Asia 2006 [8].

Name

Population


Density per hectare

per capita gross land for each Person (Square meter)

KASHAN Bangkok Pyongyang Taipei Dhaka Seoul Shanghai Unvocal Jakarta Tokyo Manila Kvlalampvr Nanjing

248789 8161000 3255000 2619000 7000000 10422000 19000000 2258000 8792000 120000000 10000000 1887674 8000000

600 156900 319400 27100 30400 60500 268300 32600 70903 70588 78125 27357 95000

41/46 52 10/19 96/64 230/26 172/26 70/81 69/26 124 170 138 69 84

241 192/25 981/12 102/47 43/42 58 141/21 144/37 80/65 58/82 74/48 144/93 118

3.2.5 The comparative analysis of urban land per capita gross in Kashan and some western cities For comparative analyses of urban land per capita gross in Kashan and western cities, 12 cities have been selected randomly. The gained result from the adaptive comparison between the average urban land gross per capita in Kashan and other cities studied is that the average land per capita gross is higher in Kashan in comparison to many cities studied above. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Table 6:

377

Comparison of urban land gross per capita in Kashan, with some western cities in 2006 [8]. Name

Density per hectare

Per capita gross land for each person (square meter)

Kashan Paris Rome Sydney London Melbourne Marseille Genoa Munich Valencia Belfast Rennes Stockholm

41/6 206/47 95/68 180/32 261/94 97/5 97/8 87 93/7 95 94/34 143 65/45

241 48/43 104/51 55/45 38 102/56 101/3 120 110 133 106/9 78 153/2

So that among the 52 cities surveyed there are only seven cities with more land per capita gross than Kashan and the per capita gross land in other cities are less than Kashan. 3.3 Theoretical evaluation of the sprawl spread of Kashan Holdrn’s model has been used for theoretical evaluation of the urban sprawl of Kashan. Holdrn's model is one of the basic models used for identifying inappropriate urban sprawl. Using this model can determine how much the city is growing due to population increase and how much the city would grow due to urban sprawl. Holdrn has used the formula of land per capita gross in his model in such a way that we have the following equivalent: a=A/P In this relation the net per capita gross is equal to the extent of land (A) divided by the amount of population (P). Based on this relationship, it can be said that the total land occupied by an urban extent is (A), which is equivalent to multiplying the per capita gross (a) and population (P). In that case [9]. According to the results gained by Holdrn’s model, 67 percent of city enlargement in the years between 1938 and 2006 has been achieved due to population increase in Kashan and 33 percent of the enlargement at the same period has been achieved due to the phenomenon of urban sprawl. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

378 Sustainable Development and Planning V 3.4 The assessment of hidden land capacities of Kashan To evaluate the capacity of the land in Kashan, the following formula to predict population has been used: t = ( Log ( p1 / p0 ) ) ÷ ( Log(1+r ) ) In the above formula p0 is the primary population, p1 is secondary population, r is the rate of population growth, t is the time when the initial population reaches the secondary population [10]. The results of the above formula are shown in Table 7 Table 7:

Extent, per capita gross, and population density and optimal conditions in Kashan in 2006 [6].

Extent

Existing population

Extent (Hectares)

Density (Hectares)

Per capita gross (square meters)

Population Desirable

Optimum density (Hectares)

County1

39080

1038/3

37/63

County2

44750

1080/4

41/41

County3

79399

798

County4

27701

Optimal Difference per between the capita per capita gross land, with per (square capita meters) desirable

265/68

96957

93/38

107

+158/68

241/43

100877

93/38

107

+134/43

99/49

100/5

74517

93/38

107

-6/5

337/4

82/10

121/8

41095

93/38

107

14/8

County5

14906

755/5

19/72

506/84

70549

93/38

107

399/84

County6

2600

1261

2/06

4850

117752

93/38

107

+4743

County7

2000

156

12/82

780

14667

93/38

107

+673

County8

3000

210/8

14/33

702/66

19685

93/38

107

+595/66

County9

4751

193/9

24/5

408/12

18106

93/38

107

+301/12

County10

28430

8/1

3/564

2/85

757

93/38

107

-104/15

County11

2172

187/9

11/55

865/1

17546

93/38

107

+758/1

Sum

248789

6027/3

41/46

241

572508

93/38

107

134

The data in table 7 show that: Kashan has the capacity (with its current official limits) for a population of over 572,508 people. In other words, with the population growth rate of 2.13 percent, Kashan has the ability to accept more population in the next 30 years within the limits of its current official status and land gross per capita and desired standards of housing and urbanism ministry. The surrounding regions of Kashan are different from each other in the acceptance of populations. Such that population acceptance in 10th region (the city’s commercial center) is much higher than the standards, while it is almost standard in the 3rd and 4th region. But the adoption of population in other parts is very low, such that, regions 5, 7, 8, 9 and 11 can accept more population (with current population growth rate) until the next 70, 90, 92 and 105 years respectively. The most remarkable point is the amount of the population acceptance ability in region 6. In such a way that, this area with its current population growth rate, can settle more population until the next 210 years. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


379

4 Conclusion Urban land gross per capita in Kashan has reached from 107 square meters to 241 square meters during the last 70 years. The number mentioned is a very high figure and most of it is due to urban sprawl. Moreover, the current extent in the city is suitable for adopting a population of over 572 thousand people and sufficient land is available to the current population growth rate of Kashan up to 30 years for population settlement. What is inferred from these results is that, while we see such lavish exploitation of the land, it seems unlikely to achieve sustainable urban development. Because creating a balanced spatial distribution of urban services in cities with urban sprawl phenomenon (such as Kashan) is very difficult. In addition, the probability of natural hazards in counties where they are irregularly shaped and population acceptance has not been reasonable is much higher than other counties. Scientific studies conducted in Iran confirm this statement. Case studies of Japanese international cooperation agency (JICA) in Iran shows that in case of an earthquake with the intensity of 7 degrees Richter in Tehran (a city which faces the urban sprawl phenomenon) the earthquake losses will amount to 380 thousand in the early minutes (About 6 percent of the total population of Tehran) which is very high figure. More surprisingly, whereas the human toll caused by earthquake, rather than being in crowded regions and in densely populated downtown of Tehran, will be in regions 15, 14, 16, 20 and 12. The regions mentioned were among the surrounding villages of Tehran in not too far in the past or that these regions have been located in abandoned areas around Tehran. However, in recent decades due to the increased population of the city and the high costs of land and also lack of access to inlands of the city for the inhabitants with low-incomes, these lands have been changed into buildings without observing a scientific criterion and then were attached to the main body of Tehran [11]. So regarding the facts mentioned above the urban managers in Kashan, instead of focusing on urban sprawl spread which leads to the destruction of agricultural lands around the city, increased costs of transportation and fuel, increased costs of service deliveries, and consequently increased ground stock prices of the land and creates social and economic inequalities and spatial problems and increases insecurity and above all, increases casualties resulting from natural disasters with optimal utilization of available land within the current city official limitations should improve and renovate old and worn out urban buildings and increase city density logically and according to the standards to answer many of the urban needs and to provide conditions for urban sustainable development.

References [1] Shakoi, H., Social geography of cities, University press of Jihad: Tehran, p.124, 1990. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

380 Sustainable Development and Planning V [2] www.edalatkhahi.ir. [3] Mashhadi Zade Dhaqany, N., Analytical features of urban planning in Iran, Science & Industry University: Tehran, pp.118-135, 2002. [4] Hesamian, F., Etemad, G. & Haeri, M.R., Urbanization in Iran, Agah Publication: Tehran, pp. 170-174, 2008. [5] Shakoi, H., New thoughts on geography, Gita Shenasi press: Tehran, p.133, 2000. [6] Authors calculations based on raw data Kashan municipality. [7] Drawing from the authors based on: original maps of geographically organized Iranian Army. [8] Authors’ calculations based on: Management and planning organization, Yearbook 2007 Iranian cities, Department of statistics and information: Tehran, pp.127-200, 2007. [9] Hekmat Nia , H. & Mosavi, M.N,. Model application in geography with an emphasis on urban and regional planning, Elm Novin publications: Yazd, pp.131-133, 2006. [10] Zanhani, H.A, Demographic analysis, Samt publications: Tehran, p.30, 2005. [11] Zangi Abadi, A. & Tabrizi, N., Tehran earthquake and evaluating spatial vulnerability of urban counties, Geographical Researches: Tehran, pp 56-60, 2006.



381

Trading system of environmental loads: interregional cap and trade system using an ecological footprint T. Ujihara1 & M. Taniguchi2 1

Graduate School of Environmental Science, Okayama University, Japan Graduate School of Systems and Information Engineering, University of Tsukuba, Japan

2

Abstract National lands are classifiable by their usage into source areas and sink areas. Urban areas are environmentally dependent on the land use of rural areas. The concept of environmental balance provides a key perspective. Urban and regional planning including land use planning based on that concept can address environmental problems comprehensively. In recent years, based on the concept of the environmental balance, Ujihara et al. proposed an interregional trading system of environmental loading using ecological footprint. The system is designed to conduct interregional trading based on urban and regional planning. By providing incentives, the system is anticipated as a mode of securing financial resources to promote measures for improvement of the environmental balance voluntarily. However, to consider introduction of the system specifically, it is necessary to examine whether the system provides a structure to improve the environmental balance from the perspective of securing financial resources for urban and regional planning. This study proposed a mechanism for securing financial resources based on an interregional cap and trade system using EF. The study explored future prospects of the system to examine effects on financial resources for urban and regional planning. Results of those analyses show that trading prices related with interregional cap and trade systems using EF are highly influential for financial resources intended for urban and regional planning. The case study demonstrated the possibility that implementation costs are covered by the trading price, even if large-scale measures that drastically reform the regional structure are implemented. Keywords: cap and trade system, ecological footprint, urban planning. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110321


1 Introduction In recent years, the international and interregional emissions trading of environmental loads has been implemented as a countermeasure against worsening global warming. Typical emissions trading systems are international emissions trading established under the Kyoto Protocol and the EU-ETS being conducted in EU countries. The intended environmental loads of those systems are restricted to greenhouse gases because the systems have been conducted specifically to mitigate global warming. However, global environmental problems became diversified. It is necessary to implement measures from a broad perspective to address those other problems as well as greenhouse gases. National lands are classifiable by their usage into source areas (carbon dioxide emissions and food consumption in urban areas) and sink areas (nature absorbs environmental loads in rural areas). Urban areas are environmentally dependent on the land use of rural areas. The concept of environmental balance provides a key perspective. Urban and regional planning including land use planning based on that concept can address environmental problems comprehensively. In fact, the Panel on Infrastructure Development, held under the auspices of the Ministry of Land, Infrastructure, Transport and Tourism in Japan, first described the structure for realizing effective utilization of urban areas and preservation of the natural environment in suburban areas by trading of mutual land use [1]. The Ecological Footprint (EF) developed by Wackernagel and Rees has attracted worldwide attention over the years [2]. The EF can represent different environmental loads such as carbon dioxide emissions and food consumption comprehensively on an areal basis. Moreover, this indicator can represent the intra-regional relation between environmental capacity (forests, farmland, etc.) and environmental loading. It enables estimation of the environmental balance from the viewpoint of limited earth resources. In recent years, based on the concept of the environmental balance, Ujihara et al. [3] proposed an interregional trading system of environmental loading using EF. The system is designed to conduct interregional trading based on urban and regional planning. By providing incentives, the system is anticipated as a mode of securing financial resources to promote measures for improvement of the environmental balance voluntarily. The system is being discussed as an efficient tool for growth strategies in the Panel on Infrastructure Development described above. It is a breakthrough move that raises the feasibility of this system. However, to consider introduction of the system specifically, it is necessary to examine whether the system provides a structure to improve the environmental balance from the perspective of securing financial resources for urban and regional planning. This report of our study explains an interregional cap and trade system using EF developed by Ujihara et al. [3]; it proposes a structure to improve the environmental balance based on the system. Based on the structure, the study explores future prospects of the system to examine the effect on financial resources for urban and regional planning. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


383

1.1 Previous studies The EF indicator was developed by Wackernagel and Rees in the early 1990s [3]. The indicator has been calculated at various scales such as national [3–6] and regional levels [7–11]. Moreover, means to improve the EF value have been studied from the standpoint of urban and regional planning [12–16]. The EF can reveal land areas that depend on other regions by comparing the environmental capacity in a country or region. Andersson and Lindroth [17] quantitatively described land resource dependency of trade using EF. They examined issues in trade from a sustainability standpoint. Recently, specifically regarding land resource dependency, Cap and Trade systems using EF have been developed by Ujihara et al. [3] and Ohl et al. [18]. The system developed by Ohl et al. [18] is designed to trade international environmental loads constituting differences from the global average of environmental capacity (1.8 gha per person). The awareness of the problems is the same as that of the system developed by Ujihara et al. [3], but the system developed by Ohl et al. [18] is not designed as an approach toward the improvement of environmental balance in regions based on urban and regional planning. 1.2 Interregional cap and trade system using EF This section explains the interregional cap and trade system using EF developed by Ujihara et al. [3]. The explanation presents a framework that is useful for establishing national land use for a balanced environment. 1.2.1 What is the interregional cap and trade system using an ecological footprint? Table 1 presents the contents of the interregional cap and trade system using an Ecological Footprint. 1.2.2 Framework toward national land use for a balanced environment Based on an interregional cap and trade system using the EF indicator, this chapter presents a new framework intended for national land use for a balanced environment. Figure 1 portrays the framework. 1) First, the EF is introduced into the master plan for deciding the future guidelines for land use. The use of EF enables the local government to reassess land use in a region based on the environmental balance. 2) Second, based on results of 1), the local government discusses and implements land-use measures such as Urban Compaction and Land Recycling, for improving the environmental balance. Both 1) and 2) shall establish a foundation for participation in an interregional cap and trade system at the national level without the need for new calculations of environmental loads. 3) Finally, “Interregional Cap and Trade” must build a banking system for managing necessary information such as the environmental load excess ratio “r”



Contents of the interregional cap and trade system using an EF [3].

Environment load

Trading price

Participants Cap (Environmental load limit)

This system targets the EF value based on the environmental load generated during the daily life activities of residents (the EF value associated with residential consumption) in a region. The environmental load generated by urban activity outside such regions, such as the industrial and service-related load, is not included in this calculation. Compared with environmental measures aimed at industrial and service sector, measures aimed at the activities of residents are insufficient. • Land-rent-based trading price This method calculates the trading price by converting it into a trading price using the land rent. • CO2 trading price-based trading price This method calculates the trading price for CO2 absorption per unit of forest area using existing CO2 trading prices. (see 2 chapter for more information related to the calculation methods) Local governments drawing up a master plan to decide the future direction of land use planning. The environmental balance in each region is evaluated using the environmental load excess ratio r. The environmental load excess ratio in region “k” (rk) is defined as follows. rk 

EF k EC k

EFk: EF in region “k” (ha) ECk: Environmental capacity (EC) in region “k” (ha)

Environmental load excess ratio (r)

The environmental capacity (EC) is expressed as an area of land necessary to absorb each component in the EF, such as the actual farmland area in a target area. Next, the reduction goal (cap) of the environmental load excess ratio of the whole country is set to realize national land use for a balanced environment. In addition, the initial allocation of each region is the same as the cap (α) of the whole country. Depending on the situation, a cap is premised on change. Specifically, a cap is established as a first step to an achievable goal. Subsequently, the cap is tightened with incentives by local governments. This will enable local governments to address environmental improvement voluntarily. Trading

Dependence amount

Cap (α) Initial allocation

Burden amount

Actual excess ratio Environmentally dependent region

Environmentally burdened region

Basic concept of interregional cap and trade system using the EF.

Interregional trading of footprints

Based on the dependency of land use, trading of footprints (dependence or burden amounts) the differences between a cap and the actual excess ratio are implemented in respective regions. Similarly to existing cap and trade systems, the interregional cap and trade system enables reduction of the actual excess ratio in the region without trading.



385

and the situation of measures in various regions. This banking systemenables interregional trading of footprints in national areas. Furthermore, a cap––the Limit of Environmental Load Excess Ratio “r”––is established as a first step to an achievable goal. The cap is subsequently tightened using incentives for local governments. Through repetition of 2) and 3) using a long-term perspective, the framework was intended to form environmentally balanced regions and national lands (“α”>“r” (1.0)). This framework will enable local governments to address environmental improvement voluntarily through urban and regional planning. Actual condition

α > r

Cap： α Sink areas

1) Actual excess ratio： r

Dependence amount

Figure 1:

Burden amount

Source areas

Implementation of measures in regions 2) EX.： α =1.5 (Variation) Reduction Burden amount

・Urban compaction ・Land recycle

Implementation of interregional cap and trade system

Banking system

3) Dependence amount

Repetition

α > r (1.0) National land use for a balanced environment

Framework toward national land use for a balanced environment [3].

2 Methods As discussed in chapter 1, the cap and trade system developed by Ujihara et al. [3] is designed to conduct interregional trading based on urban and regional planning. It can be expected to serve as a mode of securing revenues to promote voluntary measures toward improvement of the environmental balance. Then, the system is discussed as an efficient tool for a growth strategy at the Panel on Infrastructure Development [1]. The basis of discussion is a desire to introduce the concept of the system for a growth strategy, even if the urban area side bears trading costs of the dependence amount. These are breakthroughs that indicate the feasibility of the system that must provide full understanding and agreement with the urban area side. Although a larger movement exists at the national level, the system presents challenges such as setting of the cap and the association between trading prices that are determined based on the cap and financial resources for urban and regional planning. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

386 Sustainable Development and Planning V This chapter presents the structure of securing revenues for urban and regional planning based on the interregional cap and trade system using the EF, verifies following matter based on the structure. Figure 2 presents the structure. 1) The standard-setting of cap (initial allocation) is defined. The trading price (financial resources) obtained by trading the burden amount is also clarified. 2) Various ways exist to use the financial resources. However, if measures to improve the environmental balance will be implemented, then the trading system generates new financial resources through improvement in a region. This creates incentives to implement measures in a region. Implementation of the interregional cap and trade system using an EF Burden amount of environmental load

1) Financial resource

(Utilization as financial resources for urban and regional planning) Implementation of measures toward improvement of the environmental Improved amount of the environmental balance

Figure 2:

2) Financial resource

Mechanism for securing financial resource based on interregional cap and trade system using EF.

On the assumption that a trading price is used as a financial resource for the urban and regional planning that engender improve environmental balance, this chapter presents a comparison of trading prices and implementation costs based on scenario analysis. Furthermore, the case study quantifies the trading price (financial resources) generated through measures, showing how much those financial resources to investment amount in the case of utilization trading price obtained as the environmental burden amount of the environmental load. 2.1 Prerequisite for case study 2.1.1 Setting the cap For an interregional cap and trade system using EF, trading prices vary according to the cap. The case study sets the standard of the cap and calculates the trading price based on it. From the standpoint of ecological debt based on land-resource dependency, trading prices are clarified as an environmental burden (or dependence) amount of the environmental load. Assuming interregional trading on a nationwide scale, the standard of caps is subject to the following equation. n

 EP j 1

d j

m

  EPkb k 1

EPjd : Trading price of Environmentally dependent region “j” EPkb : Trading price of Environmentally burdened region “k” WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

(1)


387

The cap is set such that the total trading price of environmentally dependent regions becomes equivalent to that of an environmentally burdened region. In other words, it is necessary to set an environmental load excess ratio based on the EF and EC values of the whole country as the initial cap. Lowering the cap over the long term is the ultimate aim at national land use for a balanced environment; the environmental load excess ratio is “1.0”. 2.1.2 Calculation of EF This case study calculates the EF value based on the environmental load generated during the daily life activities of residents (the EF value associated with residents’ consumption) in a region. Consequently, the environmental load generated by urban activity outside such regions, such as the industrial and service-related load, is not included in this calculation. The reasons are the following: 1) The calculable objects and scale are limited, because it is a necessity to consider Input-Output analysis. 2) Insufficient measures are aimed at the activities of residents compared with environmental measures aimed at the industrial and service sector. This calculation methodology can calculate the EF of residential zone-level in a region to meet the measurement scale. The EF indicator comprises the following components, which are linked to land use planning. These components are referred from the methodology developed in an earlier study [2]. 1) Farmland needed to grow crops for food and feed (Farmland footprint) 2) Grazing land needed to graze animals for meat and milk (Grazing land footprint) 3) Forestland needed to obtain material for use in paper production (Forestland footprint). 4) Built-up land needed to conduct urban activities (Built-up land footprint) 5) Forestland needed to absorb CO2 from fossil fuels for household and private transport use (Energy footprint) Table 2 presents the EF indicator value calculation method. Fishing grounds are excluded because the system particularly addresses the introduction into urban and regional planning. There is a “global hectare (gha)” that is virtual land “1 hectare” considering the average productivity of land and water area on the earth. This unit is effective for macro analyses such as an international comparison of EF. The case study does not use the “global hectare” because the system basically is domestic trading. “Ecological Footprint Standards 2009” were released by Global Footprint Network consisting of experts in EF on September 2009 [19]. This report broadly defines the standard of methodology for calculating EF. Adaptation to “Ecological Footprint Standards 2009” must be explored in future works for implementing systems in many countries. Ujihara et al. [20] is developing EF calculation package at local government scale available for cap and trade system.



Method of EF indicator value calculation.

Components in the EF indicator

Farmland 1) footprint

k Food EF food

Formulas for calculation

k

Fj 

10

p

k n

k EFfood 　feed

2) Grazing

F j k : Consumption　of crop j in area k (t) p n k : Population of age backet n in area k (person) f nj : Consumption　of crop j in age bracket n (t/person) α ｊ : Land productivity of crop j (t/ha)

 f nj

n 1

Feed

land footprint

Forestland footprint 3) (paper)

and　grazing　land

k ＝ EF paper

14

Fjk

j 1

j



3 w p nk r  m p m 1  m

3

4) Built-up

land footprint

k EFbuilt  bik  up　land

Energy 5) footprint

k EFhousehold 

2

4

 C i 1 j 1

w m : Wood pulp and chip demanded in japan of each destination for import m (m3) β m : Growing stock amount of forest of each destination for import m (m3/ha) p : Population in Japan（person） r : Rate of household consumption (%) b i ｋ : Built-up of land use i in area k （ha）

i 1

Household

Parameters

k ij

/r

C ij ｋ : CO2 emissions, type i of houses, and size j of households in area k (ton) r : Absorption efficiency of CO2 　　（t-CO2/ha）

Private k EF transport ＝ pk C transportation

k

 kc / r

C ｋ : Automobile fuel consumption in area k (CC/person) k c : Conversion factor

2.1.3 Target regions An interregional cap and trade system using EF assumes trading of an entire country. Because of this, it is necessary to select widely various target regions covering diversified local governments across the country to the greatest extent possible. This case study selects the following regions in Japan with different environmental balance such as a small city and big city. Figure 3 presents target region locations. The environmental load excess ratios of target regions are calculated based on the EF value associated with residents’ consumption, with reference to Table 2. However, the calculation methodology of each region differs slightly because of data limitations. The environmental load excess ratio for all of Japan is 2.67 times. In other words, this case study assumes 2.67 times as the initial cap. Tsuyama city in Okayama Prefecture (population: ca. 110,000): Tsuyama is a local city in intermediate and mountainous areas in western Japan. Although this city serves as a central city in northern Okayama Prefecture, it has a great deal of natural environmental areas such as rural and mountain areas. Tsuyama city is



389

Tokyo Metropolis

Tsuyama city Okayama city

km

Figure 3:

Locations of target regions.

defined as an environmentally burdened region because its environmental load excess ratio is 1.4 times. Okayama city in Okayama Prefecture (population: ca. 670,000): Okayama city is a local central city in western Japan. This city has urban functions in its role as a business center of Okayama Prefecture. Okayama city is defined as an environmentally dependent region because the environmental load excess ratio is 13.5 times. Tokyo Metropolis (population: ca. 13,000,000): The Tokyo Metropolis is the national capital. It is the center of economy and industry in Japan. The Tokyo Metropolis is defined as an environmentally dependent region because its environmental load excess ratio is 75.2 times. 2.1.4 Setting of trading prices Land-rent-based trading prices: when trading of a footprint is implemented, dependency of land use can be converted into a trading price using the land rent. In fact, this method is marked by the ability to calculate trading prices based on interdependence of land resources. The following is the formula used for calculation. (2) EL  EF    EC

EPrent  LR  EL (3) α: Cap (times) EPrent: Trading price of environmentally dependent (burden) amount (euro/year) LR: Land rent per hectare (euro/year) EL: Environmental dependence (burden) amount (ha/year) WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

390 Sustainable Development and Planning V The land rent is estimated easily by multiplying the land price by the social discount rate (0.04). Furthermore, the land price per hectare is the average value of forestland in Japan [21]. This price includes no value of the timber growing as trees on the land (1 euro equals 129.6 yen as of November 30, 2009) [22]. CO2 trading-price-based trading price: This is a method to calculate the trading price using existing CO2 trading prices. This method uses the CO2 trading price of EU-ETS, which has been implemented on a maximum scale in the EU because the trading price of EU-ETS affects other trading markets as a reference price. This case study adopts the CO2 trading price of EU-ETS as an alternative value for the trading footprint. The following is the formula used for calculation.

PCO2  p  rCO 2

(4)

EPCO2  PCO2  EL

(5)

PCO2: Trading price for CO2 absorption per hectare (euro/year) p : Existing CO2 trading price (euro/t-CO2) rCO2 : CO2 absorption efficiency of forest area (t-CO2/ha•year) EPCO2 : Trading price for CO2 absorption to environmental dependence (burden) amount (euro/year) This CO2 trading price of EU-ETS uses 13.54 euro /t-CO2, the closing average of November 2009 [23]. In addition to the forestland footprint, the EF includes farmland, the Grazing land footprint, and so on. The estimates include these components in trading price as equivalence of forestland. It is necessary to consider the value of different land use in the future. 2.2 Association between trading price and cost of implementing measures aimed at improvement of the environmental balance The case study assumes that the trading price of Tsuyama city, obtained as the burden amount of environmental load, is used as financial resources for urban and regional planning toward improvement of the environmental balance. 2.2.1 Settings of scenarios These scenarios are aimed at urban compaction and land recycling with reform of a regional form. Table 3 presents settings of scenarios and its estimated costs. One key point is the degree to which the local government side bears the implementation cost. The scenario budget cost to use low-use and unused lands as natural land use from initial investment (with the exception of cost of land acquisition) to maintenance. The case of the abandoned cultivated lands is similar. However, urban compaction requires incentives for promoting residences in city centers. For this reason, this scenario budgets the cost of lowuse and unused lands acquisition in the city center as an incentive for promoting residence in the city center, in addition to nature regeneration in suburban areas.



Table 3: Scenarios Utilization of less-used and unused lands Land recycling

Utilization of abandoned cultivated lands

Urban compaction

391

Settings of scenarios and the assumed costs. Settings Scenario for converting less-used and unused lands (Area: ca. 180 ha) in suburbs into natural land use Scenario for converting abandoned cultivated lands (Area: ca. 480 ha) in suburbs into natural land use

Urban compaction is set as a scenario for promoting development of low-use and unused lands in the city center (acceptance potential: 2,066 people), with constraint of development in suburban areas.

Assumed costs Costs of reforestation*: Cost of afforestation Cost of maintenance Costs of farmland Regeneration*: Cost of land-clearing Cost of seedling and fertilizer Cost of Maintenance *Excluding labor costs Cost of land acquisition in the city center Costs of the above-described forests and farmlands regeneration

2.2.2 Calculation method of cost of implementing measures The project term of each scenario is assumed conveniently as a decade. Those projects progress in stages. The evaluation period of the scenario is 50 years, including the project period. The total cost related to the implementation of scenarios is converted into present value using a social discount rate (0.04). What land use (farmland, forestland, and so on) should be converted is determined by location conditions and the purpose of the user if low-used and unused lands in rural areas and mountain areas are converted into a nature land use. This case study broadly assumes that the conversion ratios are 70 percent for farmland and 30 percent for forest land, considering location conditions (rural areas and mountain areas) using GIS.

3 Results 3.1 Trading price of target regions Figure 4 presents results of trading prices of target regions based on the initial cap. For cap “2.67”, for example, Tsuyama city (environmentally burdened region) has 4 million euros per year as the burden amount for an environmental load. In contrast, Okayama city (Environmentally dependent region) is subjected to 57 million euros per year as the dependence amount of the environmental load.


392 Sustainable Development and Planning V Million euros per year

200 0

4

Tsuyama city

-200

0.02 -57 -27

0.01 0

Land rent-based trading price

-600

-1000

Tokyo metropolis

CO 2 trading price-based trading price

-400

Cost -800

Okayama city

-450

CO2 trading price-based trading price Land rent-based trading price

-0.02 -965

-1200

Figure 4:

-0.01

Ratios of trading price __ to government revenue __

Benefit

Trading prices_ _

0.03 8

-0.03 -0.04

Trading prices and the ratios of them to government revenue.

Tsuyama city can also expend a trading price obtained as the burden amount of environmental load for urban and regional planning toward improvement of the environmental balance. For a trading price of “4 million euros”, this is equivalent to 8.7 percent of civil engineering expenses in Tsuyama city, including urban planning [24]. Figure 4 shows also the ratios of the trading price to the target region’s revenues [24]. For land rent-based trading prices, those ratios are 2.2 percent in Tsuyama city as the beneficiary, 3.1 percent in Okayama city and 2.8 percent in Tokyo Metropolis as the payment. Environmentally dependent regions will pay about 3.0 percent to revenue as the trading price if an interregional cap and trade system using EF is introduced. 3.2 Association between trading prices and implementation costs of each scenario As Figure 5 shows, for land rent-based trading prices, the total implementation costs of each scenario are lower than the trading price during the evaluation period. In the case of CO2 trading price-based trading prices, only total implementation costs of the utilization scenario of abandoned cultivated lands slightly exceed the trading price. In this case study, total implementation costs of each scenario include initial investment and maintenance costs as implementation costs of each scenario. In addition, utilization scenarios of abandoned cultivated lands are targeted at all abandoned cultivated lands in the target region.



Million euros per year/ha

Million euros per year

200 180

Land rent-based trading price

0.30

Implementation costs per unit area

0.25

140

Implementation costs per unit area

Trading prices and total Implementation costs

160 CO2 trading pricebased

120

0.20 The total implementation costs 0.15

100 80

0.10

60 40

0.05

20 0

Trading price (Financial resources)

Figure 5:

393

Low-use and Abandoned unused lands cultivated lands

Land recycling

0.00

Urban compaction

Trading prices and total cost related to the implementation of scenarios.(Conversion into present value).

It is necessary to discuss how far implementation costs should be covered, with a financial resources scale obtained using this system in mind. Furthermore, as noted from Table 3, each scenario assumes costly measures that are of a drastically reformed regional form. In other words, even if large-scale measures are implemented, trading prices related with an interregional cap and trade system using EF are highly influential on financial resources for urban and regional planning. This case study demonstrated the possibility that implementation costs are covered by the trading price. Figure 6 shows a newly obtainable trading price by improving environmental balance in regions. Regarding the trading price per unit area associated with measures, the effect of the urban compaction scenario is highest in each scenario. This results from the realization of energy-efficient living spaces (from house in suburban areas to apartment in city center) and low traffic environmental loads by promoting residence in the city center, along with utilization of low-use and unused lands in suburban areas, while land recycling for land for the principal purpose of utilization of the land itself. As Figures 5 and 6 show, the newly obtainable trading price is 2–6 percent of the implementation cost. The generation of new financial resources will create incentives to implementation of measures in the region.


394 Sustainable Development and Planning V 1) For land rent-based trading prices

Euros per year/ha 16,000

Newly obtainable trading price per unit area

4.0

14,000 12,000

3.26

10,000

3.0

8,000 2.0

1.58

1.44

6,000 4,000

1.0

2,000 0.0

Low-use and unused lands

Abandoned cultivated lands

Urban compaction

Newly obtainable trading price (benefit) __ related to implementation of measures per unit area

Newly obtainable trading price related ___ to implementation of measures

Million euros per year 5.0

0

Land recycling

2) For the CO2 trading price-based trading price Million euros per year

Euros per year/ha

16,000 14,000

4.0

3.0

12,000 10,000 Newly obtainable trading price per unit area

2.0

1.0

8,000 6,000

1.52

4,000 0.67

0.74

2,000

0.0

Newly obtainable trading price (benefit) __ related to implementation of measures per unit area

Newly obtainable trading price related __ to implementation of measures

5.0

0 Low-use and unused lands

Abandoned cultivated lands

Urban compaction

Land recycling

Figure 6:

Newly obtainable trading price by improvement of the regional environmental balance (Conversion into present value).

4 Discussion and conclusions An interregional cap and trade system using EF developed by Ujihara et al. [3] is expected to become an effective tool to promote voluntary measures intended for improvement of the environmental balance in the region. In fact, the system is discussed as one efficient tool for a growth strategy in the Panel on Infrastructure WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


395

Development [1]. This is a breakthrough move that raises the feasibility of this system. Although a larger movement can take place at the national level, it is necessary to examine, for exploration of future prospects of this system, whether it becomes a structure that can contribute to improvement of the environmental balance from the viewpoint of financial resources for urban and regional planning. This study proposed a mechanism for securing financial resources based on an interregional cap and trade system using EF. Based on this mechanism, the study explored future prospects of the system to examine effects on financial resources for urban and regional planning. Results of those analyses show that trading prices related with interregional cap and trade systems using EF are highly influential for financial resources intended for urban and regional planning. The case study demonstrated the possibility that implementation costs are covered by the trading price, even if large-scale measures that drastically reform the regional structure are implemented. However, the mechanism for improving environmental balance aimed at the region side burdened with the expenses should be considered in the future. It is important to present a widely varied planning menu of considerations to regionalism, not only costly land-use measures but also inexpensive measures to promote the environmentally conscious behavior of residents.

References [1] Ministry of Land, Infrastructure, Transport and Tourism, http://www.mlit .go.jp/policy/shingikai/s204_toshikeikakuseido01.html, 2010. (Accessed on August 30, 2010). (in Japanese) [2] Wackernagel, M., Rees, W. E., Our Ecological Footprint: Reducing Human Impact on the Earth. New Society Publishers, 1996. (Canada). [3] Ujihara, T., Taniguchi, M., Matsunaka, R., Interregional cap & trade program using ecological footprint: national land use planning for balanced environment. Journal of the City Planning Institute of Japan 43, pp.877–882, 2008. (in Japanese) [4] Bicknell, K.B., Ball, R.J., Cullen, R., Bigsby, H.R, New methodology for the ecological footprint with an application to the New Zealand economy. Ecological Economics 27, pp.149–160, 1998. [5] Ferng, J.-J., Using composition of land multiplier to estimate ecological footprint associated with production activity. Ecological Economics 37, pp.159–172, 2001. [6] WWF, Living Planet Report. http://assets.panda.org/downloads/ living_planet_report.pdf, 2006 (accessed on August 20, 2010). [7] Folke, C., Jansson, A., Larsson, J., Costanza, R., Ecosystem, Appropriation by cities. Amboi 26(3), pp.167–172, 1997. [8] Barrett, J., Vallack, H., Jones, A., Haq, G., A Material Flow Analysis and Ecological Footprint of York. Stockholm Environment Institute, 2002. [9] Taniguchi, M., Hirofumi, A., Shigekane, K., Prefectural balance sheet of the environment – study based on the ecological footprint –. Studies in Regional Science 34(1), pp.23–35, 2003. (in Japanese) WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

396 Sustainable Development and Planning V [10] Best Foot Forward, City Limits A resource flow and ecological footprint analysis of Greater London, 2004. [11] Bagliani, M., Galli, A., Niccolucci, V., Marchettini, N., Ecological footprint analysis applied to a sub-national area: The case of the Province of Siena (Italy). Journal of Environmental Management 86, pp.354–364, 2008. [12] Barrett, J., Scott, A., An Ecological Footprint of Liverpool: Developing Sustainable Scenarios. Stockholm Environment Institute, 2001. [13] James, N., Desai, P., One Planet Living in the Thames Gateway-A WWFUK One Million Sustainable Homes Campaign Report, WWF-UK, Surrey, UK, 2003. [14] Kiyooka, T., Taniguchi, M., Matsunaka, R., Study of sustainability of local scale land-use based on the Ecological Footprint index. Journal of the City Planning Institute of Japan 40–3, pp.55–60, 2005. (in Japanese) [15] Muñiz, I., Galindo, A., Urban form and the ecological footprint of commuting. The case of Barcelona, Ecological Economics 55, pp.499-514, 2005. [16] Ujihara, T., Taniguchi, M., Matsunaka, R., Sustainability of city planning based on the ecological footprint indicator: Balance between environmental load and environmental capacity. Selected Papers Environmental Systems Research 36, pp.207–215, 2008. (in Japanese) [17] Andersson, J.O., Lindroth, M., Ecologically unsustainable trade. Ecological Economics 37, 113–122, 2001. [18] Ohl, B., Wolf, S., Anderson, W., A modest proposal: global rationalization of ecological footprint to eliminate ecological debt. Sustainability: Science, Practice, & Policy 4(1), pp.5–16, 2008. [19] Global Footprint Network, Ecological Footprint Standards 2009. http://www. footprintnet-work.org/images/uploads/Ecological_Footprint _Standards_2009.pdf, 2009. (accessed on October 21, 2009). [20] Ujihara, T., Furuichi, S., Shirato, S., Taniguchi, M., Evaluation for environmental balance of local government–scale based on the ecological footprint: By using practical calculation package “EF-Calc”, Proceedings of 38th annual meeting of environmental systems research, pp.245-251, 2010. (in Japanese) [21] Japan Real Estate Institute, http://www.reinet.or.jp/, 2005. (accessed on February 30, 2008) (in Japanese) [22] Yahoo Japan Finance, http://quote.yahoo.co.jp/, 2009. (accessed on November 30, 2009) (in Japanese) [23] Point Carbon, http://www.pointcarbon.com/, 2009. (accessed on August 30, 2010) [24] Ministry of Internal Affairs and Communications, http://www.soumu.go.jp /iken/zaisei/card-8.html, 2009. (accessed on April 30, 2009) (in Japanese)



397

A scale for architectural design compactness: a mathematical approach M. M. Saeed Architectural Department, College of Engineering, University of Salahaddin, Iraq

Abstract The topic of compactness is significantly connected to sustainability, due to its impact in understanding and managing the process of shape-space formation, which may lead to an energy efficient design. This paper is a complement to a research delivered to a scientific conference of the Iraqi University of Technology in 1999 by the same researcher, discussing the concept of architectural design compactness, its prospects and development, the recent paper distinguishes between the shape compactness and the design compactness, and suggests a scale for the latter. The methodology adopted in this paper is, after defining the function of the architectural design compactness, reviewing all the relevant available scales and discussing their function to find whether they are sufficient to measure the design compactness. Discovering the contradictions of these scales results, lead to the necessity of deriving an objective and quantitative scale for the latter which is the aim of this paper. By analyzing the function of the architectural design compactness as a dependent variable, the independent variables which the latter relatively varies accordingly were devised, and then the scale is mathematically derived. Reliability of the scale has been verified by comparing the computed design compactness values of various building systems with their subjective evaluation; it shows a remarkable consistence with them. A model of abstract plans representing various design systems is prepared to evaluate their compactness to be used as guidelines for designers. The derived scale can be developed in a subsequent paper to establish a system for evaluating the compactness of multi-storey buildings by taking into account the rate of change for all external surfaces (walls and roofs). Keywords: architectural design, compactness, shape factor, perimeter, surface area, volume, space, form. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110331


1 Introduction Architectural design compactness is one of the powerful tools that can be exploited to design energy efficient buildings meeting sustainability requirements. It can control the architectural design process, and also can be the complementary aspect to the evaluation of heat resistance of building components for controlling heat loss and gain. Compactness – in contrast to looseness – in the architectural design describes the degree of joining and attachment of building spaces. Buildings are considered compact when the shared sides of internal spaces (and with adjoining buildings) increase, and not only when the perimeter decreases, and considered loose when the shared sides of internal spaces decrease and not only when exposed sides with the external open space increase. Although there are many scales available for measuring the compactness of shapes or solids form, there is a lack of a quantitative scale for measuring architectural design compactness which if measured by the abstract shape and form scales may lead to a misunderstanding and contradiction of the architectural design evaluation. In this paper, the proposed scale deals with single storey architectural systems, which consist of rectangular spaces connected to each other due to their attachment and sharing their sides partially or completely with others and with the external open spaces.

2 Methodology 2.1 Review of the preceding studies Although compactness of architectural design has not been studied as an independent subject, many researchers referred to, when studying environmental design, or cost analysis of building enclosure, explained its effect, and concluded that the external perimeter of building varies according to the building shape and that a compact building is one that has a maximum floor area with a minimum perimeter. Blackwell [1] put the first step toward compactness by studying the properties of abstract geometrical shapes and their area/ perimeter ratios, for various sides proportion varying from (1) to (100). To explain the variation of perimeter relative to the side proportion, Blackwell did not use the absolute value of area/ perimeter ratio, but he related it to the same ratio of a circle of similar area to get a dimensionless value representing the degree of compactness for a shape and presented it graphically (fig. 1). Evans [2], Burberry [3] and Vandenberg [4] went a farther step by introducing models representing the variation of perimeter relative to the compactness of the shape. The first, presented a model (fig. 2) of nine abstract forms, five of them single storey residential units of equal area but of different shapes, he compared the value of their exposed surface area to show their variation relative to shape when the floor area is constant. The second, plot a graph of three lines representing the heat loss ratios for three houses of 100 m2 area, and of 1:1, 1:2 and 1:3 sides proportion (fig. 3), and he explained the reasons for dissimilarity WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


399

of heat loss, due to the unequal surface area of the three cases. The latter presented five abstract forms (fig. 4), two of them of equal area but of different shapes, he compared their wall to floor area to show the effect of shape on cost.

Figure 1:

Area/perimeter factor relative to sides proportion.

Figure 2:

Variation of exposed surface area relative to shape.

Figure 3:

Variation of heat loss relative to aspect ratio.


400 Sustainable Development and Planning V 10m

Perimeter (m) Area (m2) of enclosing walls (£8 per m2) Floor area (m2) Wall/floor ratio

Figure 4:

Shape A 12

B 24

C 40

D 80

E 100

36

72

120

240

300

9 4·0

36 2·0

100 1·2

400 0·6

400 0·75

Variation of wall cost relative to shape.

Lechner [5] refer to another variable effecting the value of compactness; the number of units contained in a system, by presenting a model of four building blocks (fig. 5) for houses of equal areas and perimeter but each block contain different number of houses, he measured the average external exposed surface area of each house, for the four blocks and the saving in external walls due to the variation of the walls attaching the external space. All the presented studies had not defined values of design compactness to any model due to the lack of a scale.

Figure 5:

Variation of external wall cost relative to the number of units in a block.



401

Saeed [6] explained the necessity of a scale for measuring the compactness of the architectural design to indicate the degree of joining and attachment of the building spaces due to their pattern of arrangement, within the surface or a volume and developed a model measuring the variation of design compactness – as a dependent variable – in relative to all internal components perimeters and inversely with the sum of the exposed sides of the final shape formed by these components, as independent variables. 2.2 Reviewing the available compactness scales, factors and ratios Shape factor is an independent orientation, dimensionless number and agree with intuitive notions of what makes a shape compact [7]. Many scales, factors and ratios have been derived to describes compactness of shapes and forms, some of these are dimensional with units of (1/length), such as; Perimeter / Floor area ratio, or External envelope/Volume, nominated as Coefficient of Compactness which is measured by the equation; ke = A/Ve m-1 [8–10]. These scales can be used only to evaluate alternatives of a single system when one of the variables is constant, such as perimeter or floor area for the first scale, and A or Ve for the second. These factors cannot be considered as general scales due to their lack of the condition of being dimensionless numbers. Other scales such as; Wall / Floor area, External envelope / Floor area [4], although they are dimensionless, but still have the same lack of limited evaluation extent to a specific case, similar to the a.m. scales. Form factor derived by Mahdavi [11] or relative compactness as he ⁄

can be an adequate measure for form nominated it- by his equation: RC = 6 compactness but not the design compactness. Generally, all these scales are sharing the attribute of measuring the variation of perimeter of a shape relative to its area, or the variation of surface area relative to its volume, in other words they are describing the shape of the surface, or the form of the volume, regardless the arrangement of the components of these surfaces or volumes, if they are loose or compact. These scales will face a contradiction in their results if intended to measure design compactness due to the fact that, well compacted solid (evaluated by the shape factor) have not necessarily a compacted arrangement of cells, the reverse is true too, less compacted solid can contain well compacted arrangement of cells. To present an example explaining this fact, assume three volumes containing cubical subdivision; A, B and C (fig. 6 ), A is the biggest in plan area, divided into four equal cubes, B has the same number of cubes as in A but smaller, C is similar in area to B but divided into nine equal cubes. All scales devoted to describe shape compactness will show higher value for A than B and C, because it has more unit volume per unit of surface area than the smaller ones, and equal values for B and C because both have similar unit volume per unit of surface area. While according to the explained design compactness function, compactness value of A is equal to B, because cells in both volumes are compactness of C > A and B because cells in C are more attaching each other internally and less exposed to the external space than A and B. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


A Figure 6:

C

B

Comparison of compactness for three volumes containing cubical subdivision.

2.3 Definition and variables of the architectural design compactness This paper distinguish between two different facts; shape compactness (nominated later as the shape factor) and the architectural design compactness, although both can measure two dimensional surfaces and three dimensional solids. Shape factor for two dimensional shapes is an abstract measure describing the degree of contract, shortening or elongation of a surface, and it is derived by comparing its perimeter to area ratio to that of the most compact shape with the same area; the square, if the circle shape excluded. While the architectural design compactness scale deals with plans of various shapes consisting of several internal cells (spaces), hence its value is associated significantly with the pattern of arrangement of these cells that establish the final shape and the degree of attachment between the cells and with the outdoor open space. Hence the architectural design compactness as a dependent variable varies relatively to the sum of components (cells) perimeter and inversely to the exposed sides of the final shape formed by these components, as independent variables, hence: ∑

where

(1)

= architectural design compactness for a system. ∑ is the sum of components perimeter = + +… = exposed sides of the final system. Hence: ∑

(2)

where is a constant, can be substituted by unity, but the value of is chosen instead, due to the quadrangle shapes of all components, and to get balance by equal weights of both variables, ∑ and , hence: ∑


(3)


403

3 Mathematical approach to compactness 3.1 Shape factor (

)

for rectangular shapes

The geometrical shape of a constant area will be more compact whenever it contracts or shorten and the reverse is true, whenever it elongate or extend, its perimeter will increase and its compactness will decrease. Sides proportion of any rectangle describe its compactness regardless to its area, but to have a general scale capable to describe all shapes compactness, the ratio of perimeter value of a rectangle to a perimeter of a square of equal area can be utilized, which nominated as the shape factor. Assuming a rectangle of area ( ), side proportion (r) and shape factor ( ). The sides of the rectangle will be √ . , 2

The perimeter of the rectangle = 2√ .

The perimeter of a square of similar area = 4√ √ .

By definition;

hence

Table 1:

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

(5)

√

Shape factor values ( Aspect Ratio 1: 1.0 1: 1.1 1: 1.2 1: 1.3 1: 1.4 1: 1.5 1: 1.6 1: 1.7 1: 1.8 1: 1.9 1: 2 1: 2.5 1: 3 1: 3.5 1: 4 1: 4.5 1: 5 1: 10 1: 15 1: 20 1: 30

(4)

√

).

Shape Factor 1.000 1.001 1.004 1.009 1.014 1.021 1.028 1.035 1.043 1.052 1.060 1.107 1.155 1.200 1.250 1.296 1.341 1.739 2.065 2.348 2.830


404 Sustainable Development and Planning V The shape factor is a dimensionless value, having no relation to area, depending only on sides proportion. Hence the shape factor for a square is unity, for a circle is ( of rectangles.

√

3.2 Shape factor (

. Table 1 indicates values of ( )

)

for various side proportion

for three dimensional forms (or form factor)

Shape factor ( ) for three dimensional forms (or form factor) can be defined as; the ratio of surface area value of a solid to a cube surfaces area value of equal volume. Mahdavi [11] have derived an equation for measuring this factor: 6

where

(6)

= Volume of any solid. S = Surface area of the solid.

3.3 Architectural design compactness ( ) for two dimensional shapes By definition of the Shape Factor for two dimensional shapes ( perimeter of a single rectangle is: 4√ . where is the perimeter of any rectangle. its area. its shape factor. the summation of perimeters of a detached group of rectangles is ∑ 4∑ . . = . . . where ∑ But by definition of design compactness, ∑

Substituting the values ∑

),

the (7)

(8)

(9)

in eqn.(9) by its value in eqn.(8) we get ∑

.

(10)

which means that the design compactness equal to the summation of the square root of each space area in a system multiplied by their corresponding shape factors divided by the sum of the exposed sides of the form. Mathematical derivation reveals that shape factor of cells is one of the variables that design compactness varies according to, in addition to the independent variable representing the number of building spaces that a shape consists of. Average value of design compactness may equal unity which represent a well compact design, less compact design can have lower value, down to 0.25 which represent a detached single square, or even less values, at the same time it can have values more than unity for a very well compact design. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


405

4 Results: discussing the compactness of design systems In order to compare the compactness of some usual building systems such as linear, square and the courtyard types, a model of abstract plans is prepared, consisting of square units representing the spaces as shown in fig. 7, their compactness were calculated and showed the following results which can be used as guidelines for designers: 1. For continuous linear systems which represent attached housing: (a) For systems of two units depth, and spaces of depth equal to the external side, fig. 7A. The compactness value will be the unity as follows √

1

(b) If the depth of the attached house is three spaces, fig. 7B, the compactness will be 3 √ 2

1.5

(c) For a similar system as in 1(a) but with a ratio of space depth to the external side of (r), fig.7C, compactness will be √

√

which means that compactness will equal the square roots of the aspect ratio. 2. For continuous linear systems consisting of double loaded corridor which represent office buildings as an example; (a) If the corridor width is 1/3 of the spaces width, and the building length is nine units, fig.7D, the compactness will be 18√

2.25 22.66

9 3

0.97

(b) For a similar system as in 2(a) but if the aspect ratio of the spaces is (r) fig. 7E, the compactness will be 9 18√ 2.25 3 0.97 √ 22.66 which means that if the aspect ratio is 1.5 as an example the compactness will be 1.19.



A B

C

D

F

Figure 7:

E

G

A model of abstract plans consisting of square units representing the spaces in an architectural abstract plan.



407

3. For square form building consisting of ( ) number of square spaces (a) If the building is detached, fig.7F, compactness will equal the square root of the number of the spaces divided by four. And it will increase whenever the number of spaces increase. √ √ 4 4√ √ (b) For a system similar to 3(a) but attached from three sides and with an internal courtyards representing formal housing, fig.7G assuming to consist of nine spaces (3*3) eight of them indoor and one courtyard space, compactness will equal: 8√ 1.14 7√ It is concluded that these systems can result in high values of compactness.

5 Conclusion 1. This paper distinguishes between two different scales; shape factor and architectural design compactness. shape factor can describe compactness of abstract (2D) geometrical shapes, while architectural design compactness measures the joining and attachment of the sides of the spaces of a system. The equations, for evaluating both scales are derived. 2. The design compactness scale can be the complementary aspect to the evaluation of heat resistance of building components for controlling heat loss and gain in buildings regardless to the building area, loosed design should have higher values of heat insulations. 3. The derived equation enables computing the external exposed sides of a building before the design stage, depending on the building program and the assumed compactness. 4. Compactness for any design system can be calculated using the method explained in section 4 of this paper, before the design stage to choose the appropriate one. 5. The range of the equation can be extended – in a consequent paper – to cover the design compactness of three dimensional volumes.

References [1] Blackwell, W. Area-perimeter ratios (chapter one), Time Saver Standard for architectural design data, Callender, J.H. pp. 72-74 (1982). [2] Evans, M. Housing, Climate and comfort, The Architectural Press- London, pp. 37. [3] Burberry, P. Environment and Services, BT Batsford Limited London, p. 82. [4] Vandenberg, Maritz, AJ Handbook for Building Enclosure, pp. 3135. (1986). WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

408 Sustainable Development and Planning V [5] Lechner, N. Heating, Cooling and Lighting Design methods for architects, John Wiley & Sons Inc. pp. 441. (2001). [6] Saeed, M.M. A scale for compactness. Proceeding of the 5th Iraqi Technological Conference of the University of Technology, Iraq (1999). [7] http://en.wikipedia.org/wiki/Compactness_measure_of_a_shape [8] Andreas W., Mathias W., Sabine F. web-based method to generate specific energy consumption data for the evaluation and optimization of building operation. University Karlsruhe (TH) - Department of Architecture. Building Physics and Technical Building Services. [9] Yurij A. M., Mark C., Cliff M. Forty-Percent Savings and Beyond -Recent Advances in Code Implementation and Development of SuperEfficient Buildings in Russia and Other CIS Countries Center for Energy Efficiency and Research Institute for Building Physics. Institute for Market Transformation. [10] Zuzana, SVUPS-Nova Slovak republic Implementation of the EPBD in Slovak Republic (2007). [11] Mahdavi, A. Computational building models: theme and four variations. Eighth International IBPSA Conference. Eindhoven, Netherlands Department of Building Physics and Human Ecology. Vienna University of Technology A-1040, Vienna – Austria. (2003).



409

Bumblebees as potential indicators for the evaluation of habitat quality I. Diaz-Forero, V. Kuusemets, M. Mänd & J. Luig Institute of Agricultural and Environmental Sciences, Estonian University of Life Sciences, Estonia

Abstract Habitat fragmentation, decline and degradation are considered important threats to biodiversity and the principal processes that contribute to landscape change. It is fundamental to understand the quality of habitats (and the location of suitable ones) to develop appropriate biodiversity conservation strategies. Insects are considered key indicators of environmental change due to their diversity of habitat characteristics and requirements. Habitat quality may be assessed by its suitability for insects using important ecological differences between generalist and specialist species. Specialist species are more severely affected by the degradation and decrease of suitable habitats than generalists, as they are dependent on specific types of flowering plants or local environments. In our study, we collected data on five species of long-tongued bumblebees (gen. Bombus) including B. pascuorum, B. hortorum, B. ruderarius, B. sylvarum and B. distinguedus. The richness and abundance of long-tongued bumblebee species were recorded in 22 semi-natural meadows in Northeast Estonia. We identified abiotic and biotic factors, at both patch and landscape scale, which significantly impacted total species richness and abundance of long-tongued bumblebees. Overall, we found that besides the availability of food resources in the habitat, it is important to bear in mind the quality and diversity of the surrounding matrix when designing biodiversity conservation strategies. In countries with patchy landscapes, like Estonia, it is important to consider ecological indicators that are strongly associated with both patch and landscape variables. Therefore, bumblebees have the potential to serve as good indicator species for habitat quality. Keywords: long-tongued bumblebees, species richness, flowering plants, landscape structure. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110341


1 Introduction The main processes that contribute to landscape change are habitat fragmentation, decline and degradation; these are also important threats to biodiversity [1]. Fischer and Lindenmayer [1] considered habitat degradation to be the gradual deterioration in quality of an area of habitat for a given species. Many definitions have been given to habitat quality [2]. In our study, we adopted the one presented by Hall et al. [3]; they defined habitat quality as “the ability of the environment to provide conditions appropriate for individual and population persistence”. It is well known and widely accepted in many countries that bumblebees and other important pollinators are declining [4–7]. The intensification of agriculture has led to the reduction of suitable habitats and decrease of food resources for pollinators [8, 9]. It is fundamental to become acquainted with the quality of the remaining habitats and the location of suitable ones in order to develop appropriate biodiversity conservation strategies. To do that, we must know what indicators can be used to evaluate habitat quality. Long-tongued bumblebees are important pollinators of deep perennial flowers. Longer-tongued species have shown increasing vulnerability in the United Kingdom. Goulson et al. [10] found that "the most severely affected species tend to be those with long tongues associated with deep perennial flowers". In contrast, Williams and Osborne [7] found that long tongues and food-plant specialisation were not associated with declines of bumblebee species. However, some studies agreed that further research is required on the ecology of rare species and the role of diet specialisation in bumblebee decline (e.g. [4, 7, 11]). In our study, we collected field data on five species of long-tongued bumblebees: B. pascuorum, B. hortorum, B. ruderarius, B. sylvarum and B. distinguendus. We identified biotic and abiotic factors, at both patch and landscape scale, which may be significant indicators for species richness and abundance of long-tongued bumblebees. In addition, we discuss why bumblebees could be used as potential indicators of habitat quality.

2 Materials and methods We completed field work during the summers of 2008 and 2009 in Ida-Virumaa, a county in northeast Estonia. This region has a very patchy landscape mosaic with a variety of land cover types, predominantly forest, arable land and meadow. Even though northeastern Estonia has been impacted by mining activities, it is still considered a region that supports a significant number of species and abundance of pollinators, including bumblebees [12]. In both years, we visited 22 semi-natural meadows and sampled each meadow two times. Bumblebee counts took place in June, July and August, and were completed within approximately 45 minutes. We performed systematic walking surveys [13] during the warmer part of the day, between 11:00 h and 16:00 h, when weather conditions were suitable (i.e., temperature was above 18ºC and wind WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


411

speed was less than 5 as measured by the Beaufort scale). The identification of species and counting of individual bumblebees was done by sight. When the observer could not identify the species, the bumblebee was caught with an insect net for later identification. The nomenclature of the insects follows that used in the Fauna Europaea Web Service [14]. In this study, we used our data on total species richness and abundance of long-tongued (LT) bumblebees (i.e., B. pascuorum, B. hortorum, B. ruderarius, B sylvarum and B. distinguendus). At patch scale, we measured the following variables: species richness of flowering plants, percent cover of flowering plants, patch area, shape, fractal dimension index and edge density. We identified the flowering plants and counted the number of species on site. Percent cover of flowering plants was recorded via a visual estimation of the overall coverage at each study site. We used the total number of species of flowering plants and the arithmetic means of the four observations of percent cover of flowering plants. At landscape scale, we considered the following indices: patch richness density (PRD), interspersion and juxtaposition index (IJI), edge density at landscape level (ED_Land) and Shannon’s diversity index (SHDI). In addition, we calculated the proportion of different land cover types around the study areas (i.e., arable land, meadow, forest and human settlements). Calculations were performed with ArcGIS 9.3 software using the digital Estonian Basic Map provided by the Estonian Land Board at a scale of 1:10,000. All landscape variables were estimated at four spatial scales (250, 500, 1000 and 2000 m radius). Fragstats software (Version 3.3) was used to compute the patch and landscape indices. In this study, Spearman rank order correlations were performed to analyse the relationships between species richness or abundance of long-tongued bumblebees and our variables at patch and landscape scale.

3 Results and discussion 3.1 Long-tongued (LT) bumblebees and their relationships with patch and landscape variables We found five species of LT bumblebees: B. pascuorum, B. hortorum, B. ruderarius, B. sylvarum and B. distinguendus. Total species richness and abundance of LT bumblebees ranged from 1 to 4 species and from 2 to 29 individuals, respectively. The most abundant species were B. pascuorum and B. ruderarius, whereas B. distinguendus was extremely rare. The results from correlation analyses are presented in Table 1. We found that both species richness and abundance of LT bumblebees had positive relationships with species richness of flowering plants and percent cover of flowering plants. The higher the availability and diversity of food resources in the habitat, the better the bumblebees’ chances of finding the flowering plant species they require. In addition, the dispersal distances of some rare species of bumblebees are very restricted, depending on resources within the habitat or in compensating areas, such as edges. Some rare, long-tongued species have a rather small foraging range (e.g., B. distinguendus) [15]. In general, increasing WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

412 Sustainable Development and Planning V the presence of flowering plant species in semi-natural meadows enhances both the species richness and abundance of bumblebees by providing better quality habitats. This is consistent with previous studies on bumblebees (e.g. [5, 11, 16]). Table 1: Variable

Relationships between long-tongued bumblebees and variables at patch and landscape scale. Spatial scale (m radius) -

Long-tongued bumblebees Species richnessa Abundancea 0.67*** 0.76***

Flowering plant species richness Percent cover 0.61** of flowering plants Proportion of 500 -0.45* forest (%) 1000 -0.45* Proportion of 1000 0.55** meadows (%) 2000 0.58** Edge density 500 0.27 at landscape 1000 0.39 level (ED_Land) (m/ha) Shannon’s 2000 0.54** diversity index (SHDI) a Spearman rank correlation coefficients (rs) are shown * Correlations significant at P < 0.05 ** Correlations significant at P < 0.01 *** Correlations significant at P < 0.001

0.58** -0.10 -0.01 0.09 0.10 0.44* 0.42*

0.36

At landscape scale, we found that species richness of LT bumblebees correlated positively with proportion of meadows at 1000 m and 2000 m. Similarly, Hatfield and LeBuhn [17] found that the most consistent positive influence on species richness and abundance of bumblebees was the proportion of meadows in the surrounding landscape, at a 2-km buffer from the edge of the focal habitat. In general, bumblebees have large foraging ranges [17–19]. Even though some LT bumblebee species have short foraging distances, as mentioned above, other species are known to fly more than 2000 m (e.g., B. pascuorum) [20]. Dispersal abilities of bumblebees allow them to retrieve floral resources in adjacent meadows, increasing the probability of individuals finding flowering plants [17]. In addition, LT bumblebee abundance correlated positively with ED_Land at 500 m and 1000 m. There is a strong dependency of bumblebee abundance on the availability of flowering plants. Kumar et al. [13] explained that habitat WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


413

edges contain a great abundance and diversity of floral resources, making them suitable places for flower visitors. Also, the presence of edges and other compensating areas is very important to bumblebee survival, especially in patchy landscapes with diverse land cover types. Sepp et al. [21] explained that forest edges are particularly important in April and May, when bumblebee queens mostly forage flowering willows that are commonly found in the forest edges of Estonia. Positive relationships were found between species richness of LT bumblebees and SHDI at 2000 m. This landscape index indicates the level of complexity of the surrounding matrix, as the higher the value of SHDI, the higher the number of patch types and the more equitable the distribution of those patch types across the landscape [22]. Other authors have found similar positive relationships between insects and the diversity of the landscape matrix [23, 24]. Williams and Osborne [7] suggested that the ability of bumblebees to fly long distances from the colony makes them less susceptible to the fragmentation and patchiness of the landscape, as they become more flexible in the utilisation of food resources. The presence of different patch types in the surrounding landscape of their habitats increases the probabilities of finding suitable habitat fragments with the needed flowering plant species; concurrently, this enhances the survival possibility of bumblebee species. In contrast, negative correlations were found between species richness of LT bumblebees and proportion of forest at 500 m and 1000 m. These results suggest that some species of LT bumblebees prefer open areas. In general, LT bumblebee species have specialised diets and are expected to visit a particular type of flowering plants; those flowers are more likely to be found in open areas than in patches of forest. Similarly, Bäckman and Tiainen [16] found that the longtongued species B. ruderarius prefers open habitats. Additionally, it has been suggested that early-emerging bumblebee species are associated with forests while late-emerging species are associated with grasslands; most late-emerging species are medium or long-tongued bumblebees [11]. Other variables at patch scale (i.e., patch area, shape, fractal dimension index and edge density) and landscape scale (i.e., proportion of arable land, proportion of human settlements, PRD and IJI) do not appear to be important for LT bumblebee species richness and abundance. 3.2 Bumblebees as potential indicators of habitat quality Ecological indicators can be defined as factors that communicate important information about ecosystems and the impact of human activities on them. Ecosystems are complex and the use of ecological indicators is needed in order to describe them in simpler terms that can be understood and used by scientists and non-scientists alike to make management decisions [25]. Insects are considered key indicators of environmental change due to their diversity of habitat characteristics and requirements. The role of insects as ecological indicators has been tested and studied extensively (e.g. [21, 26]). Bees are a vital element of global biodiversity and an important group of pollinators, as they play a key role in supporting not only crops, but also the diversity of WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

414 Sustainable Development and Planning V natural and semi-natural vegetation [27, 28] and the survival of other organisms [4, 27]. Among bees, bumblebees are considered to be the best-documented group [6]. Bumblebees are known to be sensitive to environmental changes and serve as good indicators of habitat quality [21, 29]. In Estonia, bumblebees are considered significant indicators of habitat and landscape diversity [5], and have been proposed as biodiversity indicators at the landscape level of the agri-environmental programme [21]. As we mentioned above, bumblebees and other pollinators are at risk. Thus, there is a current need for the protection of endangered species as well as the conservation of their habitats. Semi-natural habitats, such as meadows, are areas of important value for bumblebees, as they provide essential resources like food and nesting sites [30, 31]. In a recent study, Le Féon et al. [32] found that bees were negatively associated with agricultural intensification, while they were affected positively by the amount of semi-natural habitats in the surrounding landscape. Some conservationists’ studies of endangered species have emphasised the role and importance of large-scale dynamics (e.g. [27]); it therefore appears relevant to consider interactions between species and landscape elements when developing biodiversity conservation strategies. Hatfield and LeBuhn [17] suggested that bumblebee communities provide an excellent model for evaluating the importance of factors at patch and landscape scale. Even though bumblebees are known to have large foraging distances [17– 19], they appear to display a high dependency on their central foraging place [17, 33]. Our results show that bumblebees are related with variables at patch scale (i.e., species richness of flowering plants and percent cover of flowering plants) as well as variables at landscape scale (i.e., proportion of meadows, proportion of forest, ED_Land and SHDI) in different ways. Habitat quality may be assessed by its suitability for insects [34] using important ecological differences between generalists and specialist species. Specialist species are more susceptible to degradation and decrease of suitable habitats than generalists because they are dependent on specific types of habitats or flowering plants. A greater tongue length in bumblebees has been suggested as one factor that confers greater susceptibility to decline on some bumblebee species [7].

4 Conclusions Overall, we found that not only the availability of food resources at patch level, but also the quality and diversity of the surrounding matrix, are important factors affecting the species richness and abundance of long-tongued bumblebees. Landscapes with high percentages of meadows, with a strong presence of edges and a diverse matrix, may support a higher diversity and abundance of longtongued bumblebees. With the presence of adjacent patches of meadow and habitat edges in the surrounding landscape, there is an increased probability that bumblebees will encounter floral resources during their life cycle. In addition, it appears that the ability of bumblebees to fly long distances makes them less vulnerable to the level of fragmentation and patchiness in a given landscape. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


415

In countries with patchy landscapes, like Estonia, it is important to consider ecological indicators that are strongly associated with both patch and landscape variables. Bumblebees, because of their reliance on these variables, have the potential to serve as accurate indicators of habitat quality.

References [1] Fischer, J. & Lindenmayer, D.B., Landscape modification and habitat fragmentation: a synthesis. Global Ecology and Biogeography, 16(3), pp. 265–280, 2007. [2] Mortelliti, A., Amori, G. & Boitani, L., The role of habitat quality in fragmented landscapes: a conceptual overview and prospectus for future research. Oecologia, 163(2), pp. 535–547, 2010. [3] Hall, L.S., Krausman, P.R. & Morrison, M.L., The habitat concept and a plea for standard terminology. Wildlife Society Bulletin, 25, pp. 173–182, 1997. [4] Goulson, D., Hanley, M.E., Darvill, B. & Ellis, J.S., Biotope associations and the decline of bumblebees (Bombus spp.). Journal of Insect Conservation, 10(2), pp. 95–103, 2006. [5] Mänd, M., Mänd, R. & Williams, I.H., Bumblebees in the agricultural landscape of Estonia. Agriculture, Ecosystems & Environment, 89(1-2), pp. 69–76, 2002. [6] Potts, S.G., Biesmeijer, J.C., Kremen, C., Neumann, P., Schweiger, O. & Kunin, W.E., Global pollinator declines: trends, impacts and drivers. Trends in Ecology and Evolution, 25(6), pp. 345–353, 2010. [7] Williams, P.H. & Osborne, J.L., Bumblebee vulnerability and conservation world-wide. Apidologie, 40(3), pp. 367–387, 2009. [8] Carvell, C., Habitat use and conservation of bumblebees (Bombus spp.) under different grassland management regimes. Biological Conservation, 103(1), pp. 33–49, 2002. [9] Xie, Z., Williams, P.H. & Tang, Y., The effect of grazing on bumblebees in the high rangelands of the eastern Tibetan Plateau of Sichuan. Journal of Insect Conservation, 12(6), pp. 695–703, 2008. [10] Goulson, D., Lye, G.C. & Darvill, B., Decline and conservation of bumblebees. Annual Review of Entomology, 53, pp. 191–208, 2008. [11] Goulson, D., Hanley, M.E., Darvill, B., Ellis, J.S. & Knight, M.E., Causes of rarity in bumblebees. Biological Conservation, 122(1), pp. 1–8, 2005. [12] Diaz-Forero, I., Liivamägi, A., Kuusemets, V. & Luig, J., Pollinator richness and abundance in Northeast Estonia: bumblebees, butterflies and dayflying moths. Forestry Studies | Metsanduslikud Uurimused, 53, pp. 5– 14, 2010. [13] Kumar, S., Simonson, S.E. & Stohlgren, T.J., Effects of spatial heterogeneity on butterfly species richness in Rocky Mountain National Park, CO, USA. Biodiversity and Conservation, 18(3), pp. 739–763, 2009. [14] Fauna Europaea Web Service. www.faunaeur.org


416 Sustainable Development and Planning V [15] Charman, T.G., Sears, J., Green, R.E. & Bourke, A.F.G., Conservation genetics, foraging distance and nest density of the scarce Great Yellow Bumblebee (Bombus distinguendus). Molecular Ecology, 19(13), pp. 2661– 2674, 2010. [16] Bäckman, J.P. & Tianen, J., Habitat quality of field margins in a Finnish farmland area for bumblebees (Hymenoptera: Bombus and Psithyrus). Agriculture, Ecosystems & Environment, 89(1-2), pp. 53–68, 2002. [17] Hatfield, R.G. & LeBuhn, G., Patch and landscape factors shape community assemblage of bumble bees, Bombus spp. (Hymenoptera: Apidae), in montane meadows. Biological Conservation, 139(1-2), pp. 150–158, 2007. [18] Steffan-Dewenter, I., Münzenberg, U., Bürger, C., Thies, C. & Tscharntke, T., Scale-dependent effects of landscape context on three pollinator guilds. Ecology, 83(5), pp. 1421–1432, 2002. [19] Westphal, C., Steffan-Dewenter, I. & Tscharntke, T., Bumblebees experience landscapes at different spatial scales: possible implications for coexistence. Oecologia, 149(2), pp. 289–300, 2006. [20] Zurbuchen, A., Landert, L., Klaiber, J. Muller, A., Hein, S. & Dorn, S., Maximum foraging ranges in solitary bees: only a few individuals have the capability to cover long foraging distances. Biological Conservation, 143(3), pp. 669–676, 2010. [21] Sepp, K., Mikk, M., Mänd, M. & Truu, J. Bumblebee communities as an indicator for landscape monitoring in the agri-environmental programme. Landscape and Urban Planning, 67(1-4), pp. 173–183, 2004. [22] Eiden, G., Kayadjanian, M. & Vidal, C., From land cover to landscape diversity in the European Union, Chapter 1. Capturing landscape structures: Tools. ec.europa.eu/agriculture/publi/landscape/ch1.htm [23] Kivinen, S., Luoto, M., Kuussaari, M. & Helenius, J., Multi-species richness of boreal agricultural landscapes: effects of climate, biotope, soil and geographical location. Journal of Biogeography, 33(5), pp. 862–875, 2006. [24] Steffan-Dewenter, I., Importance of habitat area and landscape context for species richness of bees and wasps in fragmented orchard meadows. Conservation biology, 17(4), pp. 1036–1044, 2003. [25] Girardin, P., Bockstaller, C. & Van der Werf, H., Indicators: Tools to evaluate the environmental impacts of farming systems. Journal of Sustainable Agriculture, 13(4), pp. 6–21, 1999. [26] Billeter, R., Liira, J., Bailey, D., Bugter, R., Arens, P., Augenstein, I., Aviron, S., Baudry, J., Bukacek, R., Burel, F., Cerny, M., De Blust, G., De Cock, R., Diekotter, T., Dietz, H., Dirksen, J., Dormann, C., Durka, W., Frenzel, M., Hamersky, R., Hendrickx, F., Herzog, F., Klotz, S., Koolstra, B., Lausch, A., Le Coeur, D., Maelfait, J.P., Opdam, P., Roubalova, M., Schermann, A., Schermann, N., Schmidt, T., Schweiger, O., Smulders, M.J.M., Speelmans, M., Simova, P., Verboom, J., van Wingerden, W.K.R.E., Zobel, M. & Edwards, P.J., Indicators for biodiversity in



[27] [28] [29] [30] [31] [32]

[33] [34]

417

agricultural landscapes: a pan-European study. Journal of Applied Ecology, 45(1), pp. 141–150, 2008. Goulson, D., Rayner, P., Dawson, B. & Darvill, B., Translating research into action; bumblebee conservation as a case study. Journal of Applied Ecology, 48(1), pp. 3–8, 2011. Rundlöf, M., Nilsson, H. & Smith, H.G., Interacting effects of farming practice and landscape context on bumble bees. Biological Conservation, 141(2), pp. 417–426, 2008. Haaland, C. & Gyllin, M., Butterflies and bumblebees in greenways and sown wildflower strips in southern Sweden. Journal of Insect Conservation, 14(2), pp. 125–132, 2010. Kells, A.R. & Goulson, D., Preferred nesting sites of bumblebee queens (Hymenoptera: Apidae) in agroecosystems in the UK. Biological Conservation, 109(2), pp. 165–174, 2003. Svensson, B., Langerlöf, J. & Svensson, B.G., Habitat preferences of nestseeking bumble bees (Hymenoptera: Apidae) in an agricultural landscape. Agriculture Ecosystems & Environment, 77(3), pp. 247–255, 2000. Le Féon, V., Schermann-Legionneta, A., Delettrea, Y., Avironb, S., Billeterc, R., Bugterd, R., Hendrickxe, F. & Burel, F., Intensification of agriculture, landscape composition and wild bee communities: A large scale study in four European countries. Agriculture, Ecosystems & Environment, 137(1-2), pp. 143–150, 2010. Osborne, J.L. & Williams, I.H., Site constancy of bumble bees in an experimentally patchy habitat. Agriculture Ecosystems & Environment, 83 (1-2), pp. 129–141, 2001. Fahrig, L. & Jonsen, J., Effect of habitat patch characteristics on abundance and diversity of insects in an agricultural landscape. Ecosystems, 1(2), pp. 197–205, 1998.




419

Environmental management options for mitigation of congestion impacts in the Atatürk Urban forest of Bursa, Turkey S. Gurluk1, G. Atanur2 & O. Turan1 1 2

Department of Agricultural Economics, Uludag University, Turkey Department of Landscape Architecture, Uludag University, Turkey

Abstract The current paper presents the results of a contingent valuation for evaluating the environmental quality in the Atatürk Urban Forest of Bursa, Turkey. The environmental quality parameter under investigation at this recreational site is congestion. Congestion is an important externality having impacts that both limit common facilities and damage natural ecosystems. When users have to pay the same price for lower environmental quality, degraded ecosystems can cause negative impacts on users’ satisfaction levels due to congestion. We employed a qualitative response model to learn the covariate effects and mean willingness to pay for shifting congestion levels. Welfare effects of congestion levels offer robust policy options to local policy-makers and on-site management. Consequences point to a resource enlarging policy rather than restrictions on visitor numbers. Keywords: congestion, contingent valuation, payment card, survivor model.

1 Introduction Forest ecosystems, consisting of the physical and biological components of the environment, indicate a stable structure. An important piece of the forest ecosystem, human impacts cause important environmental externalities by interfering in that structural stability. Fundamentals of environmental issues depend on production and consumption incentives. Those incentives creating environmental externalities linked to economic efficiency principle are not considered for resource allocation. The reasons inefficient resource allocation is that environmental goods and services have the tendency to become public WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110351

420 Sustainable Development and Planning V goods, non-trade goods and infinite goods. Individuals who want to buy private goods consider both characteristics of a private good and its quality levels while making choices. After all, there is no market price for environmental goods and services as mentioned earlier. If natural resources had a market price, environmental pollution and quality levels would be expected to be at lower levels (Nielsen et al. [22]; Bell and Leeworthy [5]). Also, a zero level of environmental pollution and high-quality degradation mean that there is no activity in the natural resources. Therefore the incentives, raising a community’s welfare, damaging environmental quality, and partially causing environmental pollution are inevitable although this stance is not supported by some environmental protectionists. However the environmental damages and losses should be kept at optimal levels. In other words, policy makers should consider the carrying capacity of nature while making choices regarding public access (Hanley and Spash [17]; Smith [24]). An important externality, regarding the carrying capacity of nature and a community’s welfare, is congestion. Forest-based recreational sites that comprise the main topic of the current study are affected by the congestion externality. Especially open green areas, city parks, national parks, and similar sites provide recreational opportunities such as picnicking, camping, trekking, hiking, and viewing nature. These activities contribute to individuals in the daily solitude of their lives in terms of moral motivation, regeneration of spiritual and mental wellbeing (Choi [11], Zhu and Zhang [26]). Increasing population, shifting community structure, and a more frenetic lifestyle have increased people’s needs to return to nature and ecological leisure activities have in turn increased outdoor recreational demand and consequently caused the congestion externality mentioned above. This rapid growth in demand increases the importance of problem of congestion in forest-based recreational sites due to ecological and social costs. Individual willingness to pay (WTP) for deteriorated environmental quality can be reduced and the site’s economic benefits to the community may decrease. The current study was carried out in a Turkish urban forest, which is designated as the Atatürk Urban Forest of Bursa (AUFB). The AUFB is located in the northwest part of Turkey and was founded in memory of Atatürk who established the Turkish Republic. The City of Bursa used to be known as “Green Bursa” and was an important agricultural settlement because of its productive plains. Today, Bursa is an important industrial city and home to automotive and textile industries. The City of Bursa began taking emigrants at an increasing rate due to the employment possibilities created, and became the fourth biggest city of Turkey in terms of population. As rapid urbanization and population increases bring overcrowding issues to the cities, it creates industrial and urban pressures on the green belt (Atmiş et al. [2]). In this context, efficient management of existing green areas has gained great importance. AUFB’s ecosystem services provide important use and non-use benefits for the region such as recreational use, habitats for native species, regulation of atmospheric quality, and landscape amenities. It has facilitates for activities such as picnicking, cycling, hiking, and observing scenic views. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


421

The AUFB was turned over to Bursa Nilufer Local Management by the General Directories of National Parks of the Ministry of Forest-Turkey. It has an area of 128 hectares (ha) and this area is dedicated to conservation area (50 ha), fender land (54 ha) and flood control and forestation (8 ha) while the remaining part of 16 ha is open to visitor uses. The site management has maintained that an area of only 6.75 ha is open for visitor use, and the remaining area is in parking lots. The General Directorate of National Parks recommends that the maximum visitor rate for the site be 70 m2 per capita. However Nilufer local management has not restricted visitor rates. Within current policy, the forest ecosystem of the site has been degraded due to congestion, and public welfare is negatively affected by this policy. Additionally, The AUFB experiences wildfires every two to three years. Although management issues are being experienced, the AUFB is an appealing recreation site because it is very close to downtown and has fresh air due to high altitude (AUFB, 2008). Observable prices of social welfare losses and ecological deteriorations due to congestion don’t exist in the regular market. It is necessary to employ user’s valuation of non-marketed goods such as urban forests and improved environmental quality. A contingent valuation study dependent on the payment card technique is employed and visitors to reveal their WTP over various congestion levels. More information on the survey technique, contributions to current literature and other explanations are available in the materials and methods section of this study.

2 Materials and methods Research material consists of face-to-face surveys administered in the AUFB. The AUFB matches the “urban type recreational site” classification according to Rosenthal and Walsh. Given this classification, land and water recreational sites are separated into five distinct indicators which are labeled as: remoteness of site, location of area, evidence of humans, user density, and existence of managerial activities. The AUFB is an accessible recreation site that is served by various public transportation vehicles and private transportation. It is very close to the city of Bursa, and these features make the site very busy. The industrial city of Bursa is growing and this causes some issues such as congestion in the parks and pressures to green areas in the Bursa. While the previous issue is related to optimal resource use, the latter issue is related to total value of the resources. In this context, after the priori meetings with site management, a more convenient survey form for studying the visitor profile was constituted. The resource evaluating and congestion-testing survey study, which has following characteristics, was administered to the AUFB visitors in May and June of 2010. The surveys had three sections. Primarily, main aims of survey and natural resource values were explained and described to the respondents. In the first section of the questionnaire, user’s recreational behaviors were investigated. Respondent’s starting points to the site, past visits, duration of travel time to the site, and familiarity with outdoor activities offered at the site was investigated. In WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

422 Sustainable Development and Planning V section two, respondents were interviewed in terms of users’ utilization of the resources available. Environmental quality concerns show different congestion types in the AUFB. So a brief informational statement about congestion types was introduced to respondents in third section. It was assumed that each respondent experiences and assesses five different congestion types in the AUFB. The information regarding congestion levels presented to respondents is given in Appendix section of this paper. After this brief explanation, respondents were asked a WTP question about a randomly selected congestion type. For this purpose, a payment card was shown and respondents were asked to mark how much they would be willing to pay for selected congestion type. The last section consisted of demographic inquiries while keeping respondents anonymous. The respondents’ attitudes on environmental protection, sustainable development, and efficient resource use were investigated in the last section. Thus, total of 200 respondents completed the survey via the face to face survey method. The frequency distribution relating to demographic structure of the respondents in the survey is given in Table 1. Table 1:

Frequency distribution of respondents' demographic structure in the survey. Variable Gender

Age groups

Annual household income

Education level

Description Male Female

Distribution (%) 87.5 12.5

19-25 26-30

4.5 9.0

31-40

41.5

41-60 60-85

41.0 4.0

< 9600 9600-12800 12801-20000 > 20000

23.0 25.0 31.5 20.5

Primary school

16.5

High school University degree

49.5 34.0

Until recently, several papers examined non-market valuation on congestion impacts although the papers examining the congestion at the recreational sites are limited. Anderson and Bonsor (1974), Cicchetti and Smith [12] were among the first authors who tried to measure congestion through willingness to pay. Cesario [10] emphasized the importance of congestion by stating that any individual visiting a site would be willing to pay some positive amount of money for the right to visit the site when they are fewer visitors. McConnell [21] WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


423

demonstrated how the WTP function can be used to determine the optimal capacity of beaches while Walsh et al. [25] investigates the effects of congestion at ski areas to evaluate policy options. Jakus and Shaw [20] stressed that the congestion valuation is not only important from the ecological viewpoint but also from the human perspective. The current study assumes that visitors’ trip decisions are based on past experiences, advance expectations, and environmental attitudes. Therefore we take into account the WTP directly by evaluating ex ante and ex post measures of congestion. Furthermore we examine the effects of visitors’ socio-economic structure and environmental attitudes on congestion valuation and urban forest management. In this context dependent variable WTP is the value that total number of past and future visits is multiplied by pointed WTP amount on the payment card presented. After measuring the covariates impacts on congestion, we employed the survivor function to calculate mean WTP without covariates. Correlation of different congestion types from the respondents arises when a single model is estimated for all congestion types. A random effect linear regression model is as follows: Yij = α + βSij + ψ1D2 + ψ2 D3 + ψ3D4 + ψ4D5 + λEij + ηi + εi i = 1, 2, … , n j = 1, 2, 3, 4, 5

(1)

where the Yij is dollar value of the WTP for individual i, Sij is explanatory variables such as demographic variables and attitudes for individual i, D represents the dummy variables for congestion levels on a 1–5 scale, E is respondents’ attitudes on environmental protection and α, β , ψ, λ are unknown parameters to be estimated. The coefficients ψ1, ψ2 , ψ3 , ψ4 indicate, respectively, how much larger (or lower) the response functions for congestion models C2, C3, C4 and C5 are than the one for congestion model C1. Thus the ψ1, ψ2 , ψ3 , ψ4 measure the differential effects of the qualitative variable classes ηi is the random coefficient that accounts for the correlations among the evaluations for respondent I and is assumed to be normally distributed with mean 0 and variance σ2 across all respondents. εij is the random error term with mean 0 and variance σ2. Qualitative and quantitative variables used in the statistical analysis are described in Table 2 while their summary statistics are given in Table 3.

3 Results and discussion Qualitative variable regression analysis was undertaken by using SPSS software to identify the factors associated with responses to the payment card WTP question. The parameter estimates of the qualitative variable regression analysis for WTP of the AUFB are shown in Table 4. The coefficients for the explanatory variables are also the marginal effects for those variables. They might be tested via t-values individually. Instead, we employed F-test to understand if the regression equation as a whole is significant. The F-test is a joint test of the



Descriptions of variables.

Variables

Explanations

WTP

Dollar value of WTP for randomly selected congestion level Dummy variables representing congestion levels C2, C3, C4 and C5 1: Male, 0: Female Age of respondents 1: If respondents' household income is more than 20,000USD annually 0: Otherwise Sustainable development sensitivity of respondent 1: Strong, 2:Neutral, 3: Weak acceptance Respondent's sensitivity to biodiversity, 1: Strong acceptance, 2:Acceptance, 3: Neutral, 4: Not acceptable, 5: Weak acceptance Respondent's attitude to efficient resource use 1: Strong acceptance, 2:Acceptance, 3: Neutral, 4: Not acceptable, 5: Weak acceptance

D2, D3, D4, D5 Gender Age Income Sus_Dev_Sens Sens_to_biodiversity Effic_res_use

Table 3: Variables Gender Age Income Sus_Dev_Sens Sens_to_biodiversity Effic_res_use

Summary statistics of covariates. Mean 0.88 40.72 0.20 1.62 2.38 2.44

Std.Dev. 0.332 9.893 0.401 0.597 0.944 1.124

Min. 0 19 0 1 1 1

Max. 1 81 1 3 5 5

hypotheses that all the coefficients except the constant term are zero (Greene [13]). If all the slopes are zero, the multiple correlation coefficients are zero as well. Thus, the F-test is based on the value of R2 as following

F  k  1, n  k  

R 2  k  1

1  R   n  k  2

(3)

when k and n are the numbers of variables and sample size, respectively. The R2 value was 0.219 and thus the value of F1[9,190] was 5.91. We can infer from the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


425

F-test results for significance of the qualitative regressions. Given to the F-test result, which is larger than the 95 percent critical values of 1.88, we conclude that the data are inconsistent with the hypothesis that all the slopes in the models are zero. Table 4:

Parameter estimates for the qualitative response model.

Parameter Intercept D_2 D_3 D_4 D_5 Gender

Variables α ψ1 ψ2 ψ3 ψ4 β1

Estimates 37,053 11,412 -9,568 -30,689 -41,213 10,378

Std. Error 21,251 9,590 9,723 9,652 9,897 9,883

t-value 1,744 1,190 -0,984 -3,180 -4,164 1,050

Age h_income Sus_dev_sens Sens_to_biod Effic_res_use R2

β2 β3 λ1 λ2 λ3 0,219

-0,082 1,004 -11,926 3,920 7,450

0,315 7,983 5,368 3,362 2,827

-0,262 0,126 -2,222 1,166 2,635

3.1 The impacts of covariates of demographic structure In the model, the gender variable has positive sign. This suggests that males are more inclined to increasing the WTP amount than females. If the coefficients of variables, except dummy variables and gender, are multiplied by their mean values, we can measure congestion impacts over gender. Table 5 indicates the mean WTP values according to gender and shifting congestion levels. Table 5:

Impacts of gender for shifting congestion levels.

Congestion levels

Male mean WTP

Female mean WTP

I

34.98

II

42.60

35.67

III

28.60

21.68

IV

14.52

7.60

V

7.50

0.60


28.06

426 Sustainable Development and Planning V Given the information in Table 5, there is a difference of 19.3 percent between the mean WTP of the congestion levels I and V, and females suffer more from congestion compared to males. Rather, we can infer from the table that solitude is more valuable to females. The age variable has negative sign. The mean WTPs for shifting congestion levels are calculated, in Table 6, by considering mid-points of any class representing age groups. Table 6:

Impacts of age groups for shifting congestion levels. Congestion Levels

Age Groups

*

C1

C2

C3

C4

C5

19-25

36.00

*

43.61

29.63

15.55

8.53

26-30

35.68

43.29

29.30

15.23

8.20

31-40

34.84

42.88

28.89

14.81

7.79

41-60

34.44

42.06

28.07

13.99

6.97

60-85 33.24 Means willingness to pay.

40.85

26.87

12.79

5.77

Generally one may said that the respondents prefer the congestion level-II with a higher WTP amount compared to other levels. This is because covariate impacts are interpreted as showing that security worries dominate congestion level-I preferences. Boxall et al. [7] states that, by supporting this consequence, in the initial range of congestion it is possible that a visitor will be indifferent or even value an additional encounter. Income has a positive impact over the WTP. If we consider that those who have 20000 USD/year salaries are in a high income level, we may maintain the existence of income effects among lower income groups. Only twenty percent of respondents have over 20000 USD/year salaries. In this context, we can state that the visitors of the AUBF are from the medium or lower income groups. Heinen [19], Gürlük and Rehber [14] observed similar consequences in their studies of people’s attitudes for the wildlife in National Parks in Nepal and Turkey, respectively. The positive attitudes were measured for protection of the parks, and found to be highly correlated with demographic factors of visitors. 3.2 The impacts of covariates of environmental attitudes The respondents were investigated in three parameters in terms of environmental behaviors and attitudes. Those parameters are: general sensitivity to environment and sustainability, sensitivity to biodiversity of the site, and optimal resource use. The respondents’ sensitivity to sustainable development was linked to controlled industrial growth. This implies that the respondents are more tend to WTP as long as the sensitivity of sustainable development. In other words, a respondent who has a strong attitude about sustainable development tends to WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


427

make higher payments due to shifting congestion levels than other respondents. Sensitivity to biodiversity parameter has a positive sign. Consequently it implies that the respondents’ WTP increases even if they are non-sensitive to biodiversity. Likewise, sensitivity to optimal resource use has a positive impact over the WTP amounts at the decreasing sensitivity. As a consequence we may infer that the respondents tend to lower WTP for the last two investigations due to prejudices about restricted recreational activities, although they are sensitive to general environmental protection. Thus, a policy regarding recreational site’s expansion, rather than the policy of restricted visitor rates, may be preferred in order to raise visitor satisfaction. Therefore it is likely that the visitors’ welfare level increases with the resource expansion policy. Table 8 supports that view. The impacts of optimal resource use parameter was examined in a three scales, strong, medium, and weak, and linked to higher and lower income groups. Results indicate that the impacts of income groups, in terms of efficient resource use, don’t create an important difference in assessing the congestion levels. Consequences point out, again, the resource enlarging policy rather than restrictions.

4 Conclusions In this paper we have examined environmental quality measurement in a highdensity urban forest, Atatürk Urban Forest of Bursa (AUFB), by considering the congestion parameter. Congestion is an important externality regarding the carrying capacity of nature and a community’s welfare. When the congestion externality exists in a recreational site, the quality of the recreational activities experienced by users deteriorates. Such externalities can limit common facilitates and damage natural ecosystems. Consequently, users pay the same price for lesser environmental quality, and it causes diminishing human welfare. Although there are many policy options to resolve issues in the AUFB, the options of resource expansion and visitor restriction come forward in order to mitigate congestion effects in this high density urban forest. Qualitative response models have considerable features on measuring the respondents’ environmental attitudes and socio-economic characteristics to shifting congestion levels. Findings show that the willingness to pay for decreasing congestion externality indicates increases up to 98 percent depending on age groups and gender. The respondent’s environmental behaviors and attitudes provide important insights to policy makers. Those parameters were examined under three sections, which are the sensitivity to general environmental protection, biodiversity, and optimal resource use. Consequences emphasize that resource expansion policy was preferred, rather than a visitorrestriction policy, by the AUFB’s visitors. In other words, visitor’s welfare levels increase with the application of the resource expansion policy. Local park management does not take the congestion into consideration regarding onsite management. Respondents prefer the congestion level-II with a higher WTP amount (Table 7). The mean WTP for congestion level-II was 42.5 USD per visit while it was 7.5 USD for the congestion level-V. It accounts for WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

428 Sustainable Development and Planning V about 1,000,000 USD welfare losses annually due to current policy. Congestion in a forest-based recreational site makes the quality of the recreational activities worse than uncongested condition. The estimated reduced welfare values have supported this phenomenon in the AUFB. Table 7:

Impacts of visitors’ attitudes for efficient resource use to shifting congestion levels. Congestion Levels

Income levels Higher income

Lower income

Efficient Resource use

C1

C2

C3

C4

C5

Strong

28,37

35,97

21,99

7,91

0,89

Medium

38,30

45,91

31,92

17,84

10,83

Weak

48,23

55,84

41,85

27,77

20,76

Strong

27,70

35,31

21,32

7,24

0,23

Medium

37,63

45,24

31,25

17,17

10,15

Weak

47,57

55,17

41,19

27,11

29,57

Appendix Congestion levels Level I: In this level of congestion, there are few individuals around and also noise does not occur. Level II: In this level of congestion, there are a couple of groups of visitors around and the noise level is low. Level III: In this level of congestion, there are some visible individuals around, common user facilitates can be busy occasionally and the noise level I is higher than level II. Level IV: In this level of congestion, you can observe many visitors around and a high noise level surrounds the site. The common user facilitates are busy and many hikers make the trail busy. Level V: In this level of congestion, recreational site is crowded so that you cannot walk without having to stop. The noise level higher than ever before and making conversations within a group can often be impossible.

References [1] Anderson, F.J., Bonsor, N.C., 2001. Allocation, Congestion, and the Valuation of Recreational Resources. Land Economics. 50, 51-57. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


429

[2] Atmiş, E., Öden, S., Wietze, L., 2007. Urbanization pressures on the natural forests in Turkey: An overview. Urban Forestry and Urban Greening. 6, 8392. [3] AUFB, 2008. Atatürk Urban Forest of Bursa Working Report, The Municipality of Bursa-Turkey. [4] Bateman, I.J., Carson, R.T., Day, B., Hanemann, M., Hanley, N., Hett, T., Jones, M., Loomes, G., Mourato, S., Özdemiroğlu, E., Pearce, D., Sugden, R., Swanson, J., 2002. Economic Valuation with Stated Preference Techniques. Edward Elgar Publishing Limited, Cheltenham, UK. [5] Bell, F.W., Leeworthy, V.R., 1990. Recreational demand by tourists for saltwater beach days. Journal of Environmental Economics and Management. 18, 189–205. [6] Bowker, J. M., Stoll, J. R., 1988. Use of dichotomous choice non-market methods to value the whooping crane resource. American Journal of Agricultural Economics. May, 372-381. [7] Boxall, P., Rollins, K., Englin, J., 2003. Heterogeneous preferences for congestion during a wilderness experience. Resource and Energy Economics. 25, 177-195. [8] Boyle, K. J., Welsh, M. P., Bishop, R. C., 1988.Validation of empirical measures of welfare change: Comment. Land Economics. 64, 94-98. [9] Brent, R., 1998. Cost–Benefit Analysis for Developing Countries. Edward Elgar Publishing Limited, Cheltenham, UK. [10] Cesario, F.J., 1980. Congestion and the Valuation of Recreation Benefits. Land Economics. 56, 329-338. [11] Choi, K., 1998. Measuring congestion effects in a high-density recreational site. The unpublished PhD thesis, Department of Forestry of Iowa State University, Ames, USA. [12] Cicchetti, C. J., Smith, V. K., 1976. The costs of congestion: An econometric analysis of wilderness recreation. Ballinger, Cambridge, MA, USA. [13] Greene, W. H., 2003. Econometric Analysis. Prentice Hall, USA. [14] Gürlük, S. and Rehber, E., 2008. A travel cost study to estimate recreational value for a bird refuge at Lake Manyas, Turkey. Journal of Environmental Management. Vol. 88, 1350-1360. [15] Haab, T.C., McConnell, E.K., 2002. Valuing Environmental and Natural Resources: the Econometrics of Non-market Valuation. Edward Elgar, Cheltenham, UK, Northampton, USA. [16] Hanemann, W. M., 1989. Welfare evaluations in contingent valuation experiments with discreet response data: Reply. American Journal of Agricultural Economics. 71, 1057-1061. [17] Hanley, N., Spash, C.L., 1993. Cost-Benefit analysis and the environment. Edward Elgar Publishing, Cheltenham, UK, Northampton, USA. [18] Harrison, G.W., Kristrom, B., 1995. On the interpretation of responses in contingent valuation surveys. In: Johansson, P., Kriström, B., Maler, K.G. (Eds.), Current Issues in Environmental Economics. Manchester University Press, UK. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

430 Sustainable Development and Planning V [19] Heinen, J. T., 1993. Park-people relation in Kosi Tappu wildlife reserve, Nepal: a socio economic analysis. Environmental Conservation. 20, 25-34. [20] Jakus, P. Shaw, W.D., 1997. Congestion at Recreation Areas: Empirical Evidence on Perceptions, Mitigating Behaviour and management Preferences. Journal of Environmental Management. 50: 389-401. [21] McConnell, K.E., 1977. Congestion and Willingness to Pay: a Study of Beach Use. Land Economics. 53, 185-195. [22] Nielsen, A. B., Olsen, S. B., Lundhede, T., 2007. An economic valuation of the recreational benefits associated with nature-based forest management practices. Landscape and Urban Planning. 80, 63-71. [23] Rosenthal, D. H., Walsh, R. G., 1986. Hiking values and the recreation opportunity spectrum Forest Science. 32, 405-415. [24] Smith, R.J., 1971. The evaluation of recreation benefits: the Clawson Method in practice. Urban Studies. 8, 89–102. [25] Walsh, R.G, Miller, N.P., Gilliam, L.O., 1983. Congestion and Willingness to Pay for Expansion of Skiing Capacity. Land Economics. 59, 195-210 [26] Zhu, P., Zhang, Y., 2008. Demand for urban forests in United States cities. Landscape and Urban Planning. 84, 293-300.



431

Monte Carlo analysis and its application within the valuation of technologies S. Č. Aguilar, M. Dubová, J. Chudoba & A. Šarman Institute of Novel Technologies and Applied Informatics, Technical University of Liberec, Czech Republic

Abstract This work follows the paper entitled The Valuation and Financial Management of (Nano-) Technology in Relation to Sustainable Growth presented at the Third International Conference on Environmental Economics and Investment Assessment (Limassol, Cyprus, 2010), which demonstrated the practical usage of the general economic model on the valuation of a modern and original technology (nano-fibrous carrier) for wastewater treatment applying tailor-made microorganisms with the ability to create natural biofilm. The original general economic model for the valuation of wastewater treatment technologies is structured as follows: cost model wastewater treatment technology, depreciation model of wastewater treatment, cash flow model of wastewater treatment, sensitivity analysis. The authors extended this work on further calculations with the use of the Monte Carlo method, in order to analyze the characteristics of a project’s net present value (NPV), the cash flow components that are impacted by uncertainty. These characteristics are modelled, incorporating any correlation, mathematically reflecting their “random characteristics”. Then, these results are combined in a histogram of NPV (i.e. the project’s probability distribution), and the average NPV of the potential investment into the wastewater treatment technologies – as well as its volatility and other sensitivities – is observed. This distribution allows for an estimate of the probability that the project has a net present value greater than zero (or any other value). Keywords: Monte Carlo method, risk, net present value, valuation and financial management, general economic model, R&D projects, technology (nano-fibrous carrier) for wastewater treatment, sustainable growth.



1 Introduction The actual development of nanotechnology influences a great part of the industrial branches. The application of nanotechnologies represents for certain companies an important step forward. The Institute of Novel Technologies and Applied Informatics, Technical University of Liberec, Czech Republic is in charge of research and application of nanotechnologies. One of the main tasks of the centre is the research and development of nanotechnologies applied to the industrial wastewater treatment branches, in a more concrete way it is concerned about the development of microfibrous biomass carrier in biological wastewater treatment facilities. The research is in charge of a multidisciplinary scientific team which includes disciplines as chemistry, natural sciences, development of textile materials, mathematic modelling and informatics. Last but not least is the integration of ideas coming from the branch of financial management and valuation [1, 2]. This might contribute to answering the question if the technology can be commercially attractive. The aim if this article is to make an analysis of advantages and disadvantages of the Monte Carlo valuation method and its application to the technology of nanofibrous biomass carrier for purposes of biological wastewater treatment. This work follows the article entitled The Valuation and Financial Management of (Nano-) Technology in Relation to Sustainable Growth presented in the Third International Conference on Environmental Economics and Investment Assessment (Limassol, Cyprus, 2010) [3], which demonstrated the practical usage of the general economic model on the valuation of a modern and original technology (nano-fibrous carrier) for wastewater treatment applying tailor-made microorganisms with ability to create natural biofilm. The original general economic model for the valuation of wastewater treatment technologies is structured as follows:    

Cost model wastewater treatment technology Depreciation model of wastewater treatment Cash flow model of wastewater treatment Sensitivity analysis [3].

The authors extended this work on further calculations with the use of the Monte Carlo method, in order to analyze the characteristics of a project’s net present value (NPV), the cash flow components that are impacted by uncertainty. These characteristics are modelled, incorporating any correlation, mathematically reflecting their “random characteristics”. Then, these results are combined in a histogram of NPV (i.e. the project’s probability distribution), and the average NPV of the potential investment into the wastewater treatment technologies – as well as its volatility and other sensitivities – is observed. This distribution allows for an estimate of the probability that the project has a net present value greater than zero (or any other value).



433

2 Risk and technology appraisal – Monte Carlo method One of the fundamental characteristics of the valuation of investments in research and development of new technologies is its focus on the expected cash flow. The cash flow future values are difficult to predict, therefore it is necessary to include risk management processes in the research. Our research team decided to enhance the actual economic model with software that is able to quantify the risks related to the investment of the developed technology. One of the fundamental indicators for the valuation of technologies is the net present value (NPV), which helps us to determine if it is worth to invest on certain technology [4–6]. If we want to know the probability at which a project achieves determinate NPV, or at which range will be NPV located, it is necessary to apply other methods that are able to change input parameters in a stochastic way. In such cases we can apply Monte Carlo methods. These methods are helpful in order to observe the influence in changes in the input variables (NPV). Monte Carlo methods are based on repeated random sampling that translates inputs into uncertainties in model outputs (results). The results of these processes are a set of detailed results that are consequently analyzed. The outputs of these simulations can determine for instance:  the probability that the net present value is lower than the value originally defined,  distribution function of the model outputs,  mean values dispersion and dispersion of output indicators. These mentioned parameters are suitable for the consequent establishment of risks related to the investment of the developed technology. With the aid of the presented results it is possible to infer if it is convenient to pursue the investment. The advantages of this method are the following:  each sampling has the same level of probability,  it is possible to change all the inputs within a test,  it is possible to establish the effect of several variable input parameters,  it is possible to determine the probability of convenience of the investment. This value can consequently serves as input for the following analyses. The disadvantages of this method are mainly related to the difficult interpretation of the results and the time demands for the creation of the sets of results with the aid of Monte Carlo. The basic result from the random outputs is a distribution function (histogram) of the net present value of the investment. From the distribution function it is possible to know other parameters as for example the mean value of the output indicator with the aid of the following model: 

E( X ) 

 xf ( x)dx , where



f ( x) 

dF ( x) dx


(1)

434 Sustainable Development and Planning V In a similar way it is possible to determine the dispersion value. The Monte Carlo method is based on repeated random trials. Under this method the estimation of the required values have probabilistic character and are inferred statistically. Practically random trials are substituted by results of certain calculation that is pursued with the application of random numbers. The level of the method’s error related to the calculations is proportional to the value 1 / N , where N is the quantity of trials. The calculation’s error will be therefore, 50% lower with a four times greater quantity of attempts. This error is due to the effect of the central limit theorem. For the estimation of the quantity of simulations it is necessary to know the probability effect that has to be intercepted. It can even occur at the lowest probability. This probability is identified as pmin. The mean value of the estimation that the effect will occur at the lowest probability is:

  pmin  n

(2) where n quantity of trials λ mean value of the effects quantity. It is recommended that λ > 3. The problem appears with the assessment of the probability effect at the lowest probability pmin (pmin can show an assumed probability of investment loss). The first operation for the establishment of unknown input parameters is the generation of random numbers < 0,1 >, with the usage of standard procedures of software applications. Afterwards transformation relations help to generate numbers from the intervals to random numbers of the distribution. The most common transformations that can be used for the technology valuation are [7–9]: 

Data from the histogram. The input parameter is given the probability it occurs with and the sum of all the probabilities equals 1. From the basis of these probabilities is created a distribution function. Data from the distribution within the interval  a, b 

x  rand  (b  a )  a 

(3)

Data from the normal distribution (it uses Box Muller transformations).

x   2  ln(rand1 )  cos(2  pi  rand 2 ) 

Data from the normal distribution variance.)

x



(4)

N ( , 2 ) (  – mean value,  –



 2  ln(rand1 )  cos(2  pi  rand 2 )    


(5)


435

3 Input generation for the software for the valuation with Monte Carlo method For the application of the Monte Carlo Method it is necessary to create a model, from which it is possible to determine the required parameters for the calculation of NPV. In this paper we present two technologies for industrial waste water treatment as example of the application of this method. The two technologies refer to the wastewater treatment with Anoxkaldnes wheels [10] and with nanofibrous carriers. For the calculation of NPV with Monte Carlo Method it was necessary to define the following parameters:  market price of DPG material,  annual increments of the prices of DPG material,  discount rate k,  inflation rate,  tax rate for corporations,  volume of the investment for each year,  year of the required investment return,  acquisition costs,  annual operation costs. For the market price of the DPG material it is adequate to apply constant or normal distribution, which has two mean value parameters  and variance  . The mean value is presented in our work by the assumed price of the material DPG in CZK/t. The variance is established through the aid of price changes in a certain time period, for instance through the model: n



(x i 1

i

 )2

n 1

,

(6)

where xi is the actual price for the last period. For the annual increment of prices of DPG it is adequate to apply histograms. For example in the case of the nanofibrous carrier DPG was defined an annual value of increment at 2%. With the aid of histograms it becomes feasible to define the following table:  annual increment value 1% probability 10%,  annual increment value 1,5% probability 20%,  annual increment value 2% probability 20%,  annual increment value 2,5% probability 20%,  annual increment value 3% probability 20%,  annual increment value 3,5% probability 10%. These values were taken based on experimental estimations. It was also possible to apply normal distribution. The parameter μ was 2% and the


436 Sustainable Development and Planning V variance σ might show its value by estimation according to the model above. The discount and tax rates are constant. The inflation rate can be estimated through histograms or normal distribution. The investment volume for each year is not possible to be implemented into the same model. For the simulation of these inputs it is necessary to describe different variations of the model. The results are then compared and the best possibility is established. A similar process is pursued for the “year of required return”. The acquisition operation costs can be constant (the values are determined based on analyses) or they can be established through histograms.

Figure 1:

Input Values I. Detail.

Figure 2:

Input Values II. Detail.



437

In figures 1 and 2 detailed parts of the software are shown for the calculation of NPV with the Monte Carlo method. For certain input parameters it is possible to choose different types of distribution.

4 Simulation process of the Monte Carlo method for technology valuation The Monte Carlo Method is based on a repeated random trial with different input parameters, therefore the input parameters have to be stochastic. The market price for the DPG material for the Anoxkaldnes technology and for the technology based on nanofibrous carrier, will have the following parameters, which were obtained through experimental estimations: μ = 65000 CZK/t a σ  10000 CZK/t. Similarly to “the annual increment of prices for the DPG material” it is possible to describe it through the histogram that is shown above. On the following tables there are presented inputs, for which it was pursued the calculation of NPV through Monte Carlo methods. The results of the analysis are presented through a distribution function for the correspondent technology. Table 1:

Input data for the analysis (Nanofibrous Carrier).

Input Value Market Price DPG material Market prices DPG. annual increment Annual production increment DPG material

Unit [CZK/t]

Value

Distribution

65 000,00

[%] [year/t]

Normal

2

Histogram

158

Constant

Discounting rate k

[%]

8

Histogram

Inflation rate

[%]

2

Histogram

Tax rates for corporations

[%]

19

Constant

x

X

X

Investment during each year of investment: 1.year

[%]

100

Constant

2. year

[%]

0

Constant

3. year

[%]

0

Constant

Year of expected investment return

[year]

15

Constant

Acquisition Costs

[CZK]

Operation costs a year

[CZK/year]

25 000 000,00 2 505 000,00


Constant Constant


Input Values for the analysis (Anoxkaldnes).

Input Value

Unit

Market Price DPG material Market prices DPG. annual increment Annual production increment DPG material Discounting rate k

[CZK/t]

Distribution

Value 65 000,00 2

Histogram

968

Constant

8

Histogram

[%] [year/t]

Normal

[%]

Inflation rate

[%]

2

Histogram

Tax rates for corporations Investment during each year of investment: 1.year

[%]

19

Constant

x

X

X

[%]

100

Constant

2. year

[%]

0

Constant

3. year Year of expected investment return

[%]

0

Constant

[year]

15

Constant

Acquisition Costs

[CZK]

Operation costs a year

[CZK/year]

46 024 000,00 526 600,00

Constant Constant

Course of the first sampling: First, there are generated two random numbers, which are necessary for the description of the parameter ‟Market price of the DPG material”. Through the transformation x 





2  ln( rand1 )  cos(2  pi  rand 2 )  σ  μ the actual value of

the parameter is determined, that is introduced to the program within one sampling. The first will be used for the indicator “Annual increment of the price for DPG material” and the second for the “Inflation rate”. For the generated number is the parameter’s value determined by a distribution. For example generated number is 0,7654, and then the “annual increment of the DPG material” is 3%. For all these generated input indicators there are established all the outputs from the software and the result is registered in a vector. This procedure is repeated for all the samplings. The resulting vectors are presented in ascending order and for each element it is given the correspondent probability according to the model

pi 

i  0,5 n ,

where i  1, n . A detail of a resulting vector is shown in Table 3.


(7)


Table 3:

439

Output vector, nanofibrous carrier detail.

Probability

NPV

0,0005 0,0015 0,0025 0,0035 0,0045 0,0055 0,0065 0,0075 0,0085 0,0095 0,0105 0,0115 0,0125 0,0135 0,0145

-12344000 -7336000 -705000 713000 2516000 4079000 4639000 4864000 5228000 5319000 5927000 6089000 6104608 6126000 6161000

In Figures 3 and 4 there is a detail of the distribution function NPV for all the given values of the selected parameters. From the resulting vector presented in Table 3 and the distribution functions can be inferred the following outputs:  The probability at which NPV might be lower than a certain value – NPV might be lower than 15.106 CZK with the probability of 5,8% (nanofibrous carrier); 260.106 CZK (Anoxkaldnes technology)  Distribution function fractile – with 20% of probability will NPV be lower than 23 275 000 CZK (nanofibrous carrier), 321 900 000 CZK (Anoxkaldnes technology)  Probability of a negative NPV – for nanofibrous carrier is lower than 0,004%; for Anoxkaldnes technology 0,001%. The number was observed at 2000 samplings.  The mean value, median (50% fractile), quartiles (25% and 75% fractile), interquartile interval. The results from different production strategies (volume of the investment for each year, year of expected return) can be compared also with the aid of box diagrams. From the estimations we can infer that one can expect positive values of NPV for both technologies. For the nanofibrous carrier technology is the probability of a negative NPV lower than 0,004%; for Anoxkladnes is lower than 0,001%. These results seem to be positive for potential investors in research and development for both technologies. From the results we can also observe that the mean value NPV for the expected year of return (15 years) is higher with the Anoxkaldnes technology. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 3:

Distribution function for nanofibrous carrier.

Figure 4:

Distribution function for Anoxkaldnes carrier.

5 Conclusion This paper presented an extension of the actual economic model with software based on the Monte Carlo Method. The benefit of this application for its users is the quantification of risks designated to the probability of which project might achieve certain net present value (NPV), in order to ease the decision making process of the investment and consequent commercialization of determinate developed technology. Other advantages of the Monte Carlo method are mainly:   

each sampling has the same level of probability, it is possible to change all the inputs within the correspondent test, it is possible to establish the effect of several variable input parameters,





441

it is possible to determine the probability of convenience of the investment. This value can consequently serve as input for the following analyses.

The disadvantages of this method are mainly related to the difficult interpretation of the results and the time demands for the creation of the sets of results with the aid of Monte Carlo. The research team plans to test this modified economic model in other developed technologies developed by the research team and to modify the economic model with the application of other sophisticated methods.

Acknowledgement This article was created under the state subsidy of the Czech Republic within the research and development project ‟Advanced Remediation Technologies and Processes Centre” 1M0554 – Programme of Research Centres supported by Ministry of Education.

References [1] Křiklavová, L. Technologický návrh biofilmového reaktoru s nanovlákenným nosičem pro čištění průmyslových odpadních vod [diploma project]. Liberec: Technická univerzita v Liberci – Fakulta mechatroniky, informatiky a mezioborových studií, 2009. [2] Nanotechnologie v ČR – praktické aplikace 2006. [online], Pavel Houser. [cit. 2010-02-01]. Available at www: 30), depth (< 30 m, > 30 m), exposure to waves (extremely exposed, very exposed, exposed, moderately exposed, sheltered, very sheltered), mixing conditions (fully mixed, seasonally mixed, permanently mixed), water residence time (days, weeks months), dominating substratum (mud-silt, sand-gravel, cobble-hard rock, mixed sediment) and duration of ice cover (irregular, < 90 days, 90–150 days, > 150 days (Table 1). Ranges of factors are predetermined by WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


445

Guidance document [6]. Due to the natural character of the Baltic Sea the actual salinity range of surface water in Estonian coastal area does not exceed 7.5. Table 1: Name of type Code of type Salinity (psu) Tidal range (m) Depth (m) Wave exposure Mixing conditions Residence time Substratum Ice cover Name of type Code of type Salinity (psu) Tidal range (m) Depth (m) Wave exposure

Description of national types (based on [7]). Southeastern Gulf of Finland I 0.5-(5-6) 4.065).

5 Conclusions Previous work by the authors suggests that roundabouts characterized by a high value of solid angle are better perceived by approaching drivers [10]. The purpose of this paper was to begin to quantify this visibility as a function of central island treatment. By Fisher's exact test we confirm that the classification of roundabouts by central island treatment is independent of size. We can distinguish between reduced, compressed and slender central island treatment, and that compressed treatment is generally more visible to the driver. Future work could include development of an interactive website of roundabouts directory, similar to others existing in some European countries, WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


771

such as the web page "Sens Giratoire” from France [9]. The intention would be to characterize engineering and agronomic features of roundabouts [10] in the region of concern.

Acknowledgements The authors wish to thank the following individuals for their advice and contributions: Dr. Paolo Vernieri, Professor and Ms. Irene Bernardi, graduate student, Faculty of Agriculture, University of Pisa.

References [1] Pratelli A. and Souleyrette R.R., Visibility, perception and roundabout safety, in Brebbia, C. (ed.) “Urban Transport XIV”, Vol. 107, WIT Press. Ashurst Lodge 2009, pp. 577-588. [2] Pratelli A., Souleyrette R.R. and Harding C., Roundabout perception: review of standards and guidelines for advanced warning, in Pratelli A. and Brebbia C. (eds.) “Urban Transport XV”, Vol. 111, WIT Press, Ashurst Lodge 2010, pp. 71-82. [3] Hopkinson, R.G., The evaluation of visual intrusion in transport situations, Traffic Engineering & Control, Dec. 1972, pp. 387-395. [4] Watkins T., The Concept of Solid Angle. Silicon Valley & Tornado Alley, applet-magic.com, http://www.sjsu.edu/faculty/watkins/solidangle.htm. [5] Italian Ministry of Facilities and Transport, Guidelines for the functional and geometric construction of intersection facilities, DM N° 1699, 19th April 2006. [6] Falciani J., A roundabout classification model based on the inner island treatment. Laurea Thesis, Dept. of Civil Engineering, University of Pisa 2009. [7] Crow E.L., Davis F. A. and Maxfield M.W., Statistics Manual, Dover Edition, New York 1960. [8] Walpole R.E., Myers R.H., Myers S.L. and Ye K., Probability and Statistics for Engineers and Scientists, 8th Edition, Pearson International Ed., 2007. [9] http://www.sens-giratoire.com. [10] Vernieri P., The roundabout: an element in the urban landscape. in Vernieri P. (ed.) "Roundabouts: a visiting card for the environment, (in Italian) Felici Editore, Pisa 2008.




773

Signal setting in an urban area: a procedure with day-to-day dynamic and stability constraints G. E. Cantarella1, P. Velonà2 & A. Vitetta2 1

Dept of Civil Engineering, University of Salerno, Italy Dept of Maths, Comp. Sci., Electr., Transp., Mediterranean University of Reggio Calabria, Italy

2

Abstract In this paper a model and a procedure for signal setting design with demand assignment are reported. The model is developed within a day-to-day dynamic framework where demand assignment is dealt with through deterministic (or stochastic) process models. The system of models, based on a what-to approach, generates signal timings taking into account users path choice behaviour as well as stability constraints. The main contribution in this paper is the specification of the heuristic procedure for signal setting optimization, based on genetic algorithm. The procedure is tested on a real scale test site with the objectives to validate the system of models and the optimization procedure. A sensitivity analysis with respect to demand level is also briefly discussed. Keywords: signal setting, traffic control, day-to-day dynamic.

1 Introduction This paper deals with the design of signal setting in urban areas. This problem can not be solved without considering the user behaviour at least at route choice level. The resulting problem belongs to the class of problem of transportation supply design with assignment [1–4]. Two main approaches have been proposed with respect to the method for demand assignment (with probabilistic path choice behaviour): equilibrium assignment, effectively approached by fixed-point models; day-to-day dynamic process models, derived from time-discrete non-linear dynamic system theory. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110641

774 Sustainable Development and Planning V Three main approaches have been proposed with respect to the method for signal setting design: with fixed flows, with flows from equilibrium assignment, with flows from day-to-day dynamic assignment. In signal setting with fixed flows, say optimization of signal timings, the flow pattern is considered known (for a general review see [5]). This approach can be considered day-to-day static because the flows (obtained from observations or from a model) are supposed fixed as regard the optimization in each time slice, even though they can vary during consecutive time slice. In signal setting with equilibrium assignment, the flow pattern is considered affected by the user path choice behaviour. Interaction between the user choice behaviour and the level of service provided by the transportation network is addressed through user equilibrium assignment that searches for mutually consistent arc flows and costs. Signal setting with equilibrium assignment has been proposed in literature since middle 70s [6] according to exact approaches, say Global Optimization with Equilibrium (EGO), or heuristic approaches, such as Recursive Optimization (RO) (also called iterative procedures) and Embedded Optimization (EO). Some methods are relative to the signal setting design in emergency condition [7, 8]. In signal setting with day-to-day assignment, the evolution over time of the flow pattern is explicitly modelled through dynamic process models. The approaches proposed in literature are based fixed flows or on equilibrium assignment, well established in literature. Some relevant issues may not be effectively addressed under the equilibrium approach, mainly uniqueness and stability, sensitivity to parameters and/or starting state. These issues are better casted within the day-to-day dynamics paradigm, including deterministic process models as well as stochastic ones. In this paper a model and a procedure for signal setting design are reported. The model is developed within a day-to-day dynamic framework where demand assignment is dealt with through deterministic process models. This problem seems relevant since optimization of signal timings under equilibrium assumptions may not guarantee that an effective solution is obtained, because it may well be not an attractor of the evolution over time. The main contribution of this paper is the specification of the general procedure, based on a genetic algorithm, specified and applied to a real size network for solving the described model. Results of a sensitivity analysis with respect to demand level are also reported. After this introduction, section 2 briefly reports the main part of the general model that is reported in [9]. Section 3 reports the genetic proposed procedure specified for the optimization model. Section 4 describes how the proposed approach can be applied to real scale networks and some sensibility of the procedure in relation to the user choice simulation behaviour. Section 5 reports some conclusions and further developments.



775

2 Models for signal setting A transportation system is usually modelled through a network with a transportation cost ca and a flow fa associated to each arc a. Without any loss of generality each access a of a junction is assumed corresponding to arc a (but not necessarily vice versa). Users are assumed grouped into classes. Let (in alphabetical order): Bi is the arc-path incidence matrix for user class i, with entries bak = 1 if arc a belongs to path k, bak = 0 otherwise; c be the vector of arc costs, with entries ca, including delays at junctions, running times, monetary costs for tolls, etc.; di  0 be the demand flow for users belonging to class i; f  0 be the vector of arc flows, with entries fa; hence for an arc a corresponding to an access fa, is the arrival flow; be the vector of arc flows at day t; ft g  Sg be the vector of signal timings (such as green times, cycle time, starting or ending time of the green period for each access, the offset of the signal plan for each junction, and possibly others); xt be the vector of arc forecasted costs at day t, say the costs that affect today user choice behaviour; n be the number of arcs; pi  0 is the vector of path choice probabilities for user class i, with 1T pi = 1, with entries given by the probability pk that users of class i choose path k; Sf = {f = i di Bi pi : pi  0, 1T pi = 1 i} be the set of feasible arc flows, nonempty (if the network is connected), compact, convex; Sg be the set of feasible signal timings (including non-negativity constraints). 2.1 Static flows Congestion is generally simulated assuming that arc costs depend on arc flows, and possibly on signal timings through the arc cost function: c = c(f, g) (1) The arc flow function can be defined as: f = f(c) i di Bi pi(BiT c)  Sf (2) The user equilibrium assignment searches for mutually consistent arc flows and costs, thus assuming that the signal timings are known, g = go, equilibrium assignment can be expressed by fixed-point models by combining the arc cost function and the arc flow function [10, 11]: c* = c(f*, g = go)  Rn ;+ (3) n f* = f(c*)  Sf  R ;+

(4)

In the following the arc cost function is assumed continuous and continuously differentiable w.r.t. arc flows, f, with Jacobian matrix Jc(f,g=go)= =Jac[c(f,g=go)]f. For given signal timings g = go, w.r.t. arc flows, f, the arc cost function may be assumed: monotone strictly increasing (or simply monotone WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

776 Sustainable Development and Planning V increasing), say with (semi-)positive definite (for real vectors) Jacobian Jc(f), and possibly with symmetric Jacobian Jc(f), as it occurs for separable cost functions. Other equivalent models can be formulated w.r.t. path variables: f* = f(c(f*, g = go))  Sf (5) Sufficient conditions for existence of solutions can be easily derived, through Brouwer theorem, requiring that both the arc cost function and the arc flow function are continuous (and the network is connected). Assuming that the arc flow function is monotone decreasing, as for invariant probabilistic path choice functions, if the arc cost function is monotone strictly increasing uniqueness is assured; if the Jacobian matrices of both the arc flow function, f(c), and the arc cost function, c(f, g = go), are meaningful, uniqueness is granted by positive definite Jc(f, g = go) and negative semi-definite Jf(c). Considering static flows (where flows do not change from one day to another one and are assumed time-independent) three cases can be considered: (I) signal setting with fixed flows (fo), (II) signal setting with feasible flows and (III) signal setting with equilibrium assignment. I. For a given Fixed Flow (FF) arc vector, f = fo, most signal setting methods based on arrival flows can formally be expressed as: (6) gFF = argoptg  Sg z(g, f = fo) where z(g, f = fo) is an objective function to be optimized, such as the total cost or total delay to be minimized: T z(g, f = fo) = fo c(f = fo, g) II. Global Optimization (GO) model for signal setting, where arc flow vectors are assumed belonging to the feasible arc flow set can formally be expressed as: (gGO, fGO) = argoptg  Sg, f  Sf z(g, f) (7) III. Equilibrium constrained Global Optimization (EGO) models are extension of (unconstrained) global optimization models (7): (gEGO, fEGO) = argoptg  Sg,

f  Sf

z(g, f)

w.r.t. f  f(c(f, g)) = 0

(8) (9)

2.2 Day-to-day dynamic flows This section formally introduces signal setting with (day-to-day) dynamic process assignment after [12], where evolution over day t is explicitly modelled. Congestion is simulated assuming that arc costs depend on arc flows ft and on signal timings g, through the arc cost function: c = c(f t, g) (10) The arc flow function can be defined: f = f(xt) = i di Bi pi(BiT xt)  Sf (11) The specification of a dynamic process requires the explicit modelling of user learning and forecasting and user choice updating behaviour. A quite simple but effective model based on exponential smoothing is presented assuming that WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


777

signal timings are known, g = go. Arc forecasted costs depend on yesterday actual and forecasted costs, through the cost updating recursive equation: (12) xt =  c(ft-1, g = go) + () xt-1 where  ]0,1]. Moreover, each day users may review yesterday choice with a fixed probability, and their reviewing behaviour can be simulated with an exponential smoothing filter, through the flow updating recursive equation: (13) ft = f(xt) + () ft-1 where  ]0,1]. The recursive equations (12) and (13) define a deterministic process model for demand assignment to a transportation network. For given signal timings, g = go, the state at day t is defined by the vectors of arc anticipated costs and arc flows, (xt, ft), belonging to state space given by Rn ;+ Sf. Fixed-points states, where the evolution over time of the system stops (even though they may not be attractors), are given by: (xt, ft) = (xt-1, ft-1) = (x*, f*) (14) This condition combined with equations (12) and (13) yields: x* = c(f*, g = go) (15) f* = f(x*) (16) Assuming that the arc flow function has a symmetric negative semi-definite Jacobian, Jf(c), as it occurs for invariant choice functions, if Jacobian, Jc(f), of arc cost function is symmetric positive definite, then matrix Jc(ft, g = go)  Jf(xt) has only non-positive real eigenvalues, a = a(ft, xt) = Rea). In this case a fixed-point (x*, f*) is (locally) stable if each eigenvalue a* = a(f*, x*) of matrix Jc(f*, g = go)  Jf(x*), computed at the fixed-point state, meets the following condition a(f*, x*) | =  Rea*) oa

(17)

where o = (1 + ((1  ) + (1  )) / ()). Equilibrium stability may be addressed within models for (global) optimization with equilibrium assignment by including further constraints expressing stability conditions depending on assumptions about the Jacobian matrix Jc(f, g = go) of arc cost function. Thus, a model for global optimization of signal timing with stable equilibrium constraints (SEGO) may be specified as follows: (18) (gSEGO, fSEGO) = argoptg  Sg, f  Sf z(g, f) w.r.t. f  f(c(f, g)) = 0 (19) MAXa | a(f, c(f, g)) | o (20) The evaluation of (20) to a large scale network is time consuming. It is useful to note that the maximum modulus among all the eigenvalues of a matrix is always less than (or equal to) any matrix norm and for transportation networks the Frobenius norm provides a very tight approximation and at the same time can easily be computed; hence (20) can be approximated as: (f, g) = || Jc(f, g)  Jf(c = c(f, g)) ||F – o  0 (21) WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


3 Proposed procedure The design procedure (figure 1) proposed in this paper aims at the solution of signal setting with stability constraints derived from a day-to-day dynamic model. The procedure generates and analyses potential solutions in order to optimize an objective function. It is made up by two main interacting subprocedures: an optimization module, based on a genetic algorithm, which provides new solution to be add to the population of solutions; an assignment module, based on a fixed-point model (section 2), which provides flows and objective function values for each generated solutions; the objective function also includes the stability constraints through a penalty function. Algorithm parameters

Design model Design variables Present system

Assignment

Optimization

Best solution

Objective function

Figure 1:

Design procedure.

According to the optimization genetic algorithm each solution vector g is described by a chromosome (figure 2) with three sections. The first has one entry containing the common value of cycle time, useful for cycle evaluation relative to each junction. The second has a number of entries equal to the number of junctions and each of them being the integer multiple, sMu, of the cycle time of junction u w.r.t the common cycle time, CB. The thirty contains the ratios, uj, between the time of each stage j of junction u and the cycle time for the same junction; in each junction, the number of these entries is equal to the number of stages less 1. (The structure can be extended to include offsets). | CB | sM1 | sM2 | … | sMi | 11 12 … 1S1-1 | 21 22 … 2S2-1 | … | u1 u2 … uSu-1 | …| N1 N2 … NSN-1 | sMu = ratio CB = common between cycle cycle for junction u and CB time

 uj = ratio between time of the stage j and cycle for junction u

N = number of signalized junctions Su = number of stages for the generic junction i

Figure 2:

Structure of the chromosome.



779

The optimization genetic algorithm (figure 3) starts with an initial set of solutions (POP), grouped into a randomly generated population (Pop_G). A new population Pop_A is generated. Afterwards, population evolves through three operators (or evolution functions), which are sequentially applied. Reproduction consists in selecting a sub-set of solutions from the population, the best will likely survive and create new offspring (Pop_R). Crossover selects genes from parent chromosomes and creates new offspring (Pop_C). Then, the mutation takes place and it changes randomly the new offspring, in order to prevent all solutions in the population falling into the local optimum of solved problems (Pop_M). Once a new set of solutions is generated, a stopping test evaluates whether a new iteration must be performed or not, according to some stopping criteria. At the end of each iteration, the best solution replaces the current project. START

Reproduction

Generation

Pop_R

POP

Pop_G

REP

CRO

Crossover

Pop_M

 g(Pop_G  Pop:M) varffyet analysed SIMULAZIONE AND g not g Assignment ff z

Pop_C Mutation

MUT

Pop_M Pop_A NO

Figure 3:

Stopping test

YES

END

Structure of the solution generator procedure.

In each stage, new solutions are evaluated with the assignment procedure for the estimation of objective function, z. The stability constraint for penalizing those solutions that does not guarantee the equilibrium stability through a poor value of the objective function is activated. The procedure has two types of input relative to the transport system models and to the algorithm parameters. The transportation system is specified with travel demands models (that represent how users behaviour changes with users cost), transport supply models (that represent how users cost changes with traffic flow) and demand-supply interaction model. In the supply models the dependence between signal setting and traffic flows is also included. The models are relative to the present configuration of supply facilities and services and user behaviour. The genetic algorithm parameters are the population size (POP), the crossover (CRO) and mutation (MUT) rates, the reproduction parameter (REP), and the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

780 Sustainable Development and Planning V convergence test parameter. Constraints on the minimum and maximum cycle length, and minimum green time are also considered. The transport model gives for each solution g, a global network indicator, which represents the objective function, including a penalty term for the stability constraint, then, the current optimal solution updated g*. The algorithm stops when the (pre-fixed) maximum number of iterations without improving the value of the objective function is reached. Output is the current optimal vector g*.

4 Application The procedure has been applied to the network of Crotone, a city in the southern Italy, containing 15 centroids, 157 nodes and 432 arcs, 88 OD pairs. Seven signalized junctions have been identified. Each street link, ending in a signalized junction, is modelled through a running arc and possibly several parallel access arcs. For the run arcs, the Davidson hyperbolic function with a linear approximation of 0.75 for the flowcapacity ratio has been adopted; for access arcs, the Webster function with a linear approximation 0.40 for the flow-capacity ratio has been adopted. The equilibrium flow vector is obtained with an user equilibrium assignment with (probabilistic) C-Logit route choice model and explicit path enumeration. A (scale) dispersion parameter, , equal to 2 hours has been considered. In relation to the solution generator, the parameters adopted are:  crossover rate 0.4;  mutation rate 0.4;  maximum number of iterations 10;  population numerousness 30 chromosomes. The objective function z is evaluated considering the sum of the delays at the designed junctions. The constraints are:  cycle times must be in the range [27 sec, 120 sec];  each stage must be no less than 7 sec;  user behaviour is expressed with equilibrium condition (19);  stability of equilibrium is expressed by stability condition (21). In order to define the best genetic parameters, in the table 1 the procedure is tested for some values (0,2, 0,4, 0,6, 0,8) of the crossover and mutation rate (d = 5300 veic/h;  = 2 h; o(, ) = 9.5). The best value in term of convergence is for crossover rate and mutation rate equal to 0,4. Table 1: Crossover rate 0,8 0,6 0,4 0,2

Sensibility of the algorithm in relation to the crossover and mutation rate. Mutation rate 0,8 0,6 0,4 0,2

Total delay (veic h/h) actual optimal 319 69 319 71 319 58 319 65

 actual -4,014 -4,014 -4,014 -4,014


Optimal -4,008 -4,008 -4,008 -4,008


781

The problem has been solved for different values of total travel demand for the morning peak hour: 4240, 5300 (actual demand), 6360 veic/h. It is assumed for the simulation that  = 0.70 (parameters for choice updating) and  = 0.5 (parameter for cost updating) which give o(, ) = 5.5. The procedure is started assuming the actual signal timings as current optimal solution; it is worth noting that this solution could not be stable depending on the value of o(, ). Considering the actual demand (5300 veic/h), the proposed procedure, after few iterations, provides a stable ( = 0.001) optimal solution, with a 35% reduction of total delay with respect to the actual (stable) solution, as shown in figure 4 by black triangles. This figure also shows results of increasing o(, ) from 5.5 to 9.5; a new solution with a further reduction of total delay is obtained (black circles); as expected since the constraint has been relaxed stability condition is satisfied ( = 4.014). 500

 

z (fEQ (g), g) (veic h/h)

450 400



350 300 250 200 150 100 50

iterations

0 0

Figure 4:

2

4

6

8

10

Results of the optimization procedure for demand = 5300 for different values of o.

On the other hand, after decreasing o(, ) from 5.5 to 3.5, the actual solution is not stable (showing  = 1.964) and the current solution is not updated, since no other stable solution can be found (blank squares). This example supports the theoretical conclusion that existence of a solution satisfying both equilibrium and stability constraints may not exist. This case becomes more likely after any increase of demand. Effects of changes of demand are briefly discussed below. It is worth noting that if a unique solution to equilibrium assignment exists f*, it turns out to be a function of the signal timings, f* = fEQ(g). Figure 5 shows the effect of reduction of demand from 5300 to 4240. In this case too, for o(, ) equal to 5.5 or 9.5 a stable solution better than the actual one may be found, whilst no stable solution may be found for o(, ) equal to 3.5. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

782 Sustainable Development and Planning V 500 z (fEQ (g) , g) (veic h/h)

450

 

400 350



300 250 200 150 100 50

iterations

0 0

Figure 5:

2

4

6

8

10


Figure 6 shows the effect increase of demand from 5300 to 6360. In this case, a stable solution better than the actual one may be found for o(, ) equal to 9.5 only, whilst no stable solution may be found for o(, ) equal to 3.5 or 5.5. 500

z (fEQ (g), g) (veic h/h)

450 400 350 300

 

250



200 150 100 50

iterations

0 0

Figure 6:

2

4

6

8

10


5 Conclusions In this paper the problem of signal setting with (day-to-day) dynamic process assignment has been described. This problem seems relevant since optimization of signal timings under equilibrium assumptions not guarantee that an effective WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


783

solution is obtained as the obtained solution may not satisfy stability conditions (as those described in the paper). A heuristic solution procedure has also been specified on genetic algorithm for the solution generation. Results of an application to a real scale network (with C-Logit route choice model) have also been reported. These results confirm that an increase of demand may make stability less likely. Some values for procedure parameters are tested. Several issues seem worth of further research analysis. Existence and uniqueness of solution of proposed models could be investigated. Other signal variables may be considered such as offsets, possibly together with street directions. Solution procedures based on other heuristics may be tested and compared with the proposed procedure. The calibration of all the parameters (model and procedure parameters) is a relevant issue still open apart from very few papers.

Acknowledgements Partially supported under UNISA local grant n. ORSA091208 financial year 2009, local grant n. ORSA107325 financial year 2010, and PRIN national grants n. 2007R9CSXY_003 at UNIRC and 2007R9CSXY_004 at UNISA financial year 2007.

References [1] Cascetta E. (2009) Transportation Systems Analysis. Springer. [2] Cantarella G. E., Vitetta A. (2006) The multi-criteria road network design problem in an urban area. Transportation, 33, pp. 357-588. [3] Russo F., Vitetta A. (2006) A Topological Method to Choose Optimal Solutions after Solving the Multi-criteria Urban Road Network Design Problem. Transportation, 33, pp. 347-370. [4] Cantarella G. E., Pavone G., Vitetta A. (2006) Heuristic for urban road network design: lane layout and signal setting. European Journal of Operational Research, 175, pp. 1682-1695. [5] Papageorgiou M. (editor) (1991) Concise Encyclopedia of Traffic and Transportation. Pergamon Press. [6] Allsop R.E. (1974) Some possibilities for using traffic control to influence trip destinations and route choice. Proceedings of the Sixth International Symposium on Transportation and Traffic Theory. Buckley ed., Amsterdam, Elsevier, pp. 345-374. [7] Russo F. & Vitetta A. (2006) Risk evaluation in a transportation system. International Journal of Sustainable Development and Planning, 1 (2), pp. 170-191. [8] Marcianò A., Musolino G., Vitetta A. (2010) Signal setting design on a road network: application of a system of models in evacuation conditions. Proceedings of Risk Analysis VII. WIT Press. Edited by C. Brebbia, pp. 443, 454. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

784 Sustainable Development and Planning V [9] Cantarella G. E, Velonà P., Vitetta A. (2010) Signal setting with demand assignment: global optimization with equilibrium stability constraints. The Third International Symposium on Dynamic Traffic Assignment, 29-31 July, 2010, Takayama, Japan. [10] Daganzo C.F. (1983) Stochastic Network Equilibrium with Multiple Vehicle Types and Asymmetric, Indefinite Link Cost Jacobians. Transportation Science, 17, pp. 282-300. [11] Cantarella G.E. (1997) A General Fixed-Point Approach to Multi-Mode Multi-User Equilibrium Assignment with Elastic Demand. Transportation Science, 31, pp. 107-128. [12] Cantarella G.E. (2009) Signal setting with dynamic process assignment. New Developments in Transport Planning: Advances in Dynamic Traffic Assignment. Immers L.H., Tampere C.M.J., Viti F. (eds), 2009. Edward Elgar, Cheltenham, UK - Northampton, MA, USA.



785

Optimal planning of selective waste collection S. Raicu, D. Costescu, E. Roşca & M. Popa University Politehnica of Bucharest, Romania

Abstract The paper presents an optimisation method for selective waste collection services in university campuses in Bucharest. Based on geographic information system (GIS) procedures and algorithms, an optimisation method for selective waste collection services is developed. The area of Bucharest City, the road network, the location of the selective waste collection points in the main university campuses and the location of the collection station are organized in GIS format. Complex geodatabase structures that allow solving the large scale selective waste collection problem are designed. The routing solution that minimises the total travel time is determined taking into consideration the local road network properties and the location of the collection station for each category of waste (glass, paper and plastic). The methodology is applied for the main University Campuses in Bucharest. The map with the routing solution, the required number of vehicles and the schedule for each category of waste and for each vehicle are obtained. The developed method provides informational and technological support for public authorities and selective waste collection operators. Keywords: selective waste collection, optimisation, vehicle routing, scheduling, geographic information system.

1 Introduction The problem presented in this paper is from a study carried out for the selective waste collection management system in university campuses in Bucharest. With over 250000 students, Bucharest is the greatest national university centre of Romania. There are over 15 important universities with academic, administrative and residential activities organized in campuses spread out in different areas of the city. The campuses have different organization systems, according with the structure, location, tradition and evolution of each university. Due to the large WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110651

786 Sustainable Development and Planning V number of the student and employees in all these campuses, selective waste management is essential for minimizing the impact on the environment. Since 2006 the municipal authority in partnership with waste collection cooperatives and associations has been developing a selective waste collection management system. For the period February – July 2006 a pilot project was applied for selective collection of paper, glass and paper in the area of University Politehnica of Bucharest. In that stage were collected about 22000 kg recyclable wastes, from which 12000 kg paper, 7000 kg plastic and 3000 kg glass. Since then the system has been developed in other campuses. Figure 1 shows the increasing volume of selective waste collected in university campuses. 30000 25000

tonnes

20000 15000 10000 5000 0

2006

2007 Paper

Figure 1:

2008 Plastic

2009

2010

Glass

Volume of selective waste collected in university campuses.

In order to increase the efficiency and effectiveness of the selective collection system, optimisation methods are necessary for services planning. In this paper we describe methods for vehicle routing and collection service scheduling. Examples for campuses located in one of the six administrative sectors of the Bucharest are given.

2 Selective collection model overview The optimisation of selective collection services implies solving transport routing and scheduling problems. The objectives of these two combinatorial problems consist of minimising the total haulage time, the fleet size, the transport costs or an aggregated function of the above mentioned. The problem is defined on a graph G  ( J , D) , where J  K  L ;

K  k1 , k 2 ,..., k N  is the vertex set including the collection waste centres or warehouses for paper, plastic and glass and L  l1 , l2 ,..., lM  is the vertex set

including the selective collection points where blue containers for paper, yellow container for plastic and green container for glass are located. The arc set is WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


defined as



 

787



D  (k i , l j ) k i  K , l j  L  (li , l j ) li , l j  L, i  j . Each arc

has associated a non-negative value t ij representing travel time. Each selective collection point li has associated a non-negative value t p representing the waste container picking time. Three containers (for selective paper, plastic and glass waste) with the capacity Vsel  3 m

3

are located in

each collection point. On a single route, a vehicle can collect three containers for the same category of waste (Figure 2). Different container filling intensities are registered for each type of waste. Therefore each selective collection point has associated a set of





picking periods Ti w  1,2,3 , where w =1 for paper container, w =2 for I

plastic container and w =3 for glass container. l1 k1

l2 l3

k2 l4

l5 l6

unloaded trip loaded trip

Figure 2:

Examples of vehicle trip.

The Vehicle Routing Problem (VRP) involves finding a set of routes, starting and ending at one collection centre, which services a set of selective collection points. The objective function is to minimise the total travel time. Let Z  1,2,..., Z max denote the set of trips that satisfy all the collecting demands for all categories of waste. The routing phase can be mathematically expressed as: 3  N   M M M Minimize   wz    wi   zi    zj  t ij     zj  t ij  (1)  i 1  w1 zZ  i 1 j 1  j 1  

subject to 3

 w1 zZ

wz

 Z max


(2)

788 Sustainable Development and Planning V 3

N

  w1 i 1

N

  zZ i 1

  zj 

zi

 

max Ti

zZ



i

w

T jw

wi

N

(3)

  , w  1,2,3 minT 

max Ti w i

(4)

w

i

i

, w  1,2,3, j  1,2,..., M 

(5)

where  wz : decision variable;  wz  1 if the trip z is planned for the waste w;

 wz  0

otherwise.

 wi :

decision variable;

 wi  1

 zi :

 wi  0 otherwise. decision variable;  zi  1 if

 zj :

otherwise. decision variable;

 zj  1

if the centre ki collect category w of waste; the trip z starts from centre ki and

 zi  0

if the trip z serve the point lj and

 zj  0

otherwise. The objective function (1) measures the total travel time of the system. Equation (2) expresses the trip allocation on waste category collection. Relation (3) is a constraint related to the type of the collection centres. The restrictions (4) and (5) express the demand satisfaction restrictions. When for each collection point, a time interval I





i i   min , max for picking

operation is settled according with the location in the campus (faculties and administrative buildings area or student residential area), the problem turns into a Vehicle Routing Problem with Time Windows (VRPTW). Bodin [1] presented an overview of VRPTW optimisation methods. In the case of selective waste collection presented in this paper, a geographic information system (GIS) model is developed for solving VRPTW. Allocation and routing procedure available in ArcGIS – Network Analyst Extension are used. The section 4 provides a description of the logical structure designed for the GIS model. In order to solve the VRPTW, we have to schedule the collecting trips according with the periodically demands. The problem deals with finding the subsets of collection points, which have to be served at the same time. The next section presents an algorithm for selecting and ordering the sets of selective collection containers, which are to be processed on a task. The algorithm is applied for each waste category and for the given set of picking periods.



789

Vehicle routing problem is solved for each waste collection centre and for each set of containers obtained as solution in scheduling algorithm. Finally, the detailed vehicle schedules are calculated, with respect to the time window constraints.

3 Collection planning algorithm Different deterministic scheduling methods are developed for practical application (Martelo et al. [2]). The problem of scheduling containers picking operation needs a peculiar approach. As mentioned before, the sets of picking

  are given for container location l  L and for each category of

periods Ti

w

i

selective waste w  1,2,3. The first step consists in identifying the subsets of collection points with simultaneous demands for a selective waste category (Figure 3). We describe below the algorithm built for solving this issue. T11 T12 T13

l1

T11 T1

T13 T 21 T22 T23

l2 . . .

lM

T11 2

TM1 TM2 T M3

TM1

TM1 TM2 TM3 λ21

λ11

Figure 3:

time

Gantt chart of picking periods.

We consider the following parameters: 

 w   1w ,  2w ,...,  Mw  where w  1,2,3 is the time when in the location l i the container for the waste w

The vector of collecting times and

 iw

have to be collect. 

The due date parameters

wj

representing the times when collection

operation has to be processed for the waste w. 

The set of tasks  j including all location lk which have to be served at the w

time 

wj .

The set of scheduling period

T , w  1,2,3 . w max


790 Sustainable Development and Planning V The algorithm for solving the container allocation on collection tasks follows the next steps: 1. Parameter initialization 1.1. Assign the given period to any collection time

i  1,2,..., M  .

1.2. Assign for the first iteration j  1 and

wj  min wj i M

 iw  Ti w ,

and  j   . w

1.3. Assign the maximum period to the scheduling period Tmax  max Ti . w

w

i M

2.

Iteration

2.1. For all i  1,2,..., M  , if

iw  iw  Ti w

 iw  iw

then  j   j  li  , w

and go to step 2.2.

2.2. Calculate the parameters for the next iteration

  min  w j

3.

i M

w i .

w

Until

 T w j

w max

go to step 2.1. If

j  j  1,

w   Tmax w j

then go

to step 3. Saving the solution 3.1. Export the sets of task  j in a table format, which will be used as w

input data in the GIS model.

4 Vehicle routing model Based on geographic information system (GIS) procedures, a model for solving the vehicle routing problem is developed. The model is applied for identifying the routes starting and ending at one collection centre and serving the set of selective collection containers. The routing solution that minimises the total travel time is determined taking into consideration the local road network properties and the location of the collection containers for each category of waste (glass, paper and plastic). Before the routing model could be constructed, preparing geospatial databases is necessary. The datasets used in the GIS model include:  Area of administrative sectors of Bucharest City;  Road network;  Area of university campuses;  Location of the selective waste collection centres;  Location of the selective waste collection containers in the university campuses. The map representation of the geospatial datasets is shown in figure 4.



Legend University campuses Collecting container Collection Centre

Figure 4:

Personal Geodatabase

Map of the model features.

Feature Data Set Selective Collection Sets

Feature Class Collection waste centres Paper Container

Selective Collection System

Plastic Container Glass Container

Feature Data Set Bucharest Road Network

Feature Class Streets

Network Dataset Street Network

Figure 5:

Elements in network datasets creation.


791

792 Sustainable Development and Planning V In order to create a network dataset and solving the large scale selective waste collection problem is necessary to organise all the datasets in an integrated geodatabase structure (Figure 5). A network dataset is created based on the road network geospatial database. Connectivity rules are applied and time and distance attributes are used as evaluators in the network dataset. With all the geospatial data digitized and necessary attributes added, the vehicle routing model can be built. The ArcToolBox – ArcGIS software is used for creating the model shown in Figure 6. Procedure “Make Route Layer” is applied for the street network dataset. The selective collection containers are located on the route layer and “Network Analyst” procedure is used for solving the vehicle routing problem. CollectionNetwork Model

StreetNetwork

Make Route Layer

Route Add Location

Network Analyst

PaperContainer Solve

PaperContainer RouteLayer

Figure 6:

Flow chart of the vehicle routing GIS model.

The model has to be successively applied for each set of selective waste containers (paper, plastic and glass) and for all sets of task  j established in the I

previous step.

5 Case study The model described before has been applied to optimise the selective waste collection system in university campuses located in the Sixth Administrative Sector of Bucharest. Figure 4 shows the location of the selective waste containers and collecting warehouses. The previous presented algorithm has been used in order to planning the collection services. A collecting tasks selection is presented in Table 1. The routing problem has been solved successively for each task with the developed GIS model. The route layer resulted for the first task is shown in Figure 7.



Table 1:

Collecting services.

OBJECTID

CollectionPoint

W_Id

Period

Allocation

Task

1

Automatica

1

5

Wahrehouse #05

#10501

2

Rectorat

1

5

Wahrehouse #05

#10501 #10503

3

Mecanica

1

10

Wahrehouse #05

4

Transporturi

1

20

Wahrehouse #05

#10506

5

IntrareVasileMilea

1

10

Wahrehouse #05

#10503

6

P22

1

5

Wahrehouse #05

#10501

7

Blocuri_U

1

5

Wahrehouse #05

#10501

8

R1

1

10

Wahrehouse #05

#10503

9

Belvedere

1

5

Wahrehouse #05

#10501

10

R3

1

14

Wahrehouse #05

#10505

11

ComplexLeu

1

10

Wahrehouse #05

#10503

12

CantinaLeu

1

5

Wahrehouse #05

#10501

13

Grozavesti1

1

10

Wahrehouse #05

#10503

14

Grozavesti2

1

10

Wahrehouse #05

#10503

15

ANEFS

1

12

Wahrehouse #03

#10304

16

Drept

1

12

Wahrehouse #03

#10304

17

CamineConstructii

1

7

Wahrehouse #03

#10302

Figure 7:

Route layers.


793

794 Sustainable Development and Planning V Each collecting point needs 12 minutes for loading/unloading the container. The total travel time along all routes is calculated based on each arc travel time from the network dataset. Detailed schedule table are obtained for each collecting vehicle.

6 Conclusion Selective waste collecting in university campuses is important for minimizing the impact on the environment. The collection services have to be organised in campuses with restricted access and in traffic congested urban areas. In order to reduce the total costs, the vehicle fuel consumption and pollutant emission, efficient methods for planning the recyclable waste collecting trips are necessary. GIS tools and procedure are useful for optimal planning of selective waste collection. The GIS model presented in this paper solves the routing problem. Additional programming algorithm is necessary for planning the collection services. The developed methods provide informational and technological support for public authorities and selective waste collection operators. Decision makers can also use the model to explore tradeoffs between planning alternatives and identify the optimal solution. The proposed model could be easily adapted for other practical special cases.

Acknowledgement The paper has been supported by the research contract 92110 “Civic Education for Selective Waste Collection in University Campuses – ECOSED”, funding by UEFISCDI/PNCDI-II.

References [1] Bodin, L.D., Twenty Years of Routing and Scheduling, Operations Research, 38, pp. 571-579, 1990. [2] Martelo, S., Laporte, G., Minoux, M., Ribeiro, C. (eds). Survey in combinatorial optimization, Volume 31 of Annals of Discrete Mathematics, North-Holland, Amsterdam, 1987. [3] ECOROM, ECOROM Annual Report, Bucuresti, Romania, 2011. [4] ESRI, ArcGIS9. Network Analyst, Redlands, USA, 2005.


Section 11 Container maritime transport (special session chaired by F. Russo)



797

Container maritime transport on an international scale: a procedure for aggregate estimation of demand variables F. Russo & G. Musolino Università degli Studi Mediterranea di Reggio Calabria, DIMET – Dipartimento di Informatica, Matematica, Elettronica e Trasporti, Italy

Abstract The paper presents a procedure for an aggregate estimation of demand variables of the containerized maritime freight market. The procedure is specified in different steps and a preliminary application is executed to forecast the throughput and transhipment variables in the Mediterranean area, according to expectations before the crisis and then to the new phenomena occurring today in the container market. Keywords: containerized maritime freight, demand variables, Mediterranean area.

1 Introduction In the scientific and technical literature, if variables of freight demand have been identified and measured [1], few variables have been associated to containerized maritime freight demand. They may be grouped into three main classes: throughput, transhipment and origin-destination (OD) flow. The first two classes of variables may be further characterized according to whether containers are full or empty. The third variable may provide a useful characterization in terms of empty containers if the problem of empty container management needs to be highlighted. Throughput of a port derives from measurements of the number of containers handled by the (ship to shore) cranes per unit of time (e.g. TEUs/year); it is generally used for ex-post analysis. Throughput in the Mediterranean area is obtained as the sum of the throughput values in Mediterranean ports. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110661

798 Sustainable Development and Planning V Transhipment is obtained as the proportion of throughput related to containers that are subject to transhipment operations (e.g. TEUs/year). Transhipment in the Mediterranean area is obtained as the sum of transhipment values in Mediterranean ports. Containerized OD flows represent the amount of containerized freight travelling from a geographical area of origin to one of destination per unit time (e.g. TEUs/year). In the containerized maritime freight market, where today all actors are dealing with the effects of the global economic crisis of years 2008-2010, there is a clear need to have a correct estimation of demand variables to support tactical and strategic decisions regarding the allocation of private and public resources. An important contribution is given by international consultants and research institutes, working in the field, providing general estimates concerning levels and trends referring to given macro-geographical areas and years. However, the lack of disaggregated data, not easy to obtain from the operators who prefer their activities not to be public, does not allow the same estimations to be obtained for more specific geographical areas and periods of interest. At the same time, historical available data (when provided by operators) for financial and commercial analysis and/or to monitor internal production processes (expost analysis) generally refer to those variables of the container maritime freight market connected to the use of port infrastructures, which are not clearly linked to trade-related variables. The latter variables are better suited to forecasting purposes (ex-ante analysis). This paper aims to define a procedure to support:  ex-post analysis for historical estimation at the disaggregate level, through estimation from heterogeneous data sources of demand variables of the containerized maritime freight market;  ex-ante analysis for forecasting purposes, through the specification and calibration of relationships between the throughput and OD flow variables. The procedure is specified in its different steps and a test application is executed to estimate the future trajectories of the demand variables for the Mediterranean area, according to expectations before the crisis and then to current developments in the container market. This work is part of a two-year research project financed by the Italian Ministry of University and Research, whose general objective is to define guidelines for the competitiveness of the Italian transhipment ports of Gioia Tauro, Cagliari and Taranto in the euro-Mediterranean context. Other specific lines of research concern the development, and the application to the Mediterranean area, of models to estimate the demand variables of container maritime transport [2], of choice models of maritime container services and ports [3], of methods to evaluate the efficiency of container transhipment ports [4]. The following part of the paper is structured into three sections. Section 2 specifies the steps of the procedure that allows estimation of variables connected to containerized freight demand. Section 3 presents the results of the partial application of the procedure to the Mediterranean area. Section 4 reports the future work.



799

2 Proposed procedure The proposed procedure consists of different steps as presented in this section. Step 0: initial vector of demand variables Inputs are represented by a set of vectors of available data related to containerized maritime freight demand, {dt,s , referring to a set of time periods, {t}, and geographical areas, {s}. Each vector, dt,s, is composed as follows: dt,s = [n t,s m t,s ft,s e t,s ]T where n t,s = ps nt,p, throughput of geographical area s at time period t, obtained as the sum of throughput of each container port p belonging to the geographical area at time period t, nt,p; mt,s = ps mt,p, transhipment of geographical area s at time period t, obtained as the sum of transhipment of each container port p belonging to the geographical area at time period t, mt,p (transhipment is an aliquot of throughput, nt,s ≥ mt,s); ft,s = o ft,o-s + d ft,s-d, OD flow of geographical area s at time period t, obtained adding two terms: • the sum over all geographical areas of origin, o, of OD flow between o and s, o ft,o-s; • and the sum over all geographical areas of destination, d, of OD flow between s and d, d ft,s-d; et,s = ps et,p, empty containers in geographical area s at time period t, obtained as the sum of empty containers, as aliquot of throughput (and/or) transhipment, handled in each port p belonging to the geographical area at time period t, et,p. One or more values of the above variables, aggregated for geographical area s, may be unknown for the analyst, while disaggregated data at port level are generally not easily provided by terminal operators due to their direct financial and commercial implications. Step 1: study area and reference time The procedure starts defining the study area (spatial domain), s*, and reference period (time domain), t*. According to the nature of the analysis, which may be ex-post or ex-ante, t* may be respectively an historical or a future reference time period. The space-time domain (s*, t*) has the following relationships with the available sets {s} and {t}: • the study area, s*, may be coincident with, be part of, or partially overlapping with one or more available geographical areas belonging to the set {s} s*≡ s or s* s or s* s ≠ 0, s {s} • the reference period, t*, should belong to (or not be too distant from the extreme values, ti and tk, of) the set, {t}, in order to allow estimation of direct WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

800 Sustainable Development and Planning V and cross elasticities connected to finite variations of the above variables by means of the available data t*≡ t or t*  t or t*  ti  tk or t* t ≠ 0, t, ti, tk {t} Step 2: estimation of fitting parameters A set of models then allows to perform spatial and temporal fitting operations of the heterogeneous available input data to the given study area, s*, and reference period, t*. The set of models may be grouped into two classes: • temporal fitting models, which allow to fit the values of the demand variables belonging to the initial vector, x t,s dt,s, to the reference time period t*, xt*,s: ct→t*,x ( )

for x=n, m, f, e

• spatial fitting models, which allow to fit the values of the demand variables belonging to the initial vector, x t,s dt,s, to the study area s*, xt,s*: cs→s*,x ( )

for x=n, m, f, e

The models allow two vectors of parameters to be obtained: • vector of temporal fitting parameters ct* = [ct*,n ct*,m ct*,f ct*,e]T • vector of spatial fitting parameters cs* = [cs*,n cs*,m cs*,f cs*,e]T Step 3: final vector of demand variables The two above vectors feed a general model, together with the set of available input data, {dt,s}, from which we can obtain as output a vector, dt*,s*, of variables of containerized maritime freight demand for the given study area, s*, and reference period, t*: dt*,s* = d (ct*, cs*, {dt,s}) where: dt*,s* = [nt*,s* mt*,s* ft*,s* et*,s*]T; d=[n( ) m( ) f( ) e( )] T is the vector of functions related to each variable of containerized maritime freight demand. Step 4: ratios between demand variables Once vector dt*,s* is estimated, it is possible to specify and calibrate models to express the mutual relationships among the variables of the above vector for the given study area, s*, and reference year, t* (which are omitted in the notation):  cn,m( ), throughput - transhipment model;  cn,f( ), throughput - OD flow model;  cn,e( ), throughput - empties model;  cm,e( ), transhipment - transhipped empties model. Due to the lack of data concerning one or more components of the initial vector of demand variables, dt,s, Step 4 can be applied before Step 3; this means WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


801

that one or more components of vector, dt*,s*, can be estimated after estimating the ratio between two variables, whose aggregate values referred to the spacetime domain (s*,t*) are known.

3 Application in the Mediterranean area The procedure is applied to obtain an aggregate estimation of the demand variables of containerized maritime freight market at 2006 and 2015 for the Mediterranean area. This section presents the results of the partial application of the procedure: classification of available input data according to geographical areas and years; definition of the study area and reference period of time (year); estimation of variables of throughput and transhipment. 3.1 Initial vector of demand, study area and reference period of time Input data are represented by values of throughput, transhipment, OD flows and empties with heterogeneous time references, t, and geographical areas, s, which are components of vectors belonging to the set, {dt,s}. They are made available from international research institutions working in the field, such as Ocean Shipping Consultants Ltd [5–7], Drewry Shipping Consultants Ltd [8–11], United Nations [12], Informa Business [13], reports from research projects [14–16], books [17, 18] and papers [19–21]. Available data are grouped into different spatial scales (Tab. 1): aggregate worldwide, aggregate euro-mediterranean (EU-Med), euro-mediterranean countries and ports; and time periods: historical or forecasted. A detailed description of available data are presented in [22]. Table 1: [TEUs]

Initial vector of demand variables. International Worlwide EU-Med Port H F H F A F

x Non-OD Transhipment x Empties x OD Flow x Throughput

x x x --

x x -x

x x ---

x x x --

-----

EU-Med Country Port H F H F

x x ---

x ----

x x -*

-----

H, Historical; F, Forecasted; * available data for Gioia Tauro, Cagliari and Taranto; -- partially or completely unavailable.

The study area consists of countries facing the Mediterranean Sea, which may be considered as a homogeneous area (s*=M, Mediterranean area). It comprises: Northern Mediterranean (NM) countries, including Spain, France, Italy, Malta, Greece, Turkey, Cyprus, Syria, Lebanon and Israel;  Southern Mediterranean (SM) countries, including Morocco, Algeria, Tunisia, Egypt. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

802 Sustainable Development and Planning V The following countries (or parts of) were excluded from the study area: Atlantic (A) countries, facing the Atlantic such as Portugal, north-western Spain, Atlantic France, Canaries, Azores and Madeira;  Black Sea (B) countries, facing the Black Sea such as Bulgaria, Romania, western Russia, Georgia. The aim of the application is to estimate the variables of containerized maritime freight demand at 2006 and 2015, on the basis of scenarios defined before and after the global economic crisis of 2008-2010. Therefore, two reference years are defined: t*= 2006 and 2015; considering the trajectories as expected before, 2015-b, and after the crisis, 2015-a. 

3.2 Throughput estimation: fitting parameters The section presents the set of operations for the estimation of temporal and spatial fitting parameters and of throughput variable at 2006 and forecast at 2015 at the Mediterranean scale. Data at 2006 Available data comprise the throughput values of Northern Mediterranean countries, including Atlantic countries ([8], [9]), n04,NM =31.53 mTEUs. As the above value includes throughput related to countries facing the Atlantic, their throughput has to be estimated. The available throughput value for the above countries refers to 2004. Application of the temporal fitting model to 2006 provides the calibrated parameter, c06,m, as the average growth rate per year of throughput in the period 2000-2004. Application of the spatial fitting model allows the calibration of the parameter, cA,m, which is the aliquot of Atlantic countries throughput to subtract from the value of 31.53 mTEUs. The throughput of Southern Mediterranean countries at 2006 is then estimated starting from the available throughput at 2004 for Morocco, Algeria, Tunisia, Egypt, Israel, Libya and Syria (data refer to this aggregation of countries), n04,SM=3.72 mTEUs. Application of the temporal fitting model to 2006 allows calibration of the parameter, c06,m, as the average growth rate per year of throughput in the period 2000-2004, and execution of the temporal fitting for the above countries. By using calibrated temporal and spatial fitting parameters we can estimate the throughput in the Mediterranean area at 2006, n06,M=34.0 mTEUs. Scenarios at 2015 Throughput forecasts at 2015 for the Mediterranean area were obtained considering the following scenarios:  first case: scenario defined before the crisis according to [5];  second case: scenario defined before the crisis according to [8, 9];  third case: scenario defined after the crisis [11]. In the first case, the available data consist of the throughput values in the Mediterranean area (including Atlantic and Black Sea countries) at 2015 before WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


803

the crisis in a baseline scenario (I), n15,b-I,M=91.64 mTEUs, and in a low one (II), n15,b-II,M=70.15 mTEUs. Baseline and low scenarios depend on assumptions regarding worldwide economic growth, which may be respectively more or less accentuated (see [5]). It is necessary to estimate the values of throughput related to Atlantic and Black Sea countries and subtract them from the above starting values. Availability of throughput forecasts at 2015 in baseline and low scenarios allow the calibration of spatial fitting parameters for the Atlantic countries. By using the calibrated spatial fitting parameters we can estimate throughput in the Mediterranean area at 2015 before the crisis for the low scenario, n15b-lI,M=60.0 mTEUs. In the second case, the available data comprise the throughput of Northern Mediterranean countries, except for Syria, Lebanon and Israel, at 2013 (see [9]), n13b,NM= 46.6 mTEUs. Application of the temporal fitting model to 2015 allows the calibration of parameter, c15b,m, as the average growth rate per year of throughput in the period 2008-2013, obtaining a value of throughput, n15b,NM= 50.9 mTEUs. As Atlantic countries are included, the calibrated spatial fitting parameters respectively in the baseline and low scenarios allow us to estimate the aliquot of throughput related to these countries to subtract from n15b,NM. Moreover, the spatial fitting parameters related to Syria, Lebanon and Israel (S) countries respectively in the baseline and low scenarios are calibrated in order to estimate the aliquot of throughput related to these countries to add to n15b,NM. The throughput of Southern Mediterranean countries at 2015 before the crisis in the baseline, n15b-I,SM=19.44 mTEUs, and in the low scenario, n15b-lI,SM=16.26 mTEUs is forecasted in the same way as for 2006. The calibrated spatial fitting parameters allows, in this case, estimation of throughput in the Mediterranean area at 2015 before the crisis, n15b,M=60.0 mTEUs. In the third case, the available data is the throughput of Northern Mediterranean countries at 2014 after the crisis (see [11]), n14a,NM= 36.76 mTEUs. Application of the temporal fitting model to 2015 provides the calibrated parameter, c15,m, as the average growth rate per year of throughput during the period 2009-2015. Therefore, the forecasted value of throughput at 2015 after the crisis can be estimated, n15a,NM= 38.4 mTEUs, which is lower than the corresponding value before the crisis. The above reduction is used to estimate the throughput at 2015 after the crisis of Atlantic countries and subtract it from the value of 38.4 mTEUs. The same considerations drive the estimation of throughput of Southern Mediterranean countries at 2015 after the crisis in the baseline scenario, n15a-I,NM= 14.65 mTEUs, and in the low one, n15a-lI,NM= 12.28 mTEUs. By using the calibrated spatial and temporal fitting parameters we can estimate throughput in the Mediterranean area at 2015 after the crisis, n15a,M= 46.0 mTEUs. 3.3 Transhipment estimation As there is a current lack of data on the transhipment variable, the procedure cannot be applied according to the sequence of steps described in section 3.2, as WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

804 Sustainable Development and Planning V with the variable of throughput. Therefore, transhipment values, m06,M and m15,M, are estimated by means of the model, cm,n( ), inverting the sequence of steps three and four of the procedure. Data at 2006 Available data concerns historical values of ratios between transhipment and throughput. Ratios on a period from 2005 to 2008 in Northern Mediterranean countries, including Atlantic Sea countries, are presented in [9]; values are stable and their average value is 0.43. Ratios between 1995 and 2015 in the Mediterranean area (Fig. 1) are provided by [6, 7]: average value between 2005 and 2008 is 0.365, which is lower than the previous one. We refer to the more complete data from [6, 7], which presents both historical and forecasted ones. Application of the model, cm,n() yields a ratio at 2006 of cm,n=0.365.

45,0 40,0

[%]

35,0 30,0



25,0

2015

2014

2013

2012

2011

2010

2009

2008

OSC base after-crisis

2007

Figure 3:

2006

2005

2004

2003

2002

2001

2000

1999

1998

Figure 2: 1997

15,0 1996

OSC base 1: before-crisis Figure

1995

20,0

year Figure 4:

Figure 1:

Historical and forecasted ratios between transhipment and throughput in the Mediterranean area: years 1995–2015 (source: [6, 7]).

Data at 2015 According to [6, 7], the forecasted ratio between transhipment and throughput before the crisis increases from 37.2% at 2007 to 42.4% at 2015, while after the crisis the ratio reaches 40.0% at 2008 and remain stable around this value until 2015 (see Fig. 1). Application of the model, cm,n( ), with data at 2015 yields, before the crisis, ratios of cm,n=0.42, and, after the crisis, of cm,n=0.40. 3.4 Preliminary results and future work The preliminary application of the procedure at Mediterranean scale (s*=M) allowed estimating throughput and transhipment variables at 2006 and 2015 before the crisis and after the crisis (t*=2006, 2015-b, 2015-a). The results are presented in table 2. The values of transhipment variable for the Mediterranean WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


805

area at 2006 and 2015 are estimated by means of the transhipment-throughput ratios, cm,n, obtained in section 3.3. At this stage of the application, the emptythroughput ratios, ce,n, for the Mediterranean area at 2006 and 2015 are assumed equal to the ones estimated at worldwide level: 0.21 at t*=2006; 0.21 at t*=2015b and 0.23 at t*=2015-a (see [12]). Table 2:

Variables of throughput, transhipment and empties in the Mediterranean area (2006 and 2015).

Throughput Transhipment Empties

t*=2006 [mTEUs] n06,M 34.0 cn,m 0.36 m06,M 12.4 ce,n 0.21 e06,M 7.1

t*=2015-b [mTEUs] n15b,M 60.0 0.42 m15b,M 25.5 0.21 e15b,M 13.8

t*=2015-a [mTEUs]s n15a,M 46.0 0.40 m15a,M 18.4 0.23 e15a,M 10.6

b, before the crisis, a, after the crisis.

The paper proposes a procedure for the estimation of demand variables of the containerized maritime freight market, with the aim to link the variables connected to the use of port infrastructures with the trade-related ones. The partial results of the application of the procedure at the Mediterranean area at 2006 and 2015 concern the variables of throughput and transhipment. Future work will pursue two different lines: the first concerns the application of the procedure to the OD flow variable in order to estimate container flows between the Mediterranean area and other geographical areas of the rest of the world; the second concerns the estimation of demand variables at worldwide level in order to evaluate the role of the Mediterranean area in the worldwide containerized maritime freight market. Research perspectives concern the formulation of a unified model to simultaneously estimate temporal and spatial fitting parameters from available input data [23, 24].

References [1] Bayliss B., The Measurement of Supply and Demand in Freight Transport. Avebury, Aldershot, England, 1988. [2] Russo F. & Assumma V., Container maritime transport at international scale: a model to simulate the demand flow in the Mediterranean basin. Proc. of Sustainable Development and Planning V, Brebbia C. A. (ed.), WIT Press, Southampton, Boston, 2011. ISBN 978-1-84564-544-1. [3] Russo F., Chilà G. & Iannò D., Container maritime transport at international scale: a model choice of service and hub port. Proc. of Sustainable Development and Planning V, Brebbia C. A. (ed.), WIT Press, Southampton, Boston, 2011. ISBN 978-1-84564-544-1. [4] Russo F. & Rindone C., Container maritime transport at international scale: Data Envelopment Analysis for transhipment ports. Proc. of Sustainable WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


[5] [6] [7] [8] [9] [10] [11] [12] [13] [14] [15] [16] [17] [18] [19] [20] [21]

Development and Planning V, Brebbia C. A. (ed.), WIT Press, Southampton, Boston, 2011. ISBN 978-1-84564-544-1. Ocean Shipping Consultant Ltd, The European & Mediterranean container port markets to 2015. United Kingdom, 2006. Ocean Shipping Consultant Ltd, Container Port Strategy. United Kingdom, 2007. Ocean Shipping Consultant Ltd, Container Terminal Management: a postcrisis perspective. United Kingdom, 2010. Drewry Shipping Consultant Ltd, Annual Review of Global Container Terminal Operators 2008. United Kingdom, 2008. Drewry Shipping Consultant Ltd, Annual Container Market Review and Forecast 2008-09. United Kingdom, 2008. Drewry Shipping Consultant Ltd, Annual Review of Global Container Terminal Operators 2008: Addendum. United Kingdom, 2009. Drewry Shipping Consultant Ltd, Container Forecaster 3Q09. United Kingdom, 2009. United Nations, Regional shipping and port development. Container traffic forecast 2007 update. Economic and social commission for Asia and the Pacific. New York, 2007. Informa Business, Containerisation International Yearbook 2009. United Kingdom, 2008. Crudo C., I flussi di merci nel porto di Gioia Tauro. Technical Report (in Italian). OSMETE Research project, 2006. FREEMED project, Transport demand analysis. New mobility scenarios in the FREE Trade Zone in the MEDiterranean basin. Deliverable 3, Interreg III B, Archimed, 2008. FREEMED project, Decision support system implementation. New mobility scenarios in the FREE Trade Zone in the MEDiterranean basin. Deliverable 3, Interreg III B, Archimed, 2008. Coronado D., Acosta M., del Mar Cerban M. & del Pilar Lòpez M. (eds.) Economic Impact of the Container Traffic at the Port of Algeciras Bay. Springer-Verlag, Berlin, 2006. Meersman H., Van de Voorde E. & Vanelslander T., (eds.). Future Challenges for the Port and Shipping Sector. INFORMA, London, 2009. Meersman H. & van de Voorde E., The relationship between economic activity and freight transport. In Recent developments in transport modelling: lessons for the freight sector. Bingley, Emerald, 2008. Meersman H. & van de Voorde E., Port management, operation and competition: a focus on North Europe. In The handbook of maritime economics and business. London, 2010. Medda F. & Carbonaro G., Growth of Container Seaborne Traffic in the Mediterranean Basin: Outlook and Policy Implications for Port Development. Transport Reviews, 27: 5, Routledge, London, pp. 573-587, 2007.



807

[22] Russo F., Gattuso D., Musolino G. & Ferraro G., Domanda ed offerta nei porti container: fonti di riferimento e caratteristiche dei porti del Mediterraneo centrale. In I porti container italiani nel sistema EuroMediterraneo: dati di riferimento e stato dell’arte su modelli e metodi per l’analisi di domanda e offerta. F. Russo (ed), Franco Angeli, Milan, pp. 7190, 2010. [23] Russo F. & Vitetta A., Risk evaluation in a transportation system. In International Journal of Sustainable Development and Planning. Volume 1, Issue 2, 2006, Pages 170-191, 2006. [24] Russo F. & Vitetta A., Reverse assignment: calibrating link cost functions and updating demand from traffic counts and time measurements. In Inverse Problems in Science and Engineering, 2011, forthcoming.




809

Container maritime transport on an international scale: a model to simulate the demand flow in the Mediterranean basin F. Russo & V. Assumma Università degli Studi Mediterranea di Reggio Calabria DIMET – Dipartimento di Informatica, Matematica, Elettronica e Trasporti, Italy

Abstract This paper presents a model to simulate the freight demand flow of containers on an international scale, considering as a reference area the Mediterranean basin. The models specified and calibrated represent a development of models used in the literature and they are applied to assess the effects of modifications on the configuration of the national transport system. The modifications correspond to different exogenous scenarios, relative to national and international socioeconomic and demographic variables. Some results emerge from the analysis of the calibrated models, in particular concerning the importance of the different maritime services for import and export. Keywords: freight, international mobility, container.

1 Introduction The objective of this paper is the development of models to simulate the freight demand flow in the Mediterranean basin exchanged by containers. The models in literature are of interregional type or just crossborder [1], few papers treat transport models on an international level. In particular, there are no transport models involving industrialized countries and developing countries. A detailed classification of international freight transportation models is reported in [2]. This work is part of a two-year research project financed by the Italian Ministry of University and Research, whose general objective is to define guidelines for the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110671

810 Sustainable Development and Planning V competitiveness of the Italian transhipment ports of Gioia Tauro, Cagliari and Taranto in the euro-Mediterranean context. In the complete system of analysis the starting model is the one regarding the development, and the application to the Mediterranean area, of aggregate procedures [3] to estimate the demand variables of container maritime transport. The second is the model presented in this paper. The third is the model regarding the choice of maritime container services and ports [4]. Finally a specific paper [5] presents method to evaluate the efficiency of container transhipment ports that operate in the same region. A general review on national transport models is reported in [6]. From the literature it emerges that only the agriculture aspect of trade is modeled in the Mediterranean area. In the context of studies conducted by the Femise Research Programme, the MEDINA AGRO I [7] aims to analyze the effects of the creation of the Euromediterranean Free Trade Zone in agriculture. The determinants of the demand for general maritime import and export are analyzed only for one specific country: Spain [8]. General work related to different aspects of a single port in the Spanish and Mediterranean context have been studied in [9]. Specific aspects related to the use of the models in a design procedure are analyzed with emphasis on road network [10], similar evolution could be studied for maritime network. In this paper is reported a short description of the study area, the Mediterranean basin (section 2), including demand and supply database. In section 3 is reported the current demand of freight exchanged in the Mediterranean basin and in section 4 are reported models and criteria used for their specification, calibration and validation. In section 5 are presented the calibrated coefficients. Some results that emerge from the analysis of the calibrated models are reported in section 6.

2 Study area and database To analyze the freight flow by container, in the Mediterranean basin, considering only the transport by ship, four zones have been defined: two zones inside Mediterranean basin and two zones outside Mediterranean basin. The zones inside Mediterranean basin are:  North-Med (North): Italy, France, Spain and Greece;  South-Med (South): Morocco, Algeria, Tunisia, Malta, Libya, Egypt, Jordan, Israel, Lebanon, Syria, Turkey, Cyprus, Palestine. North is composed of countries with strong similarities in terms of production capacity and manufacturing demands; South is composed of countries with low production capacity and manufacturing demands among the Mediterranean basin. In this context, Malta and Cyprus, while politically belonging to the North, were inserted in South for their production capacity and manufacturing demands. The zones outside Mediterranean basin are:  European Union excluded North (EU19): Austria, Belgium, Denmark, Estonia, Finland, Germany, Ireland, Latvia, Lithuania, Luxembourg, WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


811

Netherlands, Poland, Portugal, United Kingdom, Czech Republic, Slovakia, Slovenia, Sweden, Hungary;  World excluded EU19, South and North. Data for models calibration were obtained from different sources:  World Development Indicator (www.worldbank.org);  Italian National Institute for Foreign Trade (www.ice.gov.it);  Italian National Institute of Statistics (www.istat.it). Some social-economic variables were obtained (year 2006) from the World Development Indicator [11]:  Gross domestic product (US$);  Industry value added (US$);  Agriculture value added (US$);  Total population;  Unemployment (% of total labour force);  Inflation (%);  Energy production (kg oil equivalents);  Energy use (kg oil equivalents);  Electricity production (kwh);  Electric power consumption (kwh per capita). National Institute for Foreign Trade [12] provided aggregate and disaggregate data (year 2006) regarding:  value of freight (number of container) exchanged between the countries in our study area.

3 Demand structure In order to reproduce the current demand of freight exchanged by sea in the Mediterranean basin in 2006 it is necessary to analyze the connections O/D. The current demand of freight exchanged was fully represented by 2006; given the difficulty to finding data for all the countries in our zones, the database could be updated and completed, and the work can move ahead. Today there is no single database with all the statistics of freight exchanged in the Mediterranean basin, and the existing data, elaborated from various sources, are often conflicting. Although the current demand of freight exchanged in the Mediterranean basin was fully represented, it is not necessary to analyze all the connections in O/D matrix. The following sections report a description of simulated freight demand flows and not simulated freight demand flows. 3.1 Simulated demand container flows In order to analyze freight demand flows exported in the Mediterranean basin (fig. 1), it is useful to define the following aggregated demand flows:  freight exported from North to South;  freight exported from North to World excluded EU19, South and North; WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

812 Sustainable Development and Planning V   

freight exported from South to North; freight exported from South to EU19; freight exported from South to World excluded EU19, South and North. Similarly to analyze freight demand flows imported in the Mediterranean basin (fig. 1), it is useful to define the following aggregated demand flows:  freight imported to South from EU19;  freight imported to North from World excluded EU19, South and North;  freight imported to South from World excluded EU19, South and North. O/D

North

South

EU19

World – EU19 – North – South

North South EU19 World – EU19 – North – South

Figure 1:

O/D matrix.

3.2 Not simulated demand container flows Some connections in O/D matrix are not simulated (oblique line in fig. 1) because there are only little amounts of freight exchanged by sea respect to land:  amounts of freight exported from North to North;  amounts of freight exported from South to South. The amounts of freight exported by sea from North to North had an increased by means of European policies that support the start-up of services by motorway of the sea like Marco Polo. But this effect is more prevalent in the years after 2006, which is the base year for the simulation. Some O/D connections are not simulated (cross line in fig. 1) because freight is almost exclusively exchanged by land:  freight imported to North from EU19;  freight exported from North to EU19. Some O/D connections are not simulated (white box in fig. 1) because it is assumed that no ports of Mediterranean basin are used:  freight exported from EU19 to EU19; WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


813



freight exported from EU19 to World excluded EU19, South and North;  freight exported from World excluded EU19, South and North to EU19. One connection, in O/D matrix, is not simulated (grating in fig. 1) because the choice of a port hub in Mediterranean basin depends only by business strategies of major carriers and not by economic conditions of countries (work in progress on these themes):  freight exported from World excluded EU19, South and North to World excluded EU19, South and North. Fig. 1 reports the O/D matrix of the freight demand flows exchanged by sea and that have at least one extreme in a port of the Mediterranean basin.

4 Specification of models Two specifications of demand model O/D are proposed:  exportation model;  importation model. The exportation (importation) model estimates the amount of freight exported (imported) from a country. It is used the regression model by category, that is a specification of the descriptive models. The model is specified and calibrated for all the connection (black) in O/D matrix in fig. 1. The model, in its higher disaggregated form, can be written as: y ij    w  x jw    k  xik  z w

(1)

k

where, considering as an example the amounts of container freight exported from North to South:  i is a country of North that exports toward country j of South a number of container yij;  xik is the generic attribute k of country i;  xjw is the generic attribute w of country j;  w and k are model coefficients to be estimated;  z is a random variable that represents the error. Given the difficulty finding disaggregated data (attributes) for all the countries in the zones and container flows on all the connections in O/D matrix, it is necessary to specify the model (1) in other way. We do not consider, as observed value, the single yij country to country container flows, but the value: YiJ   y ij jJ

(2)

In the case of container freight exported from North to South, previously exemplificated, we have:


814 Sustainable Development and Planning V YiSouth 

y

ij

jSouth

If we consider the models (1) and (2), wxJw has a constant value for all the YiJ and must be ignored in the calibration. For the first two rows in O/D matrix in fig. 1 the model is: YiJ    k  xik  z k

Let us suppose in a compact way that   X i    k  xik the model well be write k

as: YiJ    X i  z

(3)

where: 

YiJ = dependent or explicative variable; in our case it is the export of freight, in container, from a country i toward an aggregate region of country J;  Xi = independent or explicative variable in a vector form; in our case they are the social-economic variables for the country i;   = coefficients vector to be estimated; the method used, least squares, means that the overall solution minimizes the sum of the squares of the errors made in solving every single equation;  i = 1,…,n with n = total number of observations (countries);  J = considered zone or aggregate region of country. Similarly to analyze demand of freight imported in the Mediterranean basin, if we consider (1) and (2) the model is: YIj   yij iI

The model calibrated is: YIj   β w  x jw  z w

that is: Y Ij    X j  z

For the third and fourth rows in O/D matrix in fig. 1 the model is the (4).


(4)


815

5 Calibrations Several model specifications were carried out, with progressive additions of different sets of social-economic attributes. It is possible to identify two main types of specification and calibration. The first type is operational (OP), because attributes are generally available in the literature, allowing us to recalibrate the model for subsequent years. These attributes usually are the basis of the programs of the various countries (finance laws) because are the foundations for the forecast of Central Banks. The second type is explanatory (ES) because attributes have not a simple availability in the literature, but they explain the complexity of the model. The OP type of models has the following attributes.  Gross Domestic Product, GDP (US$): it is the sum of gross value added by all resident producers in the economy plus any product taxes and minus any subsidies not included in the value of the products. It is calculated without making deductions for depreciation of fabricated assets or for depletion and degradation of natural resources. Data are in current U.S. dollars. Dollar figures for GDP are converted from domestic currencies using single year official exchange rates.  Industry Value Added, IVA (US$): it comprises value added in mining, manufacturing (also reported as a separate subgroup), construction, electricity, water, and gas. Value added is the net output of a sector after adding up all outputs and subtracting intermediate inputs. It is calculated without making deductions for depreciation of fabricated assets or depletion and degradation of natural resources.  Agriculture Value Added, AVA (US$): it includes forestry, hunting, and fishing, as well as cultivation of crops and livestock production. Value added is the net output of a sector after adding up all outputs and subtracting intermediate inputs. It is calculated without making deductions for depreciation of fabricated assets or depletion and degradation of natural resources.  Total Population, TP: it is based on the de facto definition of population, which counts all residents regardless of legal status or citizenship – except for refugees not permanently settled in the country of asylum, who are generally considered part of the population of their country of origin. The values shown are midyear estimates. The ES type of models has the following attributes.  Energy Production, EnP (kg oil equivalents): it refers to forms of primary energy--petroleum (crude oil, natural gas liquids, and oil from nonconventional sources), natural gas, solid fuels (coal, lignite, and other derived fuels), and combustible renewables and waste--and primary electricity, all converted into oil equivalents.  Energy Use, EnU (kg oil equivalents): it refers to use of primary energy before transformation to other end-use fuels, which is equal to indigenous production plus imports and stock changes, minus exports


816 Sustainable Development and Planning V and fuels supplied to ships and aircraft engaged in international transport.  Electricity Production, ElP (kwh): it is measured at the terminals of all alternator sets in a station. In addition to hydropower, coal, oil, gas, and nuclear power generation, it covers generation by geothermal, solar, wind, and tide and wave energy, as well as that from combustible renewables and waste. Production includes the output of electricity plants that are designed to produce electricity only as well as that of combined heat and power plants.  Electric Power Consumption, ElPC (kwh per capita): it measures the production of power plants and combined heat and power plants less transmission, distribution, and transformation losses and own use by heat and power plants. For example to analyze amounts of freight container exported from North to South it is used the model (3) in the simpler form with just one attribute: YiJ 

y

jSouth

ij

 β  GDPi

where: 

yij = export of freight, in container, from country i of North toward country j of South;  YiJ = export of freight, in container, from country i of North toward all the country j of South;  GDPi = Gross Domestic Product (US$) of country i;   = model coefficient to be estimated;  i = 1,…,North where North = country of North;  j = 1,…,South where South = country of South. In tab. 1 are the coefficients  of the operational model specified with only variable Gross Domestic Product for exportation model from North to South and exportation model from South to North, and coefficients w of an explicative model.

6 Preliminary conclusions Some results emerge from the analysis of the calibrated models. In particular in operational exportation model the coefficient of variable Gross Domestic Product is four times greater for Southern countries than for Northern countries; but the same coefficient are only a few times greater in explanatory exportation model. The current demand of fright exchanged in the Mediterranean basin was fully represented, making particular reference to the Euromediterranean Free Trade Zone and to trade with the rest of the world. Given the difficulty finding data for all the countries in our study area, the database could be updated and completed. Today there is no single database with all the statistics of freight exchanged in



817

the Mediterranean basin, and the existing data, elaborated from various sources, are often conflicting. Table 1: Attribute GDP. t-student

AVA.

Exportation model from North to South and from South to North. Unit US$*106 US$*106

North to South OP ES 0,2945 0,9115 2,46

t-student

EnP

t-student Rho2

4,10

-7,4633

0,5117

-13,26

0,83

Kgoe

-3,7670

Kwh p.c.

46,1577

t-student

ElPC.

4,73

-12,92

Kgoe

t-student

EnU

8,06

-3,26*10-8

South to North OP ES 1,1454 1,0708

-3,19

0,6697

83,20 1

0,6705

0,6922

References [1] Regan A. C. & Garrido P. A. (ed.) Modeling Freight Demand and Shipper Behaviour: State of the Art, Future Directions. Preprint IATBR, Sydney, Australia, 2000. [2] Russo F., Assumma V., Chilà G. & Iannò, D., Stato dell'arte su modelli per la previsione dei flussi di domanda merci nei porti container hub. in Russo F. (ed.) I porti container italiani nel sistema euro-mediterraneo. Franco Angeli, Milano, 2010, ISBN 978-88-568-2482-7. [3] Russo F. & Musolino G. Container maritime transport at international scale: a procedure for aggregate estimation of demand variables. Proc. of Sustainable Development and Planning V. Brebbia C. A. (ed.), WIT Press, Southampton, Boston, 2011. ISBN 978-1-84564-544-1. [4] Russo F., Chilà G. & Iannò D. Container maritime transport at international scale: a model choice of service and hub port. Proc. of Sustainable Development and Planning V. Brebbia C. A. (ed.), WIT Press, Southampton, Boston, 2011. ISBN 978-1-84564-544-1. [5] Russo F. & Rindone C. Container maritime transport at international scale: Data Envelopment Analysis for transhipment ports. Proc. of Sustainable Development and Planning V. Brebbia C. A. (ed.), WIT Press, Southampton, Boston, 2011. ISBN 978-1-84564-544-1. [6] Lundquist L. & Mattsson L.G. National transport models: recent developments and prospects. Springer, 2001 [7] Lorca Corrons A. L’impact de la libéralization commerciale EuropeMéditeranéenne dans les échanges agricoles. Femise Research Programme, Paris, 2000 [8] Coto-Millàn P., Banos-Pino J. & Villaverde Castro J. Determinants of the demand for maritime imports and exports. Transp. Res., vol. 41/E, 2005, pp. 357-372


818 Sustainable Development and Planning V [9] Coronado D., Acosta M., del Mar Cerban M. & del Pilar Lòpez M. (eds.) Economic Impact of the Container Traffic at the Port of Algeciras Bay. Springer-Verlag, Berlin, 2006. [10] Russo F. & Vitetta, A. A topological method to choose optimal solutions after solving the multi-criteria urban road network design problem. Transportation, Volume 33, Issue 4, July 2006, Pages 347-370. [11] World Bank Group, World Development Indicators, 2006. [12] ICE, www.ice.it, National Italian Institute for Foreign Trade, 2006.



819

Container maritime transport on an international scale: a choice model of service and hub port F. Russo, G. Chilà & D. Iannò Università degli Studi Mediterranea di Reggio Calabria, DIMET – Dipartimento di Informatica, Matematica, Elettronica e Trasporti, Italy

Abstract In this work we present a model to simulate container service of maritime transport on an international scale, considering the alternatives hub and spoke and point-to-point. Given the alternative hub and spoke, the choice of hub port is simulated. Several model specifications are proposed. An experimentation according to the independency of the two choices, maritime service and hub port, is carried out for the Mediterranean basin. Keywords: freight transport, service choice, international scale.

1 Introduction On an international and, especially, an intercontinental scale, freight transport via sea dominates other transport modes, as experimentally highlighted. While on an intracontinental scale, freight transport via railway is significant; on an intercontinental scale, it is not competitive. Therefore, on an intercontinental scale it is important to simulate the joint choice of transport mode/service and not only the choice of transport mode. In most cases, the choices of container service and hub port (for transhipment service) are supposed to be independent and then probability choices are simulated according to a factorial approach. Positive results obtained according to this hypothesis shows how good this method is, even if, in order to consider the interaction between the two levels of choices, an approach simulating jointly mode/service and hub port could further improve the results. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110681

820 Sustainable Development and Planning V In this work a model simulating the container maritime transport service on an international scale is proposed, considering the alternatives, hub and spoke and point-to-point. Once the alternative hub and spoke is given, the choice of hub port is simulated. The work is part of a two-year research project financed by the Italian Ministry of University and Research, whose general objective is to define guidelines for the competitiveness of the Italian transhipment ports of Gioia Tauro, Cagliari and Taranto in the euro-Mediterranean context. Other specific lines of research concern the development, and the application to the Mediterranean area, of aggregate procedures [1] and models [2] to estimate the demand variables of container maritime transport, and of methods to evaluate the efficiency of container transhipment ports [3]. In section 2, a synthetic state of the art related to the maritime transport service choice models on an international scale is proposed; in section 3, the proposed model is specified; in sections 4 and 5, model calibrations for the two levels of choice obtained from an experimentation in the Mediterranean basin are reported; finally, in section 6, main conclusions and future objectives are presented.

2 State of the arte on freight modal choice model on an international scale The displacements on an international scale had a significant growth in the last two decades, due to large multinationals, which, in order to take advantage of raw materials and cheap labour, have preferred to locate manufacturing plants at a considerable distance from the places of consumption. Haralambides and Veenstra [4] propose three approaches to simulate freight demand on an international scale:  the first approach follows the standard theory of international trade [5] which allows the indirect inclusion of transportation costs and it is based on the Ricardian principle of competitive advantage [6];  the second approach relies on an aggregate cost function for a given industrial sector, from which a demand function for shipping is derived [7];  the third approach is based on spatial interaction models to estimate trade flows [8–10]: the outgoing flows from the origin zone divide up the destination zones proportionately inversely with distance. In the first approach, a more direct relationship between the international movement of freight and transportation costs is offered by Bougheas et al. [11]. The authors analyze the impact of infrastructure in a Ricardian model of bilateral trade which includes the transport cost: in the model, the infrastructure is a technology that reduces the cost (the authors assume that transport costs are inversely proportional to the level of infrastructure). Input-output models are also used for freight transport demand estimation, both on interregional and international levels, as an extension of the third WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


821

approach. These models are a generalization of the model proposed by Isard [12] and subsequently developed for freight transport demand [13]. In order to simulate trade between different zones, a Multi-Regional Input Output model (MRIO) with constant coefficients could be used. Regarding transport mode choice, our literature survey highlighted the absence of models that simulate the transport mode/service and the path choices on an international scale, since, in most cases, models are referred to regional areas [14]. Coto-Millan et al. [15], for example, propose a theoretical model explaining the behaviour of imports and exports of goods by ship for a particular economy, such as the Spanish one. On this scale, the maritime transport, as first mentioned, is predominant in comparison with the other modal choice alternatives. As a result, it is necessary to simulate the choice of service, inside the maritime transport mode, with respect to modal choice, generally considered on the other territorial scales. A mode-service choice model on a euro-Mediterranean scale is proposed by Russo and Assumma [2, 16]. The model specifies four choice alternatives: container ship, solid bulk ship, liquid bulk ship and roll on – roll off ship. Monetary cost and travel time are introduced as attributes of the level of service for each mode-service. Among the level of service attributes, the specific attributes of alternative (ASA) or modal preference can be included, taking into account the characteristics of each mode not evaluated quantitatively. Concerning maritime services, the market offers two different services: pointto-point and transhipment. The choice of transhipment service implies the identification of the hub port. A model of hub port choice is proposed by Park and Lim [17]. They analyse the factors causing an increase of container handling in Busan port. Veldman and Buckmann [18] analyse the competitiveness among container ports in Northern Europe. A detailed state of the art is reported in Russo et al. [19, 20].

3 Specification of the choice model of service-mode and hub port In this work a choice model of container service of maritime transport on an international scale is proposed, between the alternatives hub and spoke and point-to-point, and, given the hub and spoke alternative, of the hub port. These models are downstream of the freight demand models at international scale such as those proposed in Russo and Assumma [2, 16]. For the generic alternative of joint choice m a function of generalized utility Um=f(Um,serv,Um,hub) is proposed; the function includes two parts:  Um,serv, related to the attributes of main transport service m,serv;  Um,hub, related to the attributes of hub port, for main transport service hub and spoke, equal to zero for main transport service point-to-point.


822 Sustainable Development and Planning V This function can be specified considering the different relation among the level of choice (hierarchical or factorial) and different hypothesis on random residual distributions. They generate models classified into two main classes:  models characterized by choice probabilities expressed in closed forms (e.g. generalized extreme value models, GEV, and their specifications Multinomial Logit and Nested Logit);  models characterized by simulated probability choice (e.g. Probit and Mixed Logit models). In this work the choice model is specified supposing that service choice and hub port are independent and then user choice process could be specified according to a factorial approach. We also assume that there is independence in the choice of port for each path o/d travelled by the same ship around the world. A different assumption can regard the sequential choice in respect to previous decisions [21, 22]. Formally, utility function of generic alternative m,hub is expressed as: U m,hub= Vm,hub+m,hub=Vm,hubm,serv m,hub/m,serv with Vm,hub part of systematic utility related to the hub port choice; m,serv part of random residuals related to group m,serv; m,serv/hub part of random residuals related to hub port. If we consider the sequential approach [21, 22] the utility function will be: U m,hub (t)= Vm,hub(t)/m,hub(t-1)+m,hub(t)= Vm,hub(t)/m,hub(t-1) m,serv(t) ‘m,hub(t)/m,hub (t-1) 

‘‘

m,hub(t)/m,serv(t)

where Vm,hub(t)/m,hub(t-1)Vhub(t)=f (Vm,serv(t),Vhub(t-1)) shows the relation between hub port choice in time t respect to the previous choice in time t-1;  ‘m,hub(t)/m,hub (t-1) part of random residuals related to dependence between hub port choice in time t and t-1;  ‘‘m,hub(t)/m,serv(t). part of random residuals related to dependence between hub port choice and type of maritime service in time t. Attributes considered in the choice of hub port are aggregated in classes; for each class we recall main of these: 

Port location minimum deviation from the direct route between Suez and Gibraltar; distance from the geographic center of the Mediterranean basin; distance from the economic center of the Mediterranean basin;





 

823

Infrastructural characteristics depth of the dock ports; length of the docks to class in depth; size of the square Equipment characteristics number of cranes compatible with the size of the ship; Service characteristics qualified staff; productivity (time while the ship is in port, the sum of the waiting time for berthing and time spent in dock); continuing time; efficiency of public services (customs, financial police, ASL, etc.).

The assumption of independence introduced between service choice and hub port allows us to subdivide the systematic utility related to a pair “m,serv m,hub” in a part related exclusively to the service choice and in a part related to the join choice service-hub: Vm,hub m,serv=Vm,hub+Vm,serv. with Vm,hub part of systematic utility related to the hub port choice; Vm,serv part of systematic utility related to the service choice. Vm,serv is function, in general, of attributes related to the service and to the freight class, and of alternative specific attributes; among which: Tm,serv Cm,serv Cl ASA

travel time for a ship which directly link the generic pair of origin/destination (o/d) ports; unitary transport cost of a container; attribute function of class of freight; alternative specific attribute.

If we suppose that the user choice process can be specified according to a factorial approach with a Gumbel distribution of random residuals, it is possible to specify the probability to choose the joint alternative “m,serv m,hub” as: p(m)=p(m,serv, m,hub)=p(m,serv)·p(m,hub)= ={exp[Vm,serv/0]/m,serv’[Vm,serv’/0]}·{exp[Vm,hub/]/m,hub’exp[Vm,hub’/]} The following section proposes the specification and calibration of service and hub port choice probabilities.



4 Calibration of the choice probability of service mode The calibration of the proposed model, reported in this section, refers to an experiment carried out in the Mediterranean basin, where it is reasonable to assume that service and hub port choices are independent and that therefore the decision-making process can be expressed according to a factorial approach. For the mode service choice, considered alternatives are:  point-to-point (PP);  hub and spoke (TR); The proposed specification of utility function for Vm,serv is reported in the following for the alternatives point-to-point (PP) and hub and spoke (TR): VPP  1   2  TPP   3  C PP   4  Dep VTR   2  TTR   3  CTR   5  Short _ Fedeer

where TP,P TTR

CPP CTR

Dep Short_feeder

1...5

travel time for a ship with capacity equal to 4.000 container that directly links the generic pair of origin/destination (o/d) ports; total time, in days, required to link a pair o/d ports, using a transhipment port where containers are transferred from one feeder ship to a mother ship; it was assumed that the capacity of the feeder ship is of 2.000 TEU and that of the mother ship of 10.000 TEU; unit cost, in dollars, for the transport of a container that travels on a ship of 4.000 TEUs, which directly link a pair of ports o/d; unit cost, in dollars, for the transport of a container that travels on a 2.000 TEU ship, during the route from the port of origin to the port of transhipment, and on a 10.000TEU ship, during the route from the port of transhipment to the port destination; the cost is the sum of the cost of sea travel and the cost of stay of ships in the port of transhipment; dummy variable that is a equal to 1 if the type of goods transported is perishable, zero otherwise; dummy variable that is a equal to 1 if the distance travelled by the feeder ship is less than 20% of the total distance, zero otherwise; attribute parameters.

For the model calibration, level of service attributes are estimated considering specific supply models, with cost functions related to travel time and cost [23– 26], which are focused on in some cases. For all the shipments to and from the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


825

Mediterranean basin belonging to the sample, travel times (port-port and ship’s stay in port) and operating costs for transporting a TEU were calculated. The model was calibrated in a disaggregated way, by means of a sample of 727 observations of shipments between pairs of ports. The results (Table 1) show that the calibrated parameter values are significant and have correct sign, as regards time and cost. It is worth to highlight the importance of parameter Dep, for the alternative point-to-point. It expresses the willingness to choose this service for perishable freight and it represents the need to reduce the time and number of stops at the risk of unusable goods. The parameter Short_feeder is also important, expressing the willingness to choose the transhipment service if the distances with feeder vessel are less than 20% of the total distance travelled. Table 1: Attribute Modal Time Cost Dep Short_feeder N. of observations Rho2

Calibration of choice of mode/service model. Alternative PP PP, TR PP, TR PP TR

Unit 0/1 Days Euro 0/1 0/1

Parameter 1,315 -0,460 -0,036 0,904 2,025 727 0,280

The calibrated models are able to reproduce the current choices and they can be used to forecast the effects of different scenarios. The scenarios are related to the characteristics of port facilities and to services and routes supplied by shipping companies.

5 Calibration of the choice probability of hub port This section reports a specification of the hub port choice model and the calibrations obtained as a result of an experiment carried out in the Mediterranean basin. The considered alternatives for the choice of port hub are 19 and they are characterized by the higher number of container handled in the Mediterranean basin. The model has a structure which is similar to the distribution models, enabling to estimate the choice probability of a port hub between the available destinations. The systematic utility, Vm,hub, is a function of attributes related to each hub port. The choice of a hub port by a shipping company depends on several factors, such as the socio-economic characteristics of the area to which the port belongs, the geographical location and the physical characteristics. A possible specification for the hub port choice, including those in the Mediterranean basin, is the following: WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

826 Sustainable Development and Planning V Vm,hub=1·Bai+2·Kmi+3·Ngrui +4·Capi+5·Soci+6·Popi

with Bai Kmi Ngrui Capi Soci Popi

1...6

length of the docks with high depth for considered port i, expressed in km; minimum distance of port i from the Suez - Gibraltar route, in km; number of cranes in port i; capacity of the yards, in TEU; dummy variable equal to 1 if economic, social and safety conditions in the port i are standard; dummy variable equal to 1 if the population of city in which port is located is more than 1 million of inhabitants, equal to 0 otherwise; attribute parameters.

Attributes used for the model calibration (length docks, crane number, capacity of squares, etc.) were obtained from the database built in the behalf of research project mentioned in the introduction, whose results are reported in [27, 28]. Each port has also been associated with the number of TEUs handled in a year. The model is calibrated by means of an aggregate approach [29], using data application on the quantity of TEUs handled in a year in the ports. We recall Russo and Vitetta [30] for the calibration of link cost functions by reverse assignment. The results obtained (Table 2) show the importance of geographic location of each port (Kmi) and of the ownership of competitive infrastructures. In particular, it highlights the weight of the attribute related to the number of gantry cranes (Ngrui), having a greater allocation of quay cranes for moving a greater number of TEUs, and this has an impact on costs and productivity in the economies of scale. Table 2: Attribute Ba Km Ngru Cap Soc Pop RMSE%

Results of the calibrations on the choice of port hub. Alternative G G G G G G

Unit km km Number TEU 0/1 0/1

Parameter 0,051 -0,002 0,077 7,390E-0,6 0,285 -0,875 16%

G: generic alternative.

The results show the importance of the parameter Soci, with positive sign, confirming that safe working conditions and satisfactory welfare are related to an increase in production in the port. This is the case, for example, of Algeciras and Gioia Tauro, among the main Mediterranean ports. The parameter Popi, with negative sign, allows extrapolating the regional port effect, in order to consider only the rate of flow of transhipment that arrives or leaves each port. It is the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


827

case of the port of Valencia, where over 3 million TEUs are handled in a year, of which, however, only 34% are of transhipment.

6 Conclusion and future perspectives In this work a general utility function for service/mode choice and for hub port choice on an international scale is proposed. At this scale, the sea is basically the only alternative transport mode, for which it should simulate the choice of service in this mode, compared to the traditional selection procedures adopted at national and regional spatial scales. As part of the alternative sea-container it is necessary to identify the type of service used, and, in the case of scenario with transhipment, what is the hub port used. Assuming independent choices, using a set of data on shipments between ports and container handling, an experiment for the Mediterranean basin has been proposed. The calibrated models allowed reproduction of the current choices, both in terms of choice of mode/service, as part of the alternative containers, both in terms of choice of port hub. The future objectives concern the models application for simulating the effects of different scenarios, which will consider different configurations of characteristics of port facilities and of services and routes supplied by shipping companies. Moreover, different hypothesis of random residual distribution will be tested, considering the sequential dynamic approach, both with Logit [31, 32] and with Probit [21] specifications.

References [1] Russo F. & Musolino G., Container maritime transport at international scale: a procedure for aggregate estimation of demand variables. Proc. of Sustainable Development and Planning V, Brebbia C. A. (ed.), WIT Press, Southampton, Boston, 2011. ISBN 978-1-84564-544-1. [2] Russo F. & Assumma V., Container maritime transport at international scale: a model to simulate the demand flow in the Mediterranean basin. Proc. of Sustainable Development and Planning V, Brebbia C. A. (ed.), WIT Press, Southampton, Boston, 2011. ISBN 978-1-84564-544-1. [3] Russo F. & Rindone C. Container maritime transport at international scale: Data Envelopment Analysis for transhipment ports. Proc. of Sustainable Development and Planning V, Brebbia C. A. (ed.), WIT Press, Southampton, Boston, 2011. ISBN 978-1-84564-544-1. [4] Haralambides H., Veenstra A., Multivariate autoregressive models in commodity trades, 8th World Conference on Transport Research Conference, July 1998, Antwerp, Belgium, 1998. [5] Mundell R.A., Transport costs in international trade theory, The Canadian Journal of Economic and Political Science, 23(3), 331-348, 1957. [6] Ricardo D., On the Principles of Political Economy and Taxation, 1817. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

828 Sustainable Development and Planning V [7] Oum, T.H., Waters, W.G. II, Yong, J.S., A survey of recent estimates of price elasticities of demand for transport, Policy Planning and Research Working Papers, WPS 359, 1990. [8] Wilson A.G., Urban and regional models in geography and planning, John Wiley and Sons, London, 1974 [9] Hartwick J.M., The gravity hypothesis and transportation cost minimization, Regional Science and Urban Economics, 4, 1-9, 1974 [10] Nijkamp P., (1975), Reflections on gravity and entropy models, Regional Science and Urban Economics, 5, 203-225, 1975 [11] Bougheas S., Demetriades P., Morgenroth E.L, Infrastructure, transport costs and trade, Journal of International Economics, 7, 169-189, 1999. [12] Isard W., Interregional and regional input/output analysis: a model of a space economy. The Review of Economics and Statistics, vol. 33, n. 4, pp. 318-328, 1951. [13] Leontief W., Costa P., Il trasporto merci e l’economia italiana. Scenari di interazione al 2000 e al 2015, Sistemi Operativi, New York-Venezia, 1987 [14] Regan A.C., Garrido P. A.. Modeling Freight Demand and Shipper Behaviour: State of the Art, Future Directions. Preprint IATBR, Sydney, 2000. [15] Coto-Millan P., Banos-Pino J., Villaverde J. Determinants of maritime import and export functions. Transp Res E 44(4), pp. 357-372, 2005. [16] Russo F., Assumma V. Sistema di modelli per l’analisi e la simulazione dei flussi di domanda container nel Mediterraneo. In Russo F. (Ed.) Scenari di riferimento per i porti container italiani nel sistema Euro-Mediterraneo – Dati di riferimento e stato dell’arte su modelli e metodi per l’analisi di domanda e offerta. Franco Angeli, Milano, 2010. [17] Park, N.K., Lim C.K. Port choice model of transhipment cargo using system dynamic. Proceeding of WCTR XII, Julay, Lisbon, Portugal, 2010. [18] Veldamn S., Buckmann E.. A model on container port competition, an application for the West European Container hub-ports. Maritain Economics & Logistics, Vol.5, n°2, march, 2003. [19] Russo F., Assumma V., Chilà G., Iannò D. Stato dell’arte su modelli per la previsione dei flussi di domanda merci nei porti container hub. In Russo F. (ed.) I porti container italiani nel sistema Euro-Mediterraneo – Dati di riferimento e stato dell’arte su modelli e metodi per l’analisi di domanda e offerta. Franco Angeli, Milano, 2010. [20] Russo F., Chilà G., Iannò D., Modello di scelta del scontainer e del porto hub per il trasporto merci a scala internazionale. In Russo F. (Ed.) Scenari di riferimento per i porti container italiani nel sistema Euro-Mediterraneo – Dati di riferimento e stato dell’arte su modelli e metodi per l’analisi di domanda e offerta. Franco Angeli, Milano, 2010. [21] F. Russo, Chilà G., Probit Sequential Model for User’s Choices. In Proceedings of European Transport Conference 2008, Noordwiikerhout (NL), 2008. [22] Russo F., Chilà G, A sequential dynamic choice to simulate demand evacuation, Proc. of Seventh International Conference on Computer WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


[23] [24] [25]

[26] [27] [28]

[29]

[30] [31]

[32]

829

Simulation in Risk Analysis and Hazard Mitigation, Brebbia C. A. (ed.), WIT Press, Southampton, pp. 431- 442. ISBN978-1-84564-472-7, 2010. Russo F., Trasporto intermodale delle merci. In G.E. Cantarella (ed.) Introduzione alla Tecnica dei Trasporti e del Traffico con Elementi di Economia dei Trasporti, UTET, Torino, 2001. Postorino M.N., Trasporto marittimo e idroviario. In G.E. Cantarella (ed.) Introduzione alla Tecnica dei Trasporti e del Traffico con Elementi di Economia dei Trasporti, UTET, Torino, 2001. Gattuso D., Musolino G., Modelli di costo del trasporto marittimo in container e di interscambio modale. In G.E. Cantarella and F. Russo (eds.) Metodi e Tecnologie dell’Ingegneria dei Trasporti - Seminario 2000, Franco Angeli, Milano, 2002 Russo F. Sistemi di trasporto merci. Approcci quantitativi per il supporto alle decisioni di pianificazione strategica tattica ed operativa a scala nazionale. Franco Angeli, Milano, 2005. Russo F. (ed.) I porti container italiani nel sistema Euro-Mediterraneo – Dati di riferimento e stato dell’arte su modelli e metodi per l’analisi di domanda e offerta. Franco Angeli, Milano, 2010. Russo F. (Ed.) Scenari di riferimento per i porti container italiani nel sistema Euro-Mediterraneo – Dati di riferimento e stato dell’arte su modelli e metodi per l’analisi di domanda e offerta. Franco Angeli, Milano, 2010. Cascetta E., Iannò D. (2000). Calibrazione aggregata di un sistema di modelli di domanda merci a scala nazionale. Metodi e Tecnologie dell’Ingegneria dei Trasporti, (a cura di) G. E. Cantarella e F. Russo. Franco Angeli, pp. 156-178. Russo, F., Vitetta, A. Reverse assignment: calibrating link cost functions and updating demand from traffic counts and time measurements. Inverse Problems in Science and Engineering, 2011, Forthcoming. Russo F., Chilà G., Sequential models for mobility decisions: experimentation for vehicle holding choices. In Proceedings of European Transport Conference 2007, Noordwiikerhout (NL). CD ISBN 978-1905701-02-5, 2007. Russo F., Vitetta A., An assignment model with modified Logit, which obviates enumeration and overlapping problems. Transportation. Vol. 30, Issue 2, Pages 177-201, 2003.




831

Container maritime transport on an international scale: data envelopment analysis for transhipment port F. Russo & C. Rindone Università degli Studi Mediterranea di Reggio Calabria, DIMET – Dipartimento di Informatica, Matematica, Elettronica e Trasporti, Italy

Abstract Port’s performances depend on infrastructural and service characteristics. It is possible to adopt different evaluation methods to compare these performances. In this work a state of the art evaluation method to compare container ports is reported. Non-parametric methods are analysed and in particular applications of Data Envelopment Analysis (DEA) are reported. Prototypal results of DEA application for a set of Mediterranean container ports are presented. Keywords: transhipment port, evaluation methods, DEA.

1 Introduction Port characteristics and their possible evolutions are defined in relation to specific transportation planning dimensions [1, 2]. Respect to temporal dimension, three main commercial functions of a port can be defined: regional port, gateway, transhipment. Regional port competition regards only ports with similar external conditions. Gateway port competition regards ports with connection availability to high level of service quality railways and highways. Transhipment port competition regards ports with a hub and spoke function at intercontinental scale. Then for regional and gateway ports the competition is driven by external elements and the internal elements that define the specific port are sometime not important. The most important competition regards transhipment ports. Infrastructures and services influence competition between hub ports even if also non-material characteristics influence the challenge but in this case the weight is lower. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110691

832 Sustainable Development and Planning V Infrastructural characteristics influence port choice and often it constitutes constraints for some typologies of maritime traffic: for instance, quay depth influences transhipment traffic. Services characteristics supplied in a port, given the same infrastructural characteristics, are decisive factors in maritime travel choices. At strategic scale evaluation concerns infrastructures investments, while at tactical scale, infrastructural characteristics can be considered constant, and then evaluation concerns principally services. Investments evaluation is finalised to compare effects produced after implementation of infrastructures and services. Comparisons are carried out respect to one or more factors. The method generally adopted to evaluate infrastructural investments is Cost Benefit Analysis (CBA). One of limits of CBA concerns in the difficulty to consider non monetary effects. To overcome this limit, multicriteria methods can be adopted. These methods allow the comparison of effects that in some cases can be incommensurable. Most multicriteria methods require some information on preference of decision makers that are generally represented through weights. Specification of weight influences strongly results [3, 4] and in some case multicriteria is equivalent to CBA. A different approach can be used for services. Services are modelled as a productive process characterised by a set of inputs that are combined to obtain a set of outputs. Investments, represented by means of a productive process are compared in terms of efficiency that is the capacity to transform a set of inputs into a set of outputs. A possible method to analyse competition among ports is performance measurement that assume a relevant role in analysis of current situation and to support decision maker for possible future scenarios [5, 6]. A productive process is represented by means of a production function that is the relationship between quantity of inputs used and quantity of product resulting. A production frontier function is an extension of production function and it represents ideally maximum output obtainable with a given set of inputs [7]. Different methods to estimate efficiency are available in literature. A classification of these methods comprehends:  parametric methods, based on the assumption that the production function of fully efficient firms is known [8]; a method is Stochastic Frontier Analysis (SFA) [9];  non-parametric methods, based on the assumption that the production function of fully efficient firms is not known; some methods are Data Envelopment Analysis (DEA) [10] and Free Disposal Hull (FDH) [11, 12]. In this paper a DEA non-parametric method is proposed to evaluate in the same time infrastructures and services in a transhipment port. DEA was originally introduced to evaluate production efficiency in industrial systems, where inputs are labour, energy and capital resources and outputs are goods or services. Starting from Farrell’s definition of efficiency [13], the first formulation of DEA was introduced by Charnes et al. [10], it was indicated with WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


833

the acronym CCR referring to author’s names. This formulation was based on the hypothesis of Constant Returns to Scale (CRS). An extension of the CCR model, denoted with the acronym BCC, has been proposed by Banker et al. [14], in which the CRS hypothesis is removed and Variable Returns to Scale (VRS) (decreasing or increasing) are admitted. DEA is based on technical efficiency concept that measures capacity of a decision unit (or in general Decision Making Unit – DMU) to realize a productive process that combines production factors (input) to obtain a product (output). Then, each DMU is represented by means of a set of one, or more, inputs and a set of one, or more, outputs. Defining the space of input variables (Rr) and output variables (Rs), each DMU can be allocated in a point representative of his efficiency belonging to the space R(r U s). Efficient DMUs belong to the frontier. The distance from this frontier is a measure of inefficiency of a DMU, that could be eliminated through a variation in quantity of inputs (input-oriented) or outputs (output-oriented) or both (additive model) [15]. Time variation of efficiency measures is considered according to different approaches. Common approaches presented in literature are: contemporaneous approach; intertemporal approach; sequential approach; windows analysis [16, 17]. These approaches differ on construction of observation set into different temporal periods. DEA has subsequently been applied in many fields of economics and engineering [18]. The main works on transport planning regard evaluation performance of: urban transport systems [19, 20], air transport systems [21], transport system in emergency conditions [22, 23], railways systems [24, 25]. The general works regard the support decision making process in the phases of selection and ranking of alternative scenarios [26–29]. In this paper we propose to use the DEA approach to analyse the comparative effectiveness on a set of hub ports. Each port is represented by means of a virtual productive process fed by a set of inputs that generate a set of outputs. Inputs comprehend a set of resources needed to realise infrastructures and/or services to perform functions of a transhipment port. Outputs of process comprehend two different time levels: the first level, defined properly output, comprehends products and services immediately available after investments (for instance a new higher depth quay or the cranes availability); the second level, defined outcome, comprehends effects produced by the terminal using infrastructures and services for instance annual container throughput in a port using depth quay and cranes. Starting from a set of alternative investments that can be made, DEA can be applied to compare investments represented in terms of inputs and the time level of results, output and outcome. It is possible to distinguish efficient and not efficient alternatives considering supply modification and effectiveness considering demand interception. The paper is organized as follows. In section 2 DEA non-parametric methods are recalled, with a survey on the applications for maritime transport. In section 3 prototypal results of a DEA application for a set of container ports in WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

834 Sustainable Development and Planning V Mediterranean context are presented. In section 4 some final considerations are reported.

2 DEA in transportation planning 2.1 Definitions and notations A transportation system is represented by means of a productive process characterised from a set of inputs that generates a set of outputs, adopting to DEA approach. The analytic formulation of DEA is based on an efficiency measure (θj) of jth process in terms of ratio between output (Oj) and input (Ij): θj = O j / I j

(j = 1, ..., n)

(1)

The CCR form of efficiency measurement problem can be written as a set of n linear programming problems to obtain unknown weights assigned to inputs and outputs. If the goal is pursued for increasing values of output, it follows that objective function has to be maximized; otherwise, objective function has to be minimized. In the maximizing form the jth problem is expressed: maximize θj = Oj / Ij u ,v j j

subject to: O j / Ij ≤ 1 uj ≥ 0 vj ≥ 0 where Oj = ujT oj Ij = vjT ij oj  Rs: (o1, …, os)T ij  Rr: (i1, …, ir)T uj  Rs: (u1, …, us)T

(j = 1, ..., n)

(2)

(j = 1, ..., n)

is the measure of output for jth process; is the measure of input for jth process; vector of outputs; vector of inputs; vector of unknown weights for each component of outputs; vector of unknown weights for each vj  Rr: (v1, …, vr)T component of inputs. This formulation, for each jth process, allows to find the set of weights, uj and vj, that maximize the efficiency indicator, θj, assuming that the maximum value is equal to one. The efficient frontier is obtained from envelopment of points representing efficient planning process. Points not belonging to the frontier represent nonefficient processes. Among the considered processes, there is at least one that is efficient. The distance from the frontier may be calculated for the inefficient points.



835

2.2 DEA for maritime transport system In recent years several studies applying DEA, to evaluate efficiency of container ports have been developed in literature. These applications are referred to different set of ports at international scale, European and Mediterranean [30–33]. Input generally are: capital, for instance, in terms of number of quays for containers; labour, for instance, in terms of human resources dedicated to container traffics; port equipments, for instance, in terms of available cranes; land, for instance, in terms of surface dedicated to container terminal. Outputs generally are: annual container throughput (TEU) or container throughput in a peak work hour; these measures represent indirectly a measure of quantity and quality of supplied services in a port. Non-parametric methods generally applied are DEA and Free Disposal Hull (FDH). Proposed formulations are CCR, BCC input oriented, output oriented or additive model. Classification of inputs (capital, labour, equipment and land), generally adopted in the applications of DEA to evaluate port’s performances, can result not directly connected to temporal dimensions of transport planning. Using input classification, generally used in literature, a comparison of port performances in different temporal dimensions of transportation planning is complex; especially considering evolution of infrastructures and services characteristics. A proposed classification referred to transportation planning activities comprehends: activities related to material infrastructure that include interventions to modify physical characteristics of transport system elements; activities related to non-material that include the consolidated research, learning and training, and other activities connected to telematics or Intelligent Transportation System; activities related to equipment that include interventions to provide operative tools that contribute to realise specific services; activities related to management that include interventions to manage transportation system; activities related to governance and institutional that include interventions to regulate transportation system. Literature concerning DEA applications for container ports is classified according to the following criteria (Tab. 1):  set of ports for which efficiency is calculated (Set of DMU);  set of considered activities classified on, material infrastructures, non materials, equipment, management, institutional and governance (the last two are grouped in a only class), (input);  set of considered output (output);  DEA specification: Input Oriented (IO), Output Oriented (OO), Additive Model (AM) (specification);  DEA model CCR, BCC, FDH (typology of model).

3 DEA for Mediterranean container ports In this paper an application of DEA to compare effectiveness of main transhipment container ports in the same area is presented. The application is WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Classification of literature concerning DEA applications.



837

finalised to obtain frontier efficiency starting from available data relative to the period 2006-2008. We can use the term efficiency but, recalling the specifications before introduced, the current should be effectiveness. Database is obtained from results of a two-year research project financed by the Italian Ministry of University and Research, whose general objective is to define guidelines for the competitiveness of the Italian transhipment ports of Gioia Tauro, Cagliari and Taranto in the euro-Mediterranean context. Other specific lines of research concern the development, and the application to the Mediterranean area, of aggregate procedures [43] and models [44] to estimate the demand variables of container maritime transport, of choice models of maritime container services and ports [45], of methods to evaluate the efficiency of container transhipment ports. During the project development, a homogeneous database, related to the main container ports in Mediterranean sea, realised. Database collects information about: infrastructural supply that comprehends available infrastructures relative to land and sea sides; services supply for container traffic, in terms of lines and frequencies that reach ports; container transport demand, expressed in terms of throughput in analysed ports (TEU). In this paper, starting from the full database, that comprehends all ports for which homogeneous information is available, three different port subsets are considered:  subset of container ports in which annual container throughput is more than 500.000 TEU and less than 1.000.000 TEU and that have, respect to annual container throughput, a transhipment incidence greater than 80%: Cagliari, Damietta and Taranto (Mediterranean medium transhipment ports);  subset of container ports in which annual container throughput is more than 1.000.000 TEU and that have, respect to annual container throughput, a transhipment incidence more than 80%: Algeciras, Gioia Tauro, Marsaxlokk and Port Said (Mediterranean large transhipment ports);  subset of container ports that have, respect to annual container throughput, a transhipment incidence more than 80%: Cagliari, Damietta and Taranto, Algeciras, Gioia Tauro, Marsaxlokk and Port Said (Mediterranean transhipment ports). DEA exercise is applied for each port subset. In order to represent productive process of each port, the following data are selected:  two inputs,  length of quay dedicated to container traffic with depth more than 14 meters (quay length);  number of cranes dedicated to container traffic (cranes number);  one output, annual quantity of TEU relative to each port (TEU/year). DEA methods applied are relative to CCR and BCC formulations; in all cases input oriented specification is adopted. Results are presented in aggregate form, considering the following classes:  efficient ports with an index equal to 1 (efficient ports synthetically indicated with “E”); WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

838 Sustainable Development and Planning V   

inefficient ports with an index included in the range between 0,9 and 1 (inefficient ports synthetically indicated with the symbol “***”); inefficient ports with an efficiency index included in the range between 0,6 and 0,9 (inefficient ports synthetically indicated with the symbol “**”); inefficient ports with an efficiency index included in the range between 0 and 0,6 (inefficient ports synthetically indicated with the symbol “*”).

3.1.1 Mediterranean medium transhipment ports Concerning the subset Mediterranean medium transhipment ports (Tab. 2):  considering a productive process characterised by one input (cranes number) and one output (TEU/year) result that: ▪ in the CCR case, Algeciras is efficient; other considered ports are inefficient; ▪ in the BCC case, Algeciras and Cagliari are efficient; other considered ports are inefficient;  considering a productive process characterised by two input (cranes number and quay length) and one output (TEU/year) result that: ▪ in the CCR case, Algeciras and East Port Said are efficient; other considered ports are inefficient; ▪ in the BCC Algeciras, East Port Said, Cagliari and Damietta are efficient; other considered ports are inefficient. 3.1.2 Mediterranean large transhipment ports Concerning the subset Mediterranean large transhipment ports (Tab. 2):  considering a productive process characterised by one input (cranes number) and one output (TEU/years) result that: ▪ in the CCR case, the only one efficient port is Cagliari; other considered ports are inefficient; ▪ in the BCC case, all considered ports are efficient (Cagliari, Damietta and Taranto);  considering a productive process characterised by two input (cranes number and quay length) and one output (TEU/years) result that: ▪ in the CCR case, Cagliari and Damietta are efficient; other considered ports are inefficient; ▪ in the BCC case, all considered ports are efficient (Cagliari, Damietta and Taranto). 3.1.3 Mediterranean transhipment ports Concerning the subset Mediterranean transhipment ports (Tab. 2):  considering a productive process characterised by one input (cranes number) and one output (TEU/years) result that: ▪ in the CCR case, the only one efficient port is Algeciras; other considered ports are inefficient; ▪ in the BCC case, Algeciras, Gioia Tauro and East Port Said are efficient; Marsaxlokk is inefficient;



839

 considering a productive process characterised by two input (cranes number and quay length) and one output (TEU/years) result that: ▪ in the CCR case, Algeciras and East Port Said are efficient; other considered ports are inefficient; ▪ in the BCC case, Algeciras, Gioia Tauro and East Port Said are efficient; Marsaxlokk is inefficient. Table 2:

Port

Cagliari Damietta Taranto Algeciras Gioia Tauro Marsaxlokk East Port Said 1i_1o: 2i_1o: E: ***: **: *:

Summary of results from DEA applications.

Mediterranean medium transhipment ports 1i_1o 1i_1o 2i_1o 2i_1o CCR BCC CCR BCC

E ** *

E E E

E E **

Mediterranean large transhipment ports 1i_1o 1i_1o 2i_1o 2i_1o CCR BCC CCR BCC

Mediterranean transhipment ports 1i_1o 1i_1o 2i_1o 2i_1o CCR BCC CCR BCC

E *** * **

** * * E *** * **

E E E E E *** E

E *** * E

E E *** E

E ** * E *** * **

** ** * E *** * E

E E ** E *** ** E

1 input (cranes number), 1 output (TEU/year) 2 inputs (cranes number, quay length), 1 output (TEU/year) efficient port efficiency index included in the range [0,9; 1) efficiency index included in the range [0,6; 0,9) efficiency index included in the range [0; 0,6)

4 Final considerations Non-parametric methods measure efficiency of a port respect to a frontier production function that depends on the set of ports considered. This means that if set changes, then measure of efficiency can be different. Prototypal results of DEA applications presented in this paper show that efficiency of transhipment ports varies with of DEA method, formulation and the subset of considered data. In all DEA specification analysed: considering competition among all and Mediterranean large transhipment ports, Algeciras port results efficient; in the competition among Mediterranean medium transhipment ports, Cagliari results efficient; Marsaxlokk in all set of transhipment ports results inefficient; Egyptian ports (Damietta and East Port Said) and the other Italian ports (Taranto and Gioia Tauro) have high index of efficiency considering BCC specifications. At medium term, activation of Tanger Med port in Morocco could modify relative efficiency of Mediterranean transhipment ports. At strategic scale, activation of Enfidha port in Tunisia could introduce a new element of congestion among Mediterranean ports.

References [1] Russo F. & Rindone C., Dalla pianificazione alla progettazione dei sistemi di trasporto: processi e prodotti, Franco Angeli Editore, Milano, ISBN: 9788846490612, 2007. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

840 Sustainable Development and Planning V [2] Russo F. & Rindone C., Safety of users in road evacuation: planning internal processes and guidelines, WIT Transactions on the Built Environment, volume 96, pp. 825-834, 2007. [3] Russo F. & Vitetta A., A topological method to choose optimal solutions after solving the multi-criteria urban road network design problem. Transportation. Volume 33, Issue 4, pp. 347-370, 2006. [4] Russo F. & Vitetta A., An assignment model with modified Logit, which obviates enumeration and overlapping problems. Transportation. Volume 30, Issue 2, pp. 177-201, 2003. [5] UNCTAD, Measuring and Evaluating Port Performance and Productivity http://www.unctad.org/en/docs/ship4946_en.pdf (last access February 2009), 1987. [6] Dyson, R. G., Performance measurement and data envelopment analysis – Ranking are rank!, OR Insight, 13(4), pp. 3–8, 2000. [7] Pesaran H. M. & Schmidt P., Handbook of Applied Econometrics Volume II: Microeconomics, eISBN: 9780631216339, Blackwell Reference Online ®, Blackwell Publishing Inc., 1999. [8] Coelli, T., Rao, D. S. P. & Battese, G., E., An Introduction to Efficiency and Productivity Analysis, Kluwer Academic Publishers, 1998. [9] Aigner, D., Lovell, K. & Schmidt, P., Formulation and estimation of stochastic frontier models, Journal of Econometrics 6 (1), pp 21-37, 1977. [10] Charnes A., Cooper W.W. & Rhodes E., Measuring the efficiency of decision making units, European Journal of Operational Research 2, pp. 429–444, 1978. [11] Deprins, D., Simar, L. & Tulkens, H., Measuring labour efficiency in post offices, In: Marchand, M., Pestieau, P. & Tulkens, H. (Eds.), The Performance of Public Enterprises Concepts and Measurements, Elsevier, pp. 247–263, 1984. [12] Lovell, C.A.K. & Eeckaut P. V., Frontier Tales: DEA and FDH, Mathematical Modeling in Economics, W.E. Diewert, K. Spremann, and F. Steling (ed.), Physica-Verlag, Berlin, pp. 446-457, 1993. [13] Farrell M.J., The measurement of productive efficiency, Journal of the Royal Statistical Society A 120 pp. 253–281, 1957. [14] Banker R.D., Charnes A. & Cooper W.W., Some models for estimating technical and scale inefficiencies in data envelopment analysis, Management Science 30, pp. 1078–1092, 1984. [15] Cooper W.W., Seiford L.M. & Tone K., Data Envelopment Analysis, Kluwer Academic Publisher, Boston, USA, 2000. [16] Charnes A., Clark C. T., Cooper, W. W. & Golany, B., A Developmental Study of Data Envelopment Analysis in Measuring the Efficiency of Maintenance Units in the U.S. Air Forces, Annals of Operation Research, 2, pp. 95-112, 1985. [17] Cullinane K. P. B. & Wang T. Data Envelopment Analysis (DEA) and Improving Container Port Efficiency, in Brooks M.R. and Cullinane K.P.B. (eds) Port Governance and Performance, Research in Transportation Economics, Vol. 17, Elsevier: London, pp. 517-566, 2007. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


841

[18] Tavaresa G., A bibliography of data envelopment analysis (1978-2001), Rutcor Research Report, Rutgers University, Center for Operations Research, New Jersey, USA, 2002. [19] Nozick, L. K., Borderas H. & Meyburg A. H., Evaluation of travel demand measures and programs: A data envelopment analysis approach, Transportation Research Part A: Policy and Practice 32(5), pp 331-343, 1998. [20] Odeck, J., Congestion, ownership, region of operation, and scale: Their impact on bus operator performance in Norway, Socio-Economic Planning Sciences 40, pp 52–69, 2006. [21] Lupi M. & Danesi A., Valutazione globale delle performance aeroportuali: applicazione della Data Envelopment Analysis (DEA) agli aeroporti italiani, in Linee guida per la programmazione dello sviluppo degli aeroporti regionali, Lupi M. (ed.), Franco Angeli, Milano, pp. 181-210, 2007. [22] Russo F. & Rindone C., Evaluation methods for evacuation planning, Proc. of Urban Transport XVI, Urban Transport and the Environment in the 21st century, Brebbia C. A. (ed.), WIT Press, Southampton, pp. 335-343, 2010. [23] Russo, F. & Rindone C., Data Envelopment Analysis (DEA) for evacuation planning. Proc. of Risk Analysis VII & Brownfields V, Brebbia C. A. (ed.), WIT Press, Southampton, pp.455-467, 2010. [24] Oum, TH., WG. Waters, & C. Yu, A Survey of productivity and efficiency measurement in Rail transport, Journal of Transport Economics and Policy, 33, pp. 9-44, 1999. [25] Graham D. J., Productivity and efficiency in urban railways: Parametric and non-parametric estimates, Transportation Research Part E 44 pp. 84–99, 2008. [26] Cook W. D. & Green, R. H., Project prioritization: a resource-constrained data envelopment analysis approach, Socio-Economic Planning Sciences, 34, pp. 85-99, 2000. [27] Tsamboulas D. & Mikroudis G., EFECT: evaluation framework of environmental impacts and costs of transport initiatives, Transportation Research Part D: transport and environment 5, pp. 283-303, 2000. [28] Bernroider E.W.N. & Stix V., Profile distance method: a multi-attribute decision making approach for information system investments. Decision Support Systems 42, pp 988– 998, 2006. [29] Lahdelma R. & Salminen P., Stochastic multicriteria acceptability analysis using the data envelopment model, European Journal of Operational Research 170, pp. 241–252, 2006. [30] Wang T.-F., Song D.-W. & Cullinane K., The Applicability of Data Envelopment Analysis to Efficiency Measurement of Container Ports, Proceedings of IAME Panama 2002 International Steering Committee, 13 – 15 November 2002, Panama, http:// www.eclac.cl/ Transporte/ perfil/ iame_papers/ papers.asp (last access July 2010), 2002. [31] Wang T.-F., Cullinane K. & Song D.-W., Container port production efficiency: A Comparative Study of DEA and FDH Approaches, Journal of WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


[32] [33]

[34] [35] [36] [37] [38]

[39]

[40] [41] [42] [43]

[44]

the Eastern Asia Society for Transportation Studies, Vol.5, http://www.easts.info/2003journal/papers/0698.pdf, (last access, April 2011), 2003. Gonzalez M. M. & Trujillo L., Reforms and infrastructure efficiency in Spain’s container ports, Transportation Research Part A: Policy and Practice 42, pp 243–257, 2008. Russo F. & Rindone C., Data Envelopment Analysis (DEA) nei porti container hub. I porti container italiani nel sistema Euro-Mediterraneo: dati di riferimento e stato dell’arte su modelli e metodi per l’analisi di domanda e offerta. F. Russo (ed), FrancoAngeli, Milan, 2010. Tongzon J., Efficiency measurement of selected Australian and other international ports using data envelopment analysis, Transportation Research Part A: Policy and Practice 35(2), pp 107-122, 2001. Valentine V. F. & Gray R., The measurement of port efficiency using data envelopment analysis, Proceedings of the 9th world conference on transport research, Seoul, 22–27 July 2001. Cullinane K. P. B., Song, Ji P. & Wang T., An Application of DEA Windows Analysis to Container Port Production Efficiency, Review of Network Economies, Vol.3, Issue 2, 2004. Cullinane K. P. B., Song D. & Wang T., The Application of Mathematical Programming Approaches to Estimating Container Port Production Efficiency Journal of Productivity Analysis, 24, pp. 73–92, 2005. Cullinane K. P. B., Wang T., Song D. & Ji P., The technical efficiency of container ports: Comparing data envelopment analysis and stochastic frontier analysis Transportation Research Part A: Policy and Practice 40, pp. 354–374, 2006. de Carvalho M. L. N. C., Performance Evaluation of the Portuguese Seaports: Evaluation in the European Context, Instituto Superior Técnico, Universidade Técnica de Lisboa, https:// dspace.ist.utl.pt /bitstream/ 2295/ 147760/1/ MLC (last access July 2010), 2007. Al-Eraqi A. S., Barros C. P., Mustaffa A. & Khader A. T., Evaluating the Location Efficiency of Arabian and African Seaports Using Data Envelopment Analysis (DEA), WP 019/2007/DE/UECE, 2007. Ferrari C. & Basta M., Price-cap e concessioni portuali: il caso dei terminal contenitori di Genova, Società Italiana degli Economisti dei Trasporti - IX Riunione Scientifica – Napoli, 2007 Ferrari C. & Basta M., Port concession fees based on the price-cap regulation: A DEA approach, Maritime Economics & Logistics, 2009. Russo F. & Musolino G., Container maritime transport at international scale: a procedure for aggregate estimation of demand variables. Proc. of Sustainable Development and Planning V, Brebbia C. A. (ed.), WIT Press, Southampton, Boston, 2011. ISBN 978-1-84564-544-1, 2011. Russo F. & Assumma V., Container maritime transport at international scale: a model to simulate the demand flow in the Mediterranean basin. Proc. of Sustainable Development and Planning V, Brebbia C. A. (ed.), WIT Press, Southampton, Boston, 2011. ISBN 978-1-84564-544-1, 2011. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


843

[45] Russo F., Chilà G. & Iannò D., Container maritime transport at international scale: a model choice of service and hub port. Proc. of Sustainable Development and Planning V, Brebbia C. A. (ed.), WIT Press, Southampton, Boston, 2011. ISBN 978-1-84564-544-1, 2011.



Section 12 Energy resources



847

Financing sources and policies for renewable energies A. Ivanova, A. Gamez & M. Ángeles Autonomous University of Southern Baja California, M ex ico

Abstract Renewable energy (RE) has a significant potential to mitigate global climate change, address regional and local environmental concerns, reduce poverty and increase energy security. The challenge is to provide the right policy frameworks and financial tools that will enable RE to achieve its market potential and move from the margins of energy supply into the mainstream. Policy-makers thus have a mandate to take action and, since most of the capital for this greening will not come from public treasuries, most of this action will need to focus on creating enabling frameworks and finance mechanisms for technology R&D, commercialization and investment. Renewable energies, although subject to the same market forces as conventional energy sources, involve markedly different technologies and thus their financing requires new thinking, new risk management approaches and new forms of capital. After examining and analyzing the financing trends for renewable energies, we conclude that market signals alone – even when incorporating carbon pricing – have not been sufficient to trigger significant renewable energies growth. Therefore the importance of the well-designed policies is crucial. To be as effective as possible, these must be taking into account the state of the technology, available RE resources, and responding to local political, economic, social and cultural needs and conditions. Keywords: renewable energies, policies, financing, mitigation.

1 Introduction Government policies are required for a substantial increase in deployment of renewable energy. Market signals alone – even when incorporating carbon WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110701

848 Sustainable Development and Planning V pricing – have not been sufficient to trigger significant RE growth. Multiple success stories from around the world demonstrate that policies can have a substantial impact on RE development and deployment. Significant improvements in energy efficiency and a global transition to renewable energy will require huge investments in national and local energy infrastructures in every country over the coming decade. These investments will need to come from both the public and private sectors, and they will have to take many forms: including financial incentives from government; loans and capital investment from banks, private investors, venture capital funds and communities; as well as new innovative markets that contribute to the benefits of renewable energy and energy efficiency.

2 Trends in RE policies Growth in RE capacity and energy production have increased rapidly over the past several years, with several technologies experiencing average annual growth rates in the double digits. Although renewable 19 technologies still account for a relatively small share of total global energy use, in 2008 alone the 20 world added an estimated 65 gigawatts (GW) of new renewable electric capacity, accounting for 41 percent of total capacity additions that year. Several factors are driving this rapid growth in RE markets [14], but government policies have played a crucial role in accelerating the deployment of RE technologies. Until the early 1990s, few countries had enacted policies to promote RE. Since then, and particularly since the early- to mid-2000s, policies have begun to emerge in an increasing number of countries at the national, provincial/state, and municipal levels. Initially, most policies adopted were in developed countries, but more recently a growing number of developing countries have enacted policy frameworks to promote RE. In 2005, an estimated 45 countries – including 10 developing countries – had policy targets for RE [12]; by early 2009, the number of countries with policy targets had increased to at least 73 [14]. Renewable Portfolio Standards (RPS) or quotas are also widely used and, by early 2009, had been enacted by an estimated 9 countries at the national level and by at least 40 states or provinces [15]. RE’s share of new global electricity generation has risen in line with the increase in FIT and RPS policies. In addition, an increasing number of governments are adopting incentives and mandates to advance renewable transport fuels and renewable heating technologies. For example, in the 12 countries analyzed for the IEA, the number of policies introduced to support renewable heating either directly or indirectly increased from five in 1990 to more than 55 by May 2007 [9].

3 Financing trends In response to the increasingly supportive policy environment, the RE sector has seen rapidly increasing levels of financing in the past few years, with $116



849

billion of new financial investment in 2008, up from 15.5 billion USD in 2002 [8]. Financing has been increasing into the five areas of i) R&D (which is covered in the previous subsection); ii) technology development and commercialization; iii) equipment manufacturing and sales; iv) project construction; and v) the refinancing and sale of companies. The trends in financing going into these areas represent successive steps in the innovation process and provide indicators of the RE sector’s current and expected growth, as follows:  Trends in R&D funding and technology investment (i, ii) are indicators of the mid- to long-term expectations for the sector – investments are being made that will only begin to pay off several years down the road.  Trends in manufacturing investment (iii) are an indicator of near term expectations for the sector – essentially, that the growth in market demand will continue.  Trends in new generating capacity investment (iv) are an indicator of current sector activity.  Trends in industry mergers and acquisitions (v) are an indicator of the overall maturity of the sector, since increasing refinancing activity over time indicates that larger more conventional investors are entering the sector, buying up successful early investments from first movers.

4 Key drivers, opportunities and benefits The financing trends are being driven in great part by government policies, and policies for the deployment of RE are, in turn, driven by several environmental, economic, social and security goals. The drivers can be differentiated – as factors that are pushing for the deployment of RE policy (for example climate change and the need to reduce fossil fuel emissions from the energy sector), from opportunities (which, for example, lead a country to invest in RE with the explicit goal of developing a new domestic or export industry, irrespective of the drivers), and from the benefits of promoting RE, which are generally the flip side of the drivers or opportunities (for example, reduced emissions, improved health, more jobs, better skills and so on). The distinctions among these factors are necessarily close and overlapping. The relative importance of the drivers, opportunities or benefits varies from country to country and may vary over time, as changing circumstances affect economies, attitudes and public perceptions.RE technologies offer governments the potential to realize multiple policy goals, sometimes simultaneously, that cannot be obtained to the same extent or quality through the development and use of conventional energies. Key drivers for policies to advance RE are:  Mitigating climate change  Enhancing access to energy  Improving security of energy supply and use  Decreasing environmental impacts of energy supply  Decreasing health impacts associated with energy production and use. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

850 Sustainable Development and Planning V And, a key issue which is both a driver and an opportunity: fostering economic development and job creation. 4.1 Climate change mitigation RE is a major tool for climate change mitigation, its potential being the focus of this report. The degree to which RE mitigates climate change depends on many factors, addressed in the various sections of this chapter and report. As a result, RE is an integral aspect of government strategies for reducing carbon dioxide (and other) emissions in many countries, including all member states of the European Union. Several U.S. states, including California and Washington, and numerous U.S. cities, from Chicago to Miami, have adopted RE targets and policies to advance their strategies for addressing climate change [18]. Developing countries are also enacting RE policies in order to address climate change, among other goals. In June 2008, in launching India’s National Action Plan on Climate Change, Prime Minister Dr. Manmohan Singh said that: “Our vision is to make India’s economic development energy-efficient. Over a period of time, we must pioneer a graduated shift from economic activity based on fossil fuels to one based on non-fossil fuels and from reliance on non renewable and depleting sources of energy to renewable sources of energy”. The 2009 meeting of Leaders of Pacific Island Countries observed that in addition to RE offering the promise of cost-effective, reliable energy services to rural households it will also provide a contribution to global greenhouse gas mitigation efforts [15]. 4.2 Access to energy Renewable energies have the ability to effectively and quickly provide access to modern energy services, including lighting and refrigeration, and therefore RE plays an important role in achieving the millennium development goals [17]. Distributed RE can avoid the need for costly transport and distribution networks, which can make energy more costly for people in poor, remote communities than it is for urban populations. Access to modern, cleaner energy also reduces indoor air pollution, improving infant and maternal health; it advances education, agriculture and communications; it improves income generation; and it supports hunger eradication. Because of their modularity and flexible size, RE technologies have received increased attention from governments looking to electrify rural and remote areas. Another significant benefit of RE is that it often provides the lowest-cost option for remote and off-grid areas. Programs to increase the rate of access to energy and based on RE have occurred in many countries. For example, in 1996, the Government of Nepal established the Alternative Energy Promotion Centre for RE technologies in non-electrified areas to improve the well-being of the country’s impoverished rural population [10]. Likewise in Nigeria, where twothirds of the population lives in rural areas, the government’s Renewable Energy WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


851

Master Plan calls for RE deployment to improve energy services to the poor and thereby advance rural economic development [13]. Other developing countries – including China, Bolivia, Bangladesh, India, Mexico, Nepal, Pakistan, South Africa, and Zambia – have adopted RE policies for providing energy access to rural areas. 4.3 Energy security Energy security issues encompass:  the technical underpinnings of the energy infrastructure so that it seamlessly transports and delivers energy without failure or threat of failure;  concerns that incentives within markets and economic regulation will not encourage;  sufficient investment in the energy system to ensure enough infrastructure (whether generation facilities, ports, storage and so on) to meet energy demand;  concerns that a physical resource (i.e. oil or natural gas) will not be delivered as contracted, thereby limiting energy use and raising prices;  concerns that the price of a physical resource, such as oil or gas, may rise to such an extent that it becomes unaffordable to increasing numbers of people, thus causing social unrest or difficulty;  concerns that supply chains will not be able to deliver the technologies, parts and skills to enable deployment or operation of technologies, including RE;  and concerns that the international relationships and foreign policies between countries may exacerbate concerns of resource access, including energy. The addition of RE technologies to the broad energy mix alters these concerns in different ways. However, RE power plants may make a power grid more robust against grid failures and break-downs, thereby increasing the energy security of that system. Decentralizing energy systems, via RE or other options, can also reduce vulnerability to energy disruptions that might result from damage to infrastructure resulting from natural disaster or attack. RE can diversify energy supply portfolios. Diversity has a number of energy system benefits but the use of RE may also displace the need for other fuels. This is particularly valuable for countries that import large amounts of energy, or are particularly dependent on one fuel source or supplier. For example, China established its 2005 Renewable Energy Law, among others, to diversify energy supplies and safeguard energy security [13]. Brazil has promoted ethanol from sugarcane as an alternative to fossil transport fuels for thirty years to decrease dependency on imported fuels. 4.4 Fostering economic development and job creation The European Union underlines the potential of job creation – especially in rural and isolated areas – in the reasoning for the Directive on the promotion of the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

852 Sustainable Development and Planning V use of energy from renewable sources. Manufacturing and operation of RE have led to 157,000 jobs in Germany in 2004, and this number has grown to 280,000 in 2008. Spain has more than 1,000 enterprises in the RE industry, employing 89,000 workers directly and an estimated 99,000 indirectly. An EU modeling exercise found that, conservatively and under current policies, the RE industries would have about 950,000 direct and indirect full-time jobs by 2010 and 1.4 million by 2020 in the EU-15 [15]. In the developed and developing world, RE is seen as a means for increasing eco-development for tourism, and for driving economic revitalization. For example, the Austrian town of Güssing saw up to 400 tourists weekly by the late 2000s, coming to learn from the town’s shift to RE [3]. A new hotel, heated and powered by RE, was built to accommodate the influx of tourists. The Navarre region in north-eastern Spain has witnessed creation of thousands of jobs and revitalization of many old villages since it began installing wind turbines in the early 1990s. Rizhao in China saw the number of tourists increase by 48 and 30 percent in 2004 and 2005, respectively, after enacting policies to increase use of RE and improve the local environment [16]. 4.5 Non-climate change environmental benefits The benefits of sustainable RE include improvements in air and water quality, and reduced impacts of fuel extraction, and energy production and use on biodiversity. For example, recognition of the risks to health, particularly to women and children, brought about by poor air quality indoors and out, has led governments to establish a range of initiatives, including policies to advance RE [3]. For example, avoiding negative environmental impacts is a major driver to promote clean energy technologies in China; the government of Pakistan intends to develop RE in order to avoid local environmental and health impacts of unsustainable and inefficient traditional biomass fuels and fossil fuel-powered electricity generation. There is a growing recognition among scientists and policy makers that the exploitation of energy resources, if not properly controlled and managed, will have a harmful impacts on biodiversity of plant and animal species.

5 Barriers to RE implementation IPCC-WGIII (2007) defines an RE barrier as “any obstacle to developing and deploying a RE potential that can be overcome or attenuated by a policy, program or measure”. Barriers to RE deployment range from intrinsically natural properties of particular RE sources (for example intermittency and diffuse incidence of solar radiation) to artificial, unintentional or intentionally constructed, impediments (for example badly oriented, shadowed roof surfaces; a tilted (i.e. not having an equal playing field) power grid access conditions against independent generators). IPCC-WGIII (2007) completes its barrier definition with: “Barrier removal includes correcting market failures directly or reducing the transactions costs in WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


853

the public and private sectors by, for example, improving institutional capacity, reducing risk and uncertainty, facilitating market transactions, and enforcing regulatory policies.” [5]. Barriers to RE deployment sets out what we have called an ‘enabling environment’ which is conducive to RE deployment through the removal of hurdles or barriers to development. In this context the following nine areas can be distinguished:  There is no ‘level playing field’ for RE technologies, meaning that RE has to compete against other sources which have preferential treatment, whether in markets or network rules.  RE have to exist in regulations which maintain status, including avoiding stranded assets in existing infrastructure.  The incentives for Governments and private companies to support RE development are insufficient [1].  Financing is either scarce or unreasonably costly for RE technologies.  Technology standards are lacking for (some) RE technologies and fuels [16].  Import tariffs and technical barriers impede trade in renewables.  Permits for new RE plants are difficult to obtain.  Energy markets are not prepared for RE [3].  RE skills and awareness is insufficient.  Financing barriers. Policies address the failures and barriers which cause this gap between actual deployment and potential, while being subjected to their own failures.

6 Financing barriers As we have seen, there are many barriers to RE deployment and policy and market failures to overcoming them. This paper focuses on their effect on the availability of financing. It looks first at the availability of capital; then moves on to financing for large scale projects; and lastly examines financing of small scale projects. Private and public sources contribute to RE financing. When risks to investors are significant, public investment, or significant subsidies, or public-private partnerships (or other types of mixed financing / ownership) may be needed [2]. Most RE projects have, what is known as ‘upfront’ requirements (with an exception for biomass). This means that financing is relatively more important than for competing NSE projects. The availability of finance depends on general economic conditions, on the state of development of the capital markets in various countries, on the rating of the investor, on the type and characteristics of the RE project, etc. Even CDM envisioned for technology transfer does not address the point “until recently CER purchasers, even where those purchasers are financial institutions, have largely tended to limit their involvement in the project to being an off-taker of CERs, with payment to be made upon delivery, rather than providing project finance or becoming equity participant in the project” [8]. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

854 Sustainable Development and Planning V Developing nations with the largest potential for distributed, small-scale RE projects face the most and the highest financing hurdles due to “affordability for users and entrenched attitudes in some financial institutions. Affordability is a compound problem of low income, high upfront investment cost to obtain RE technologies, and no adequate financing mechanisms” [7]. In developing and undeveloped economies, RE deployment will grow if users are able to pay for their energy services. But there are not that many financial schemes and income generating activities that allow people to pay for investment and maintenance of RE options. The “chequered history” of donor sponsored failing RE projects causes financial institutions to perceive a lack of reliability and long-term viability of RE technology [21]. This implies a strong call for robust quality control on all future RE investments especially in developing countries. However, donors providing capital continue to add strict preconceived conditions on the technology to be applied and how projects are to be managed, usually not matching the needs and priorities of recipient communities [19]. The latter often prefer local mechanical and thermal power supplies above expensive grid power. Access to funding by international institutions is difficult, even to GEF funds earmarked for RE. It continues that significant shares of the funds are spent on studies and reports, leaving too little money for actual equipment and installations on the ground and strengthening local capacity. “The transaction costs of developing smaller scale RE projects such as CDM projects (including the costs of external auditors, registration fees, consultants’ fees and legal fees for the negotiation of CER purchase agreements and power purchase agreements) may be prohibitively high compared to the volume of CERs expected to be generated” [21]. Project appraisal studies often fail to incorporate important local aspects and values, also due to limited local stakeholder involvement [13]. In various countries, a stimulating RE policy contributed to easing of financing bottlenecks for large-scale RE projects (for example wind parks onshore and off-shore) [20]. Smaller-scale and independently owned distributed installations face more restrictive financing offers. Institutional creativity by cooperative ownership, micro-financing, energy service suppliers, and the like is still limited to niche experiments, and community-owned projects face several barriers [19].

7 Concluding remarks A free market does not function according to rules of social responsibility and therefore needs to work within certain boundaries that serve social and environmental, as well as economic goals. Policy-makers have a social responsibility to set those boundaries. Legislators and regulators have it in their control to shift the future energy portfolio if they choose to decrease demand by improving energy efficiency and to push energy generation towards renewable energy.



855

Financiers have a social responsibility to develop and deliver market solutions to the challenges of building a sustainable energy future. That energy future must take the form of a free energy market with less carbon, less fuel and fuel-price risk, and more and better access for the poor. Overall, policy is more important than resource potential in determining success, and policy design and implementation are critical to this success. Policies are most effective if targeted to reflect the state of the technology and available RE resources, and to respond to local political, economic, social and cultural needs and conditions. Moreover, policies that are clear, long-term, and robust, and that provide consistent signals generally result in high rates of innovation, policy compliance, and the evolution of efficient solutions. Well-designed policies are more likely to emerge, and to lead to successful implementation, in an enabling environment. An enabling environment combines economic, technological, social and cultural, institutional and financial dimensions, including both the public and private sectors. Coordination with policies related to other key and inter-linked sectors – including agriculture, transportation, construction, technological development, and infrastructure – is also important. Finally, achieving a sustainable energy system, one in which RE becomes the standard energy provider in a low-carbon energy economy, will require a structural shift to a more integrated energy service approach that takes advantage of synergies between RE and energy efficiency. The financial community has different products and sectors to match the differing requirements of the stages in technology development. These products will be all the more successful within an environment of favorable social innovation and acceptance. The involvement of individuals and society in the transformation is crucial. This is the case in both developed and developing countries.

References [1] Agnolucci, P. The effect of financial constraints, technological progress and long-term contracts on tradable green certificates. Energy Policy, 35(6), 3347-3359, 2007. [2] Beck, F. and E. Martinot. Renewable Energy Barriers and Policies. In Encyclopedia of Energy: Ph-S. C. J. Cleveland (ed). Elsevier Academic Press, 2004. [3] Flavin, C. and M. H. Aeck. Energy for development: the potential role of renewable energy in meeting the Millennium Development Goals. Bonn, Germany, Worldwatch Institute, Germany; Federal Ministry for the Environment, Nature Conservation and Nuclear Safety, Germany; German Agency for Technical Cooperation, 2005. [4] Hvelplund, F. Renewable energy and the need for local energy markets. Energy, 31(13), 2293-2302, 2006. [5] Intergovernmental Panel on Climate Change (IPCC). Climate Change 2007: Mitigation of Climate Change. IPCC Assessment Report 4. Cambridge, WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


[6] [7] [8] [9] [10]

[11]

[12] [13] [14] [15] [16] [17] [18] [19] [20]

United Kingdom and New York, NY, USA, Cambridge University Press, 2007. International Energy Agency (IEA). Renewables for Heating and Cooling: Untapped Potential. Renewable Energy Technology Deployment. Paris, France, EA/OECD, 2007. International Energy Agency (IEA). Deploying Renewables: Principles for Effective Policies. Paris, France, IEA, 2008. International Energy Agency (IEA). World Energy Outlook 2009. Paris, IEA, 2009. Jacobson, M. Z. and M. A. Delucchi. A Plan to Power 100 Percent of the Planet with Renewables. Scientific American, November, 2007. Mendonça, M. and D. Jacobs. Feed-in Tariffs Go Global: Policy in Practice Renewable energy feed-in tariffs are growing in popularity as one of the most effective mechanisms of promoting renewable energy development. Renewable Energy World Magazine, September, 38-45, 2009. Pachauri, R. K. and A. Reisinger. Climate Change 2007: Synthesis Report. Contribution of Working Groups I, II and III to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change. IPPC. Geneva, Switzerland, IPPC, 2007. REN21. Renewables 2005 Global Status Report: Notes and References Companion Document. Paris, France, Renewable Energy Policy Network for the 21st Century, 2005. REN21. Renewables 2007: Global Status Report. REN21 Secretariat and Worldwatch Institute. Paris, France and Washington, DC, USA, Renewable Energy Policy Network for the 21st Century, 2007. REN21. Renewable Global Status Report: 2009 Update. Paris, France, Renewable Energy Policy Network for the 21st Century, 2009. REN21. “Renewables Global Status Report: Energy Transformation Continues Despite Economic Slowdown.” Retrieved October 29, 2009. Renewable Energy Technology Development (RETD). Barriers, Challenges and Opportunities. RETD. Paris, France, International Energy Agency, 2006. Sawin, J. L. Mainstreaming Renewable Energy in the 21st Century. Worldwatch Paper. T. Prugh. Washington, D.C., The Worldwatch Institute, 2004. Stern, N. The Economics of Climate Change: The Stern Review. Cabinet Office – HM Treasury. Cambridge, Cambridge, 2006. United Nations Environment Programme (UNEP). Financial Risk Management Instruments for Renewable Energy Projects: Summary documents. Paris, France, UNEP, 2004. United Nations Environment Programme (UNEP) and New Energy Finance Limited (NEF). Global Trends in Sustainable Energy Investment 2008: Analysis of Trends and Issues in the Financing of Renewable Energy and Energy Efficiency. I. a. E. Division of Technology. Paris, France, United Nations Environment Programme Sustainable Energy Finance Initiative and New Energy Finance Limited, 2008. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


857

[21] United Nations Environment Programme (UNEP) and New Energy Finance Limited (NEF). Global Trends in Sustainable Energy Investment 2009: Analysis of Trends and Issues in the Financing of Renewable Energy and Energy Efficiency. Division of Technology, Industry and Economics. Paris, France, United Nations Environment Programme Sustainable Energy Finance Initiative and New Energy Finance Limited, 2009.




859

Energy and the implication of residential cooling in hot climates: a case study for developing an effective solution for residential cooling energy demand in Kuwait H. Al-Mutairi, J. Dewsbury & G. F. Lane-Serff School of Mechanical, Aerospace and Civil Engineering, University of Manchester, UK

Abstract Global energy statistics showed that oil is the most sought after energy source in the world. The economic burden on countries that are dependent on oil to produce electricity is noteworthy. Residential cooling is a significant consumer of electricity produced by oil in major oil producing countries with hot climates conditions. For this, Kuwait was selected for further analysis. By analysing official annual electricity statistics in Kuwait, residential cooling consumes 58.4% of the total delivered electrical energy at peak time on a hot summer day. Accordingly, the paper investigated orientation and grouping patterns of future houses in Kuwait to determine their impact on cooling load and electrical energy consumption. The popular DOE EnergyPlus simulation engine, through its interface with DesignBuilder Software, was used to obtain the cooling loads of the future houses. It was found that efficient orientation and grouping of houses, which is a zero cost energy conservation measure, can lead to tangible savings for future houses with approximately $US 33 million of power system capital costs, 15 GWh per year of electrical energy consumption and 11 kilotons per year of CO2 emissions. Keywords: energy demand, oil, residential cooling, building simulation, houses orientation and grouping.

1 World energy situation and consumption consequences The rapidly increasing use of energy in the world has caused concern about supply difficulties and serious environmental impacts. Fossil fuels (i.e., coal, oil, WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110711


Figure 1:

Global energy consumption, based on official statistics [1].

and gas) and nuclear energy are the major sources of energy, followed by renewable sources. Global energy consumption is shown in Fig. 1. The global demand for energy generally increases as the human population, urbanization, and modernization increase. However, the high reliance on oil is notable. Official statistics show that oil is used to produce about 35% of the world energy demand [2]. It is important to acknowledge that the demand for oil will continue to increase unless drastic changes are made. Fig. 2 shows the history and projections for the demand for oil and other global energy resources in million ton [3]. From an economic point of view, the oil industry is a profitable sector for some corporations and governments, and taxes from oil are a major source of income for about 90 governments [4].

Figure 2:

The history and projections for global energy resources through 2030 [3].

2 Energy and life needs Modernization and improvements in the quality of life have caused the demand for energy to reach high levels. Energy, especially electricity, touches on almost all aspects of life in all developed and developing societies. For this reason, the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


861

paper herein gives an overview of electrical energy consumption per capita, residential electrical energy consumption in the world as a whole, and residential electrical energy consumption in five specific countries, as shown in Fig. 3. The five countries were selected based on their shares of electrical energy per capita, which is directly related to individual incomes and climate conditions, which can influence electricity consumption. Consumption per capita is the common measure of the energy demand. Per capita energy consumption varies from country to country, and, within a country, it varies from region to region, depending on the level of urbanization. Suthuye and Meyers [5] showed that the per capita energy consumption is influenced by the growth in household income, which allows people to buy devices that use more energy, such as refrigerators, water heaters, and air conditioning. Also, the consumption of energy in productive activities enables growth in income, because workers and businesses are able to use power-driven machinery, which makes them more productive. It is clear from Fig. 3 that four countries, excluding India, are above the world average in both per capita electrical consumption and the percentage of the consumption used by the residential sector. This can be explained as being due to the variation in modernization and lifestyle between India and the other four countries. However, the residential sector share from the total electricity consumed in Saudi Arabia is significant. This is because Saudi Arabia is totally dependent on its major national income energy resources (oil and gas) to produce electricity [6]. Air conditioning is the suspected factor for the immoderate electricity consumption by the residential sector in Saudi Arabia [7]. To prove how the residential sector is contributing to the extensive use of electricity for air conditioning applications, one such country, Kuwait, was selected to undergo further analysis.

Figure 3:

The percentage of residential electrical consumption nationally and per capita consumption in the world and five countries, based on official annual statistics [6].



3 Hot climate country with high reliance on oil: a case study of Kuwait Kuwait has harsh outside climate conditions with average ambient temperature of around 45˚C during the summer months [8], which requires the use of air conditioning systems from April through October. Buildings in Kuwait are subject to high ambient air temperatures and to strong solar radiation, which reaches as high as 940 W/m2 on a horizontal surface in the summer [9]. Fig. 4 shows the variation of dry bulb temperature on a hot summer day.

Figure 4:

Variation of dry-bulb temperature on a hot summer day in Kuwait [8].

Electrical energy in Kuwait is generated by conventional steam power plants, which depend primarily on fuel oil. Continued use of the current power plant technology that depends extensively on Kuwait oil will have severe adverse impacts on the country’s economy, considering that oil is the major source of national income. Darwish et al. [10] conducted a study for the local consumption of Kuwait’s oil for power generation and water desalination which indicated that in about 30 years, the total oil production may not be enough to provide fresh drinking water for people and allow them to live in air-conditioned spaces. In light of the facts about factors that affect energy consumption in the world in general, and in hot countries in particular, in this paper we have proposed a simple technique to determine the significant factor that affects electrical energy consumption in hot climates. Using Kuwait as an example, the proposed technique was used to analyze the statistics related to national annual electrical energy consumption. The first step was to obtain the maximum and minimum monthly electrical energy consumption in Kuwait using the annual electrical statistical book for the year 2006 [11], as shown in Fig. 5. Air conditioning in the Kuwaiti residential sector is from the beginning of April to the end of October [12]. Moreover, according to our observation, no heating is required during the second half of February and March. Now, based on the maximum and minimum electrical demands obtained from Fig. 5, the estimation of the suspected electrical energy required for operating airconditioning systems during peak usage days in the summer can be made by WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 5:

863

Monthly maximum and minimum electrical energy demand in Kuwait in 2006.

taking the difference between maximum and minimum demands during the year. According to Fig. 5, the minimum system demand was about 2710 MWe at 14:00 hours on February 25, 2006 [11]. As we mentioned earlier, the lowest demand was in February because the temperature was relatively moderate and no heating or cooling systems were required during this month. Also, most of the lighting systems in the buildings and on the streets are switched off at this hour (14:00). The maximum demand was 8900 MWe, and it occurred at 15:30 on July 26, 2006, at which time the highest outside temperature for the year occurred [11]. Consequently, the difference between the minimum demand and the maximum demand was 6190 MWe, which amounts to about 69.5% of the total energy generated at the maximum demand in the year. The difference herein is expected due to the operation of air-conditioning systems in all buildings in Kuwait. Yet, to verify the share of residential sector air conditioning, we must know the percentage of residential buildings among all buildings types in Kuwait. Residential buildings represent about 84% of all buildings in Kuwait [11]. Using the percentage obtained on the national level for the energy consumption attributed to air-conditioning, i.e., 69.5%, it can be said that residential airconditioners consume 58.4% of the total electrical energy delivered by power plants at peak usage time on a hot summer day in Kuwait.

4 Proposing efficient solution for residential cooling: proper directional orientation and grouping of houses Directional orientation of buildings is a low or zero-cost measure that can reduce the cooling load due to solar radiation, as indicated by Harvey [13]. Several studies have suggested measures to control the energy demand resulting from residential air conditioning in Kuwait. Examples include sinking buildings into the ground by Ben Nakhi and Elshiaty [14], retrofitting energy conservation measures to old buildings by Al-Ragom [15], and exploring the cooling potential WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

864 Sustainable Development and Planning V of earth-air heat exchangers by Al-Ajmi et al. [12]. But, no previous attempts have been made to assess the energy-saving benefits of appropriate directional orientation and grouping of houses in Kuwait. The work presented here estimates the effect on cooling load of four different arrangements for new houses, and the implications for electricity supply and CO2 emissions. The government’s Public Authority for Housing Welfare (PAHW) in Kuwait has planned to build 19568 houses during the years 2011 to 2016 [16]. The houses to be constructed are all two-storey houses with floor area of 400 m2. For this type of house, government policy allows renovation loans for owners to expand and improve their houses. The energy demand associated with the consequences of this policy is a major challenge for the country. We assume that the prevailing renovation and expansion practices associated with the government’s residential loans policy will continue for future houses. These houses are built according to the Energy Code of Practice in terms of building envelope thermal resistance, the sizes of windows, the type of glazing, the power density of lighting, and the power rating for air conditioners [17]. One of the present authors conducted a short survey of renovated PAHW houses. It was found that it is normal for the occupiers to add a third storey, that the renovated houses are typically rectangular in shape, and that they are fully air conditioned using a central air-conditioning system with electrically powered direct expansion chiller. Fig. 6 shows a typical renovated house. This renovated house type is used to predict the cooling load and electrical energy requirements of future houses.

Figure 6:

Example of a renovated house in Kuwait.

Typical orientation and grouping of the houses was obtained from images published on Google Earth [18]. Fig. 7 shows four cases of directional orientations and grouping: (1) single block facing east-west; (2) single block north-south; (3) double block east-west; and (4) double block north-south. Based on Fig. 7, this study considers blocks of six houses arranged in the four common directional orientation and grouping cases, as shown in Fig. 8. The calculation of cooling loads was done using the DesignBuilder simulation program which has an interface with the popular DOE EnergyPlus simulation WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 7:

Figure 8:

865

Common arrangements and orientations of Kuwaiti houses [18].

Houses arrangements and orientations used in this study.

engine [19]. DesignBuilder successfully passed the Building Thermal Envelope and Fabric Load Tests established by an ANSI/ASHRAE Standard [20]. A key input in cooling load calculations is the climate data for the area where the building is or will be built. DesignBuilder building simulation software provides ready access to official hourly weather files for 4429 locations in the world, including Kuwait [19]. The characteristics of the typical renovated house in Kuwait and the input data pertinent to the simulation are listed in Table 1. The specifications presented in Table 1 were taken from the Energy Code of Practice for houses in Kuwait, and the operation schedules for the lighting, internal blinds and equipment loads were based on our observations of a number of typical Kuwaiti houses. The same simulation input data was used for all the houses in order to measure the sensitivity of the cooling load to their directional orientation and grouping. Joseph and Sam [21] indicated that fixing all the input data except the one parameter to be analyzed is referred to as sensitivity analysis; this technique can help building designers and decision makers evaluate the thermal design of a building. The differences in simulation results can be attributed to changing the studied parameter, as recommended by Spitler et al. [22]. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

866 Sustainable Development and Planning V Table 1: Parameter Plan shape Number of storeys Floor-to-floor height Floor dimensions Wall area of one floor Window area Type of window glass Window blinds Wall U-value Roof U-value People load Lighting load Lighting schedule Equipment load Equipment schedule Infiltration Thermostat setting

Simulation input data for each house. Detail Rectangular 3 4m 18 m x 22 m (approximately 400 m2) 315.4 m2 , internal wall area 30% of the wall area, uniformly distributed  6-mm thick, double glazed, clear and reflective glass  U-value (3.38 W/m2-˚K) Internal blind closed daily between 12 noon - 11 p.m. 0.568 W/m2-˚K 0.397 W/m2-˚K 10 persons; 110 Watt/person 10 W/m2, fluorescent lights 12 noon - 11 p.m. daily with a diversity factor of 70% 12 W/m2 for ground floor and 5 W/m2 for upper floors  Ground floor: Weekdays: 7 a.m. – 9 a.m. and 4 p.m. – 11 p.m.; Weekends: 7 a.m. – 11 p.m.  Upper Floor: 4 p.m. – 11 p.m. daily 0.5 air change per hour 24˚C and 50% RH

To estimate the annual electrical energy consumption (Eannual), the annual cooling load (Qannual) was multiplied by the allowable power rating (PR) for residential air conditioning from the Energy Code of Practice, i.e. 1.7 kW/RT or 0.4834 kWe/kWr (1 RT = refrigeration ton, 1 RT = 3.517 kW refrigeration). This power rating is for the direct-expansion air conditioning systems that are commonly used in the residential sector in Kuwait. Annual electrical energy consumption was obtained from the following expression: Eannual = Qannual * PR

(1)

Hajiah [23] indicated that conventional power plants in Kuwait emit 0.72 kg of CO2 for every kWh of electricity produced. The amount of annual electrical energy was used to estimate the associated CO2 as follows: CO2 Emissions = Eannual * 0.72

(2)

Estimated savings in electrical energy production cost was based on the net cost to the government, which is $ US 0.09/kWh [24]: Electricity Production Cost=Eannual* $US 0.09/kWh

(3)

Electrical supply capital cost was estimated based on the peak cooling load (PL) for each case. The peak cooling load was multiplied by the allowed power WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


867

rating (PR) to convert it to electrical load, then this was multiplied by the capital cost of conventional power plant in Kuwait, which is $ US 1500/kWe [25]. The calculation was performed as shown: Electrical Supply Capital Cost = PL* PR * $ US 1500/kWe

(4)

The 19568 future PAHW houses are equivalent to approximately 3621 blocks of six houses. The results from each simulation case were multiplied by 3261 to estimate the results for the future houses. The peak cooling load would give the first indication about any promising alternative for the four cases studied. The simulation results for the four simulated blocks showed that the single block east-west case, case (1), has the largest peak cooling load of the four cases. The cooling-load profile for the four simulated cases during the peak day, as a percentage of the peak cooling load for the single block east-west case, case (1), is shown in Fig. 9. 100 Single Block E-W Single Block N-S Double Block E-W Double Block N-S

Cooling Load Percentage (%)

90 80 70 60 50 40 30 20 10 0 0

Figure 9:

1

2

3

4

5

6

7

8

9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 Time (hours)

Peak day cooling load profile for the four simulated cases as a percentage of peak load that resulted for case (1).

As can be seen in Fig. 9, the single block east-west case has the largest peak cooling load. This is followed by the double block east-west case, i.e., case (3). The north-south cases have lower cooling load values compared to the east-west cases, and the lowest among the four cases is the single block north-south case, i.e., case (2). The largest peak cooling load is 6.6% greater than the lowest, which is a fairly small difference. The peak cooling load is highest for the single block facing east-west, because it has a large solar gain on its west facade in the afternoon, when the outside air temperature is high. The results obtained by equations (1) to (4) for the four cases are listed in Table 2. For better understanding for the comparison, Table 3 shows the anticipated savings from each case. The savings shown compared to the average of the four cases (this is equivalent to assuming that the future houses will be distributed equally between the four orientations and grouping arrangements). WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Results for the 19568 houses.

Type

Unit

Case 1

Case 2

Case 3

Case 4

Average

Peak electrical load

MWe

693

645

670

659

667

$ US million

1,040

967

1,004

988

1,000

Electrical supply capital cost Annual electrical energy Annual generation cost to government

GWhe

1,593

1,554

1,565

1,563

1,568.7

$US million per year

143.4

139.8

140.7

140.6

141.2

Annual CO2 emissions

kilotons per year

1,150

1,120

1,130

1,125

1,131

Table 3:

Anticipated savings for the future 19568 houses based on the results obtained from Table 2.

Saving Electrical supply capital cost Annual electrical energy Annual electrical generation cost to government Reduction in annual CO2 emissions

Unit

Case 1

Case 2

Case 3

Case 4

$ US million

-40

33

-4

12

GWhe/Year

-24.3

15

3.7

5.7

-2.2

1.35

0.5

0.6

-19

11

1.76

4.1

$US million/year kilotons per year

Note: the (-) sign indicates increased costs and emissions. Table 4 shows twenty-year projected savings for each case, excluding the single block east-west case due to the reasons specified earlier. The estimated savings presented in Table 4 are based on the savings resulted from the average of the four cases presented earlier in Table 3. As can be seen from Table 4, the single block north-south case would achieve significant savings among other cases. Although case 3 did not achieve saving in the electrical energy capital cost, it was introduced in the projected savings because it achieved savings in the annual electrical energy consumption. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Table 4:

Case

869

Twenty-year projection of the expected savings for the future 19568 houses. Savings in Electrical Supply Capital Cost (million $ US

Savings in Electricity Production Cost in (million $ US)

Case 2 33 27 Case 3 -4 10 Case 4 12 12 Note: the (-) sign indicates increased costs.

Total Savings (million $ US) 60 6 24

CO2 Equivalent to Seasonal Electricity Savings (kiloton) 222 35.2 82

5 Conclusion Fossil fuels, especially oil, are an important global energy resource. The extensive usage of global energy resources has negative impacts on all aspects of life. The paper indicated that there is a direct relationship between residential energy consumption and consumption per capita. Hot weather was also found to be a significant factor for energy consumption in countries that have harsh summer conditions and totally dependent on valuable energy resources to generate electricity. In conjunction with these facts, Kuwait was selected for additional analysis of its electrical energy usage. The findings proved that residential cooling is the significant factor for electricity in Kuwait. The authors proposed a unified orientation and grouping style for future houses as a zero cost energy conservation measure. The proposed orientation and grouping style of houses can reduce solar gain; which therefore and can lead to significant savings in energy and CO2 emissions.

References [1] Renewables; Renewable Energy Network for the first twenty one century, Global Status Report, 2007. [2] International Energy Administration (IEA); Key World Energy Statistics, 2007. [3] International Energy Administration (IEA), World Annual Statistics, 2006 [4] Dara O’Rourke and Sarah Connolly; Annual Reviews Environ. Resources, Volume 28, pp. 587–617, 2003. [5] Suthuye and Meyers; Energy use in the cities of the developed countries. Annual Reviews. Emrgjs, volume10, pp.109-33, 1985. [6] International Energy Administration (IEA), World Annual Statistics, 2006. [7] I. Dincer, M. M. Hussain and I. Al-Zaharnah, Analysis of sectoral energy and exergy use of Saudi Arabia, International journal of energy research, Int. J. Energy Res. 2004; 28:205–243 (DOI: 10.1002/er.962).


870 Sustainable Development and Planning V [8] Kuwait International Airport, Climatological summaries year1962–1982, Meteorological Department climatological division; State of Kuwait, 1983. [9] T.R. Allison, Heat gains in Kuwait Buildings, a simplified Code, Kuwait Institute for Scientific Research, (KISR) -PPI/110 ENG-PT-G-7931, 1979. [10] Darwish M.A., Al-Awadhib and A.M. Darwish, Energy and water in Kuwait Part I. A sustainability view point, Desalination 225 (2008) 341355. [11] Ministry of Electricity and Water (MEW); Statistical year book, 2007. [12] Al-Ajmi, F., Loveday, L.D., Hanby, V., 2006. The cooling potential of earth–air heat exchangers for domestic buildings in a desert climate, Building and Environment 41, 235-244. [13] Harvey Harvey, L.D.D. 2006. A Handbook on Low-Energy Buildings and District-Energy Systems: Fundamentals, Techniques and Examples. EarthScan, London, 701 pages. [14] Ben-Nakhi, A.E., and El Shiaty, R.M., 2009. Thermal impact of sinking residential buildings in hot regions- Kuwait as a case study, Energy Technology and Policy Vol.7 No.1, 3-17. [15] Al-Ragom, F., 2003. Retrofitting residential buildings in hot and arid climates, Energy Conservation and Management 44, 2309-2319. [16] PAWE 2008 PAHW, Public Authority for Housing Welfare, 2010. Five year strategic plan (2011-2016), new residential projects, Kuwait. [17] MEW, 1983. Ministry of Electricity and Water. Energy Code of Practice, Buildings characteristics, Kuwait. [18] Google earth, 2009. www.earth.google.com , Image©2009 Digital Glob, image date Jan. 2006, accessed in 4-5-2009. [19] DesignBuilder Documentation, 2006. DesignBuilder User Manual, Version 1.2, DesignBuilder Software Limited, UK. [20] ASHRAE, 2006. Building Thermal Envelope and Fabric Test from ANSI/ASHRAE Standard, ASHRAE 140 Envelop Test, www.cetteg.fr/fichiers/ansi_ashrae.pdf [21] Joseph, C.L. and Sam, C.M., 1996. Sensitivity analysis of energy performance of office, Buildings and Environment 31, 27–39. [22] Spitler, J.D., Fisher, D.E., Zietlow, D.C., 1989. A primer on the use of influence coefficients in building simulation, Proceedings of Building Simulation’89 Conference, pp. 299-304, Vancouver. [23] Hajiah, A. Energy conservation program in Kuwait, a local prospective, proceedings of fifteenth symposium on improving building systems in hot and humid climates, Orlando, FL, July 24-26, 2006. [24] Al-Mutairi, A., 2009. Manager Technical Office in Ministry of Electricity and Water, Kuwait, Private Communication. [25] Darwish, M. A., 2008. Building air conditioning system using fuel cell: Case study for Kuwait, Applied Thermal Engineering 27, 2869-2876.



871

Enhanced aquifer thermal energy storage for cooling and heating of Shinshu University building using a nested well system A. Tomigashi & K. Fujinawa Department of Civil Engineering, Shinshu University, Japan

Abstract An enhanced aquifer thermal energy storage (ATES) is proposed in this paper in order to provide cooling and heating energy from groundwater to an airconditioning system of a building at Shinshu University. By adopting the enhanced ATES, a nested well system composed of withdrawal and injection wells is under construction in which an upper unconfined aquifer is used to withdraw, inject and store cooling water, and an underlying confined aquifer is used for heating water. A variety of field tests including all-core boring, electrical logging, thermal logging, pumping tests and thermal and salt-water tracer tests has been performed to identify hydrogeologic and thermal properties of the aquifer. Numerical simulations were then conducted by using SWATER (Subsurface Water and Thermal Energy Resources), which is a program for simulating three-dimensional water flow and heat transport in aquifer systems. The numerical results showed that the enhanced ATES is superior to the conventional ATES in terms of recovered thermal energy. Keywords: enhanced aquifer thermal energy storage, nested well system, field tests, control of groundwater flow and heat transport, numerical simulation.

1

Introduction

Underground space provides a large isolated storage volume of water for thermal energy. Underground Thermal Energy Storage (UTES) technologies use the capacity of this volume to store thermal energy for seasonal application. Among UTES, Aquifer Thermal Energy Storage (ATES) and Borehole Thermal Energy Storage (BTES) are widely used techniques. An ATES system uses groundwater as the medium of heat transfer between an external source and the aquifer while WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110721

872 Sustainable Development and Planning V a BTES system delivers or extracts heat and cold from the underground by means of circulation of a fluid in a U-tube. Wherever groundwater is abundant, ATES can provide an attractive sustainable energy for cooling and heating various facilities. For example, the Matsumoto basin in Nagano Pref. stores about 10 billion m3 of groundwater. The delivery or extraction of thermal energy by 5ºC from the groundwater can cool and heat spaces with the energy of 13 GWt. In a UTES system, the stored cold is pumped back and the waste heat from the cooling process is stored in a warm zone, and vice versa. However, the stored heat or cold may be transported by flowing groundwater and dissipate due to dispersion if groundwater flow and heat transport is not properly controlled. The basic idea of an enhanced ATES is to establish a withdrawal/recharge well system along a groundwater flow line and to control groundwater flow by adjusting the hydraulic gradient by means of pumping and injection. This system enables maximized heat and cold recovery by optimizing the withdrawal and injection rates at the nested wells. Table 1 summarises the advantages and the disadvantages of the conventional and the enhanced ATES together with BTES. Although special care must be taken with respect to land subsidence and clogging of sediment pores, the enhanced ATES has a great advantage over the others in terms of energy output per borehole, recovery of stored thermal energy and safety against thermal and chemical pollution of groundwater. Besides all of these advantages, the enhanced ATES further assures that the efficiency of the system can be gradually improved as the system operation is continued. In the fiscal year of 2010, a pilot project of the enhanced ATES was initiated with the financial support of the Japanese New Energy and Industrial Technology Development Organization at the Nagano campus of Shinshu University. This paper shows how the system is designed and how the efficiency of ATES is improved by using numerical simulation along with input data acquired by field tests. Table 1:

Features of various UTES.

Evaluation (B) (A1) (A2) Energy output per borehole × ▲ ● Recovery of stored thermal energy × ▲ ● Possible Impact on geo-environment (A1),(A2): land subsidence ● × × Safety against thermal pollution (B),(A1): uncontrolled thermal plume × × ● Safety against groundwater pollution (B): leakage of antifreeze fluid × ● ● Actual performance in Japan (A2): emerging technology ● ▲ － System maintenance (A1),(A2): clogging of sediment pores ● ▲ ▲ (B) BTES, (A1) conventional ATES, (A2) enhanced ATES: ●excellent, ▲medium, ×poor

2

Field investigation of hydrogeology and groundwater

The Nagano Campus of Shinshu University is located in the central part of the Nagano basin that is formed by the sediments of the Sai River and the Sunobana River as shown in Figure 1. The temperature of the area rises beyond 30ºC more than 50 days a year and goes below zero 100 days a year with an average WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


873

accumulated snowfall of 170 cm. Thus, cooling during summer and heating during winter are a common practice in this area. This means that there is a great potential to shift energy for cooling and heating from fossil fuels to a renewable thermal energy produced by ATES. The objective of the pilot project that started at the Shinshu University campus is to demonstrate the usefulness of a new system of the enhanced ATES. Nagano city

Figure 1: Location of the pilot project site at Shinshu University The geologic structure of the site was investigated by sampling a boring core from a 75 m deep borehole and performing an electrical logging using an 80 m deep borehole. Figure 2 illustrates the results which show that under the surficial deposit of clay, a layer 8 m thick, lies an unconfined aquifer 32 m in height, which is underlain by a clay layer 3 m thick. A confined aquifer 21 m in height is further deposited below the clay layer. Underneath this is another clay layer 1 m thick below which lies a third aquifer. Each aquifer, composed of sand and gravel, is named aquifer 1, 2, and 3 from the top to the bottom. A multi-screened well was installed in borehole B while three observation wells for each aquifer were constructed 3.8 m apart from borehole B. The observation wells were named A1 for aquifer 1, A2 for aquifer 2 and A3 for Aquifer 3. Sensors for measuring pore pressure, temperature and electrical conductivity were installed at each observation well. Monitored hydraulic heads show a tendency that the head in aquifer 1 is 20 cm higher than that of aquifer 2 and 50 cm higher than that of aquifer 3. The direction and the velocity of groundwater flow in the aquifers were investigated at each observation well by means of multi-thermosensor equipment. The observed result indicates that the directions and the velocities of the flow in aquifers 1~3 are SSE with 3.3×10-3cm/sec, SE with 6.4×10-3cm/sec and SSW with 0.42×10-3cm/sec, respectively. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 2: Lithology and the result of electrical logging for the pilot project site. Pumping tests for each aquifer were performed using well B as a pumping well and wells A1~A3 as observation wells. The evaluated hydraulic conductivities of aquifers 1, 2 and 3 are 2.28×10-2cm/sec, 1.81×10-2cm/sec, 2.07×10-1cm/sec, respectively. A thermal logging was also conducted to investigate a vertical profile of groundwater temperature. It was revealed that the temperature distribution was almost constant and was around 14ºC throughout each of the layers, except in aquifer 2 where the temperature was higher by 0.3ºC. Clogging of sediment pores during injection of pumped groundwater into aquifers is a major obstacle to ATES. The main causes of the clogging are attributed to chemical precipitation, air-bubble formation and transport of fine soil particles through sediment pores of aquifers. Thus, chemical composition of the groundwater was investigated and the results are shown in Table 2. The observed groundwater quality suggests that the pilot project should take care of the clogging by introducing a water quality control system using ion exchange resin and de-aeration. Subsurface, heat is transferred by heat conduction together with forced and natural convection of groundwater flow while dissipating due to dispersion. In order to investigate the response of the groundwater system against the stress of alien substances and that of heat, and eventually to evaluate dispersivity, thermal conductivity and heat capacity, two types of tracer tests using salt water and cold water were performed. Figure 3 shows a schematic diagram of the tracer tests conducted for aquifer 2. Salt water or cold water in a storage tank was injected WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


875

into borehole B, and electrical conductance (EC), temperature (T), and hydraulic head (H) were monitored at four sensor locations as illustrated in Figure 3. Sensor S1 and S2 were installed in the observation well A2 to measure EC, T and H. Hydraulic head was monitored at borehole B while EC and T were monitored in the storage tank as well. Table 2: Analysis item Fe Soluble Fe Mn Ca Mg

Quality of groundwater in each aquifer Aquifer1 0.05 mg/L 0.06 mg/L 0.7 mg/L 20 mg/L 6.7 mg/L

Aquifer2 1.1 mg/L 0.02 mg/L 0.82 mg/L 23 mg/L 7.7 mg/L

Aquifer3 0.65 mg/L 0.03 mg/L 1.2 mg/L 21 mg/L 8.8 mg/L

Figure 3: A schematic diagram of tracer tests for aquifer 2. The results of the tracer tests, where the difference of hydraulic head in borehole B from A2 was 40 cm, are shown in terms of relative concentration and temperature in Figure 4. The EC of the salt water injected was 2,425 mS/m and the peak concentrations at the depth of 49 m and 60 m below ground level in borehole A2 were 389.4 mS/m and 503.7 mS/m, respectively. The peak concentrations at the depth of 49 m and 60 m emerged after 66 min and 51 min from the start of salt water injection, respectively. The injection of cold water ranging from 2.0~3.8ºC into aquifer 2 (14.2ºC) lasted 480 min. The temperature at the depth of 49 m below ground level in borehole A2 went down by 0.6ºC 662 min after the start of the cold water injection. It is interesting to note that there was no change in the temperature at the depth of 60 m in borehole A2. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

876 Sustainable Development and Planning V Based on the results of these tracer tests, parameters for numerical simulation such as longitudinal and transverse dispersivity, thermal conductivity and heat capacity can be evaluated by solving inverse problems. The procedure of the inverse problems and results will be discussed elsewhere.

345.6

345.4

345.5

345.3

Groundwater level (EL.m)

345.3 345.2 345.1 345.0 344.9

Injection well (B)

344.8

End of injection 170 minitues

Observation well (A2)

344.7


Injection well (B) Observation well (A2)

345.2 345.1 345.0 344.9 344.8 344.7 344.6

344.6

344.5 0

20

40

60

80

1.00

100

120

140

160

180

200

Salt water injection lasted for 33 min. (Afterwards diluted with fresh water)

Relative concentration

0.70

Injection temperature at B（℃）

0.80


0.60 0.50

Peak concentration emerged at depth49m - 66 minutes depth60m - 52 minutes

0.40 0.30

180

360

540

720

900

1080

1260

1440

1620

1800 1980

0.20

12.0


1.5

Injection well (B) Observation well (A2: GL-49m) Observation well (A2: GL-60m)

13.0

2.5

13.5

3.0

14.0

Peak concentration emerged at depth49m - 662 minutes depth60m - (no peak observed)

3.5

14.5

4.0 0

20

40

60

80

100

120

140

160

180

200

Elapsed time (min)

12.5

2.0

0.10 0.00

2160

Elapsed time (min)

1.0

Injection well (B) Observation well (A2: GL-49m) Observation well (A2: GL-60m)

0.90

0

Elapsed time (min)

Observation temperature at A2（℃）

Groundwater level (EL.m)

345.4

15.0 0

180

360

540

720

900

1080

1260

1440

1620

1800

1980

2160

Elapsed time (min)

Figure 4: Results of tracer tests (left: salt water, right: cold water).

3

System design of the enhanced ATES

In accordance with the field investigations mentioned in the previous section, an enhanced ATES system was designed to supply cooling and heating groundwater to an air-conditioning system for three lecture rooms of a Shinshu University building. Figure 5 shows a plan view of the campus and Figure 6 illustrates the nested wells for pumping and injecting groundwater. Wells B, C1, C2, D1 and D2 are used for withdrawal or injection for controlling groundwater flow so that stored cold and heat can be recovered as much as possible. Cold water is designed to be stored in aquifer 1 and warm water in aquifer 2. Since natural groundwater is supposed to flow from NW to SE, C1 and C2 are planned to be used for injection, and D1 and D2 for recovery, so that hydraulic gradient is reduced accordingly. An operational condition of air conditioning for the pilot project is shown in Table 3. The optimized control of groundwater flow can be achieved with the aid of numerical simulation. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


877

Figure 5: An enhanced ATES system for a Shinshu University building.

Figure 6: Nested wells for pumping and injecting groundwater. Table 3: Operation mode Heating Suspend Cooling Suspend

date 11/1-4/30 5/1-5/31 6/1-9/30 10/1-10/31

Operation for air-conditioning.

Period number of days 180 31 122 31

Pumping / Injection rate (L/day) (L/min) 72,000 50.0 72,000 50.0 -


Injection water temperature 5ºC const. 25ºC const. -


4

Numerical simulation of the enhanced ATES

In order to facilitate an optimal design of the enhanced ATES, a numerical simulation program, SWATER3di (Subsurface Water and Thermal Energy Resources in three dimension), was developed. SWATER is based on a program, SIFEC (Saltwater Intrusion by Finite Element and Characteristics: Fujinawa et al [1]), for variable-density, saturated-unsaturated, coupled flow and solute transport except that SWATER is a three dimensional version using triangular prism elements and modified to simulate heat transport instead of mass transport. The program was verified by comparing its accuracy with experimental results and other numerical results conducted by Fujinawa [2]. The governing equations and auxiliary formulas adopted in SWATER are given in the appendix. Figure 7 shows the finite element mesh used to simulate groundwater flow and heat transport at the pilot project site. The number of nodes is 12,852, and the number of elements 23,712. The dimension of the model is 400m long, 100m wide and 64.7m deep.

64.7m

Number of node ： 12,852 Number of element ： 23,712 Groundwater flow direction

400m

■：clay ■：sand gravel

100m

Figure 7: 3D finite element mesh for the pilot project site. The robust evaluation of all the hydrogeologic and thermal parameters is now under way. For an interim simulation, these parameters are temporally fixed using data from the field investigations and from values reported in the literature for the fields similar to the pilot project site. Table 4 shows the parameters used in the numerical simulation. These parameters are noted in the appendix along with governing equations describing saturated-unsaturated flow and heat transport in an aquifer system. The boundary conditions for subsurface water flow were assigned so that the hydraulic gradient of natural groundwater flow is equal to 1/100. The top, bottom and side boundaries were treated as an impervious boundary. As for initial conditions, total head was interpolated in accordance with the hydraulic gradient with that of aquifer 1 20 cm higher than that of aquifer 2. A constant temperature of 14.0ºC was assigned at the upstream boundary, while the top, bottom, side and downstream boundaries were treated as an insulated boundary. Initial groundwater temperature was assumed to be 14ºC throughout the analytical domain. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


879

The rate of groundwater withdrawal for heating and cooling was 72m3/day. And, the same amount of water pumped from an aquifer was injected into another aquifer. It was assumed that thermal energy is produced so that cooling makes pumped water 25ºC and heating makes it 5ºC. The water discharged after the use of air-conditioning is in turn injected into the aquifer different from the pumped one with the relevant temperature. Table 4:

Parameters used for numerical analysis.

Saturated hydraulic conductivity at a reference temperature of 4ºC Clay Kr 0.00036 Sand gravel (Aquifer 1) Kr 0.821 Sand gravel (Aquifer 2) Kr 0.652 Porosity 0.200 ε Saturated water content 0.200 θs Residual water content 0.100 θr Parameter of van Genuchten eq. α 5.270 β 2.138 1.0 Longitudinal dispersivity αL 0.1 Transverse dispersivity αT Volumetric heat capacity of Solid phase (ρC)s 528.00 Water phase (ρC)w 1160.00 Air phase (ρC)a 0.336 Heat conductivity of 0.909 Solid phase λs Water phase 0.594 λw Air phase 0.024 λa

m/hr m/hr m/hr /m m m J/m3K J/m3K J/m3K W/mK W/mK W/mK

Two types of simulation for the conventional and the enhanced ATES were performed. The operational condition for both types is the same as shown in Table 3. However, the enhanced ATES withdraws 144 m3/day from well C1 or C2 and injects the same amount of water into well D2 or D1 to control groundwater flow. The temperature of the injected water is made equal to the average temperature of the pumped groundwater. Figure 8 shows the simulated results for the conventional and the enhanced ATES. The profiles of groundwater temperature were illustrated for one-cyclic year. The aquitard separating aquifer 1 from aquifer 2 plays an important role in preventing a mixture of cold and warm water in the aquifer system. It is confirmed from the figure that the central temperature in the cold plume for the enhanced ATES is lower than that for the conventional ATES, and that in the warm plume for the enhanced ATES, is higher than that for the conventional ATES. In terms of the recovery of stored thermal energy, the enhanced ATES was superior to the conventional ATES. To show the efficiency of thermal energy storage, the temporal change in the average temperature of pumped groundwater is illustrated in Figure 9. During the cooling season, colder groundwater is recovered when the enhanced ATES is used, compared with the conventional ATES. Although chilled groundwater is recovered during the initial stage of the heating season, warmer groundwater, compared with the conventional ATES, is recovered as a whole when the enhanced ATES is used. The efficiency of the enhanced ATES can be optimized WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 8: Simulated results of groundwater temperature profile. by using the nested well system and adjusting the rate and the period of pumping and injection.

5

Conclusion

As a new technology for utilizing renewable energy with a great potential for cooling and heating buildings and houses and for taking over fossil fuels, an enhanced aquifer thermal energy storage (ATES) is proposed in this paper. The basic concept of the enhanced ATES is based on the modification of the conventional ATES so that the possible transport of cold and heat stored in aquifer systems be controlled to maximize its recovery. To demonstrate the efficiency of the technology, a pilot project was launched at the campus of WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

Average temperature of pumped gruoundwater (℃)

Sustainable Development and Planning V 20.0 19.5 19.0 18.5 18.0 17.5 17.0 16.5 16.0 15.5 15.0 14.5 14.0 13.5 13.0 12.5 12.0 11.5 11.0 10.5 10.0

881

Initial condition (14℃) Conventional ATES Enhanced ATES Cooling

Heating (2nd cycle)

Heating

0

1

2

3

4

5

6

7

8

9

10

11

12

13

14 15 16 17 18 Elapsed time (months)

Figure 9: Average temperature of pumped groundwater. Shinshu University. Hydrogeologic and thermal properties of the site were investigated by conducting various field tests including all-core boring, electrical logging, thermal logging, pumping tests and thermal and salt-water tracer tests. It was revealed that the aquitard separating unconfined aquifer from confined aquifer can play an important role in preventing a mixture of cold and warm water in the aquifer system. A nested well system composed of withdrawal, injection and monitor wells was then designed. Based on the data acquired by the field tests, numerical simulations were performed to compare the efficiency of the enhanced ATES with the conventional ATES. The numerical results showed that the enhanced ATES is superior to the conventional ATES in terms of recovery of the stored thermal energy. The use of numerical simulation tools such as SWATER makes it possible to design an optimal system depending on field conditions and characteristics of facilities to be air-conditioned.

Acknowledgement This research has been financially supported by the Japanese New Energy and Industrial Technology Development Organization.

Appendix The governing equation for flow of water in saturated-unsaturated zone with variable-density fluid is given by nq r K r h h   (1) z )}   Qi  i   ( S e S s r  C s r )  S e (hr   r t t t i 1 where  and  r are the density of water;  and  r are the dynamic viscosity of freshwater; S e is the fractional effective water saturation; S s is the specific storage; hr is the pressure head in terms of water of a reference temperature; C s (   S e hr ) is the soil water capacity;  is the fractional porosity; K r is the hydraulic conductivity in terms of water of a reference temperature; Qi is the

 {


882 Sustainable Development and Planning V withdrawal rate of a pumping well i ;  i is the Dirac delta function for the pumping or injection well; z is the upward vertical coordinate. For unsaturated porous media, van Genuchten [3] provided functional relations for the parameters Se and Kr in Equation (1) as follows:   r 1 1 Se   , (  1  ) (2)  s   r (1  h  ) r  f





2

 K r  K rs S e1 / 2 1  1  S e1 /   (3)   where  ,  s and  r are the volumetric water content (VWC), the saturated VWC, and the residual VWC, respectively;  and  are the characteristic constants of soil to be evaluated from experiments; K rs is the saturated hydraulic conductivity in terms of a reference temperature. The governing equation for heat transport in the saturated-unsaturated zone is given by T (4)   ( λT )   ( C ) w   ( vT )  ( C ) t where T is temperature; ( C) w is the volumetric heat capacity of water phase. Assigning ( C) s of the volumetric heat capacity of solid phase and ( C) a of the volumetric heat capacity of air phase, the bulk volumetric heat capacity ( C ) is calculated by ( C )  S ( C ) w   (1  S )( C ) a  (1   )( C ) s (5) The tensor element of λ is given by ij  ed  (md ) ij  ( C) Dij (6) where ed and  md are the bulk thermal conductivity and the mechanical thermal dispersivity; Dij is the hydrodynamic dispersion coefficient. And the dispersion tensor is defined by Dij   ijkm v k v m / v   e (7)  ijkm   T  ij  km  ( L   T )( ik  jm   im jk ) / 2

where v is the average velocity; v k and v m are the velocity components of two coordinate directions, k and m ;  ij is the Kronecker Delta;  e is the bulk thermal diffusivity;  L is the longitudinal dispersivity;  T is the transverse dispersivity.

References [1] Fujinawa , K., Iba, T., Fujihara, Y., & Watanabe, T., Modeling interaction of fluid and salt in an aquifer/ lagoon system, Ground Water, 47(1), pp. 35-48, 2009. [2] Fujinawa, K., Theoretical studies on heat transfer in saturated porous media with thermal convection. Trans. Japanese Society of Irrigation, Drainage, and Reclamation Eng., 158, pp. 47-56, 1992. [3] van Genuchten, M.TH., A closed-form equation for predicting the hydraulic conductivity of unsaturated soils. Soil Sci. Soc. Am. J. 44, pp. 892-898, 1980. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


883

Modeling energy savings in low income residencies C. G. Morales & A. J. Malavé PREC - Puerto Rico Energy Center, Universidad del Turabo, Gurabo, Puerto Rico

Abstract We evaluate the energy efficiency corresponding to the construction of low income residences in Puerto Rico. These units are characterized by areas of 800 ft2, 3 bedrooms, one bathroom, reception room, dining room and kitchen. We model residences built under the latest International Energy Conservation Code (IECC 2009) included in recent American Recovery and reinvestment Act legislation, proposing changes in the materials used in their constructions. Our models compare: a) the case of building with typical materials and construction practices used in Puerto Rico, with b) the case where materials and techniques recommended by the new code are used. We show that the use of our modified specifications results in a monthly electrical energy saving of $54 for flat roof constructions (39% saving), and a $60 (41% saving), monthly saving for the case of constructions with gabled roofs. We use two computer models: a) a design model for the house construction, b) the public domain program Energy available from the US department of energy. We use climate conditions corresponding to the region near the city of San Juan. Keywords: energy savings, building modelling.

1 Introduction As part of the American Recovery and Reinvestment Act of 2009 Puerto Rico must comply with new buildings regulations. These regulations were designed to minimize energy consumption in all new structures. Their application could have an important impact on construction costs affecting the residential housing industry and the public in general.


884 Sustainable Development and Planning V The ARRA act includes a disposition for the application of energy conservation standards set by the International Energy Conservation Code in its latest version of 2009 “IECC 2009”. Under this code Puerto Rico is considered part of zone 1 together with Hawaii, U.S Virgin Islands, Guam, Mariana Islands and a small portion of southeastern Florida. If the IECC 2009 were to be applied directly in Puerto Rico the construction materials and methods would be altered significantly. Such alteration would have a profound impact on the construction costs of the social interest houses (any housing structure with less than 1000 ft2). The Energy Affairs Office and the Home Builders Association of Puerto Rico suggested the need to model energy consumption in structures developed under traditional methods and with the new standards. The results obtained from this study would provide the basis for the energy conservations amendments that would be included in the Puerto Rico building code. Up to the present there was no accurate information on the thermal envelop characteristics of a typical social interest house. In Table 1 is seen the suggested R values or thermal resistance on the different components of the house, before that study P.R. did not have suggested values as a results of no having a complete energy code. Table 1:

Suggested thermal resistance values of IECC2009 and Puerto Rico typical values. Suggested R values

Table 402.1.3 IECC 2009

Suggested values in PR

Fenestration factor

1.2

N/A

Skylight, U factor

0.75

N/A

Ceiling, U Factor

0.035

N/A

Frame Wall, U Factor

0.082

N/A

Mass Wall, U Factor

0.197

N/A

Floor, U Factor

0.064

N/A

Basement Wall, U Factor

0.36

N/A

Craw Space U Factor

0.477

N/A

The energy modeling was performed using: 1) drawings software to develop the computerized models and the 2) EnergyPlus a public domain software designed by the US Department of Energy to model energy and water consumption in buildings [3]. The building materials and methods used in Puerto Rico have changed dramatically in the last 100 years. The residential buildings went from wood walls and zinc roofs to an all concrete structure by the 1950s. There were WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


885

multiple reasons for these changes, the main one being the increase in wood prices combined with a strong population growth. Puerto Rico had a building code that has been barely modified since 1950 [5]. In 1997 the Uniform Building Code was adopted and was still in use until the adoption of a new code in 2011. This code was not modified during its implementation. Due to the increase in electricity costs due to the increase in petroleum cost and the awareness of climate change a change in perception on energy consumption was experienced at both the governmental and private sector and subsequently the need for an energy conservation code arose. As a starting point the energy conservation codes of countries and regions with similar weather conditions as Puerto Rico were analyzed as was the case with Hawaii’s Energy conservation code. The standards provided in those codes gave us the idea to perform the present simulations that can be of great value in order to establish our own energy code.

2 Simulation description In humid tropical weather the main factor in the energy consumption of a building is air conditioning system. For our study the residential building was assumed to be either all conditioned (air conditioning system available to all living space) or partially conditioned ( air condition system was available only at the master bedroom). In total 26 simulations were performed, 13 for each air conditioning case. The simulations were performed for two structural cases:

Figure 1:

Flat roof model a. roof height 8ft b. roof height 9ft.

Figure 2:

Gabled roof.

The simulations were made to exactly replicate a typical social interest house in Puerto Rico, which has an area living of 830ft2, including 3 bedrooms, 1 bathroom, dining room, living room and a kitchen as it can be seen in the house layout “figure 3”. This design was provided by the Home Builders Association of Puerto Rico and was used as the baseline model. The baseline was used to compare how well different materials and conditions fared against the actual energy consumption at these types of structures. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 3:

Typical social interest house in Puerto Rico.

The baseline properties were as follows:  Electrical water heater  Incandescent bulbs  Appliances; (refrigerator, stove, etc.)  Typical construction materials (5in thick concrete walls, paint) The suggested improvements were as follows:  Solar water heater  Fluorescent bulbs  Appliances; (fridge, stove, etc.)  Typical construction materials (5in thick concrete walls, paint) and non-typical construction materials (foam, insulators, etc) Besides the construction materials and the number appliances the simulations require inputs based on the activities performed at the house in order to determine the time energy is been consumed. For this reason the typical behavior of a family of 4 members, in which the family members will be active at the house from 3 pm to 11 pm at night and small interval in the mornings during weekdays and at full time during weekends. With this information the software models the energy consumption per day and per hour generated by human activities. In the figure 4 is shown the process to make a complete simulation; the first step is design the house and import on the EnergyPlus software, the second step consist in add all the inputs on IDF Editor Energy Plus. After that you can run the simulation using the launch of EnergyPlus. When the simulation is over you can collect data and analysis all of them. The input information was the electricity cost per kW-hr, the projection factor and the solar heat gain through the windows as seen in table 2. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Figure 4:

887

Step by step simulation process.

Table 2:

Additional data input. Additional Data

Electricity cost : $ 0.224/KW-hr Projection factor (PF) = 0.5 Solar heat gaining factor = 0.75 (obtained from ASHRAE – Miami Windows) 2.1 Materials The construction materials used for the simulations are shown in table 3. All the materials used in the simulations are in the market and available in Puerto Rico Each simulation was done using different design combinations of walls, roof and floors as can be seen in table 4. Each case has a distinctive thermal resistance value (R-value). The goal of the simulations is to suggest a thermal envelope for the structure with an R-value of at least 15 m2K/W, which is half the value proposed at the IECC 2009, but accepted by the US department of Energy as a good starting point. The actual R-value for a typical house in Puerto Rico is 0.44. The baseline was selected as the typical social interest house with 5 in concrete walls, roof and floors. The walls have an additional stucco layer. All the other simulations were done by altering the baseline as can be seen in Table 4, where the main modification was the increase of the insulation to the envelope and the change in the construction materials, and in some instances the design of the structure (gabled roofs). The windows were made with thin blades aluminum with a high thermal conductivity and thereby a low thermal resistance that are traditionally called “Miami” style. The internal loads considered were electrical appliances, illumination and the amount of occupants. Three types of roofs were considered flat roof with 8 ft height, flat roof with 9 ft height and a gabled roof “Figure 1 and 2”. The baseline was modeled using a electrical water heater, for all other conditions a solar water heater was used. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Table 3: Material

Materials used for the design of the houses in simulations case. Mechanical properties Rough Conductivity=0.19 4 (W/m-K) Density =2240 (kg/m³) Specific heat =921 (J/kg-K)

Suggested material Paint Coating

Wood Doors

Medium Rough Conductivity =0.153W/m-k Density =6800 kg/m³ Specific heat =1.63E+02 J/kg-k

Attic acoustic Medium Rough Thermal ceiling resistance =0.054 m²k/W Thermal absorbance =0.84

Aluminum (Windows)

smooth Conductivity =1.85E+01 w/m-k Density 2.74E+03 =kg/m³ Specific heat =8.95E+02 J/kg-k

Insulate R-5

Medium Rough Thermal Resistance =8.81E-01 m²k/W Thermal Absorbance =0.9

Cool Roof

Medium Rough Thermal resistant =2.64E+02 m²k/w Thermal Absorbance =0.7

Concrete 5” – 8” (Roof, Wall, Floor)

Window Material Glazing Clear

Mechanical properties Rough Thermal resistance =7.87E-08 m²K/W

Thickness = 3mm Solar Transmit =0.837



Table 4: Case

Cases studied.

A (base) +

Material used at roof and walls 1)Concrete 5” 2)Paint Coating

R – 0.44

B+

IECC 2009

R – 30

C*

1)Cool Roof 2)Concrete 5” 3)Paint coating

R – 15

D*

1)Cool Roof 2)R-5 insulation 3)Concrete 5” 4)Paint Coating

E*

IECC2009

F*

1) Gabled roof 2)Attic ceiling 1) Gabled roof 2)Cool Roof 3)Attic ceiling

G*

H* I*

J* K* L* M*

1)Gabled roof 2)NO Attic 1)Cool Roof 2) Gabled roof 3) NO Attic 1)Roof 9 ft 1)Cool Roof 2)Roof 9ft 1)Concrete 5” 2)Paint Coating

R -Value

R – 15 R – 30 R – 0.44 R – 15

R – 0.44 R - 15 R – 0.44 R – 15 R-0.44

P.R. Energy Code 1)Concrete 5” 2)Cool Roof 3)Paint Coating

+ = Electrical water heater. *= Solar water heater. P.R. energy code includes SHGC de .40 and a fenestration value of 1.2.


889


3 Results The results of the simulations are shown in Tables 5 and 6. Table 5 shows the results of the house with only one air conditioning unit for the master bedroom; table 6 shows the results of houses with 3 air conditioning units. The results from the simulation are the annual cooling electricity consumption (kW-h), total electricity consumption (kW-h), annual electricity costs and energy costs savings Table 5:

Results with one air conditioning unit.

A

Annual Cooling Electricity (kW-h) 819.72

Annual Total Electricity (kW-h) 5123.45

B

557.77

C

1147.65

Annual Energy Savings ($) none

Monthly Energy Savings ($) None

4843.23

1084.88

62.77

5.23

5.5

720.20

2882.93

645.78

501.88

41.82

47.3

D

713.25

2875.98

644.22

503.43

41.95

43.87

E

554.28

2717.01

608.61

539.04

44.92

46.97

F

751.21

2913.94

652.72

494.93

41.24

43.13

G

651.69

2814.42

630.43

517.22

43.10

45.0

H

803.78

2966.51

664.50

483.15

40.26

42.1

I

760.29

2923.02

654.76

492.90

41.07

42.95

J

807.78

2970.71

665.44

482.21

40.18

40.18

K

709.32

2872.05

643.34

504.31

42.03

43.9

L

819.72

2997.23

671.38

476.27

39.69

41.5

M

727.33

2879.63

645.03

439.85

36.65

43.8

Case

Annual Energy Cost ($)


Saving % n/a


Table 6:

Results with air conditioning at all living areas.

A

Annual Cooling Electricity (kW-h) 2053.52

Annual Total Electricity (kW-h) 6803.25

B

1058.07

C

1523.93

Annual Energy Savings ($) None

Monthly Energy Savings ($) None

5745.18

1286.92

237.01

19.75

15.55

1498.17

4107.34

920.04

603.88

50.32

39.63

D

1486.17

4094.90

917.26

606.67

50.56

39.81

E

1051.67

3660.40

819.93

704.00

58.67

46.20

F

1734.56

4343.29

972.90

551.03

45.92

36.16

G

1345.36

3954.09

885.72

638.21

53.18

41.88

H

1958.23

4566.96

1023.00

500.93

41.74

32.87

I

1405.21

4013.93

899.12

624.81

52.07

41.00

J

1997.23

4605.96

1031.74

492.19

41.02

32.30

K

1477.62

4086.35

915.34

608.59

50.72

39.94

L

2053.52

4677.03

1047.65

476.27

39.69

31.25

M

1495.35

4100.22

918.45

605.48

50.46

39.73

Case

Annual Energy Cost ($)

891

Saving % n/a

The results were analyzed also in graphs to see more clearly the comparison between all the cases. Figure 5 shows the annual energy savings for all the cases in terms of dollars. In Figure 6 you can observe the energy savings percents. The Figure 7 shows the house sale price variation, this values was obtained in collaboration with Home Builders Association. The Figure 8 show net benefit from the new design. All of these graphs were prepared with the results obtained from the study. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Annual Savings

Annual Savings $800.00 $600.00 $400.00 $200.00 $0.00

Figure 5:

Annual energy savings for the design cases in terms of dollars.

Energy Savings Percent 60.00% 40.00% 20.00% 0.00% Cool … … Cool …

9ft tall … Cool … Roof … Cool … Roof … IECC …

Cool … Cool … IECC … Baselin…

Figure 6:

Energy savings percent obtained by the simulation process.

Sale Price

House Sale Price Variation $25,000.00 $20,000.00 $15,000.00 $10,000.00 $5,000.00 $0.00 Cool … … Cool … 9ft tall … Cool … Roof … Cool … Roof … IECC … Cool … Cool … IECC … Baseline …

Figure 7:

Sales price for all cases. This value represents the investment in the new materials added for the constructions.



893

Figure 8:

50 0 ‐50 ‐100 ‐150 ‐200

Baselin… IECC … Cool … Cool … IECC … Roof … Cool … Roof … Cool … 9ft tall … Cool … … Cool …

Net Benefit

Net Benefit from New Designs

Net benefit obtained from the investment in the new designs.

3.1 Analysis of the results The results obtained were based solely on energy consumption and each modification was compared to both the baseline and case B which was the case when the IECC 2009 standards were applied. For the baseline the yearly energy consumption was 5123.45 kW-hr “see Table 5”, if the IECC were to be implemented the energy consumption would be reduced by 15%. This considerable reduction is difficult to achieve locally since most of the required materials are uncommon in the construction industry in Puerto Rico. Additionally, the increment in construction costs will affect sale prices and a possible decrease of sales will hurt the construction industry. One of the greatest contributor to the reduction in energy consumption is the use of solar water heater alone represents a total of 2,126 kW-hr or 37% in energy savings. From economic stand point solar water heaters have small Return of Investments (less than 2 years) and can be used on an annual basis in Puerto Rico therefore all the other models were done using this technology. Case G produces the highest energy saving at 45%, this case consists of a gabled roof, the application of insulation at the roof and an attic. The thermal resistance for this configuration is R-15E. The case selected for its energy savings and economic impact was case M which produces 41% in savings. For the simulations when the entire house is conditioned, as seen in Table 6 the baseline model showed an energy consumption of 6803.25 kW-hr. The most efficient case was case G again with energy savings totaling 41% and for the case M savings of 37% were modeled

4 Conclusions The results of the models used in this work showed possible energy savings that exceeded the savings estimated that the implementation of the IECC 2009 will have. The savings were attained without having to implement the suggested WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

894 Sustainable Development and Planning V thermal resistance value of R-30. Up to a 41% in energy savings was attained with a thermal resistance of R-15. The results from this study were used to develop the new energy standard at the most recent building code for Puerto Rico. We have shown in detail that the use of a solar water heater alone represents a significant energy saving. The recommendations were based also on the economical impact any alteration will have on the sale price. The final recommendation was case M which has the standard 5 in walls and roof, but an insulating reflective material is applied at the roofs thereby increasing the thermal resistance. The economical analysis part of this study was performed in order to validate the recommendations into the building code. Besides the solar water heater, all modifications to the structure or addition of new material will have a negative impact on the return of investment, but when combined with the solar water heater can be justified as an economical viable solution.

References [1] [2] [3] [4]

http://www.parro.com.ar/index.php http://www.energycodes.gov/implement/state_code/index.stm http://apps1.eere.energy.gov/buildings/energyplus/ Benitez, J.L. (200?); Impact Assessment of the Implementation of an energy Conservation Code for Low-Income Housing in P.R. [5] Ruiz, G. (2011). Nuevo código de construcción impone regulaciones más estrictas. El nuevo Día, 40-41. [6] Alva L. H., Gonzáles G.E. and Hertz J.B., Impact of construction materials in the energy consumption in homes in the Caribbean; International Solar Energy Conference, (2005) Orlando, Florida.



895

Fuel economy and emissions analysis of conventional diesel, diesel-electric hybrid, biodiesel and natural gas powered transit buses A. C. Nix, J. A. Sandoval, W. S. Wayne, N. N. Clark & D. L. McKain Center for Alternative Fuels, Engines and Emissions (CAFEE), Department of Mechanical and Aerospace Engineering, West Virginia University, USA

Abstract Alternative fuels, emissions control technologies and advanced propulsion technologies offer great potential for reducing emissions from, and increasing fuel economy of, buses employed in public transportation. The use of fuels such as Compressed Natural Gas (CNG) and biodiesel, emissions controls such as diesel particulate filters (DPF) and diesel oxidation catalysts (DOC), and the use of advanced propulsion systems such as hybrid-electric diesel have great potential for decreasing emissions from public transit vehicles and potentially increasing fuel economy. The focus of this paper is to assess the environmental benefits of alternative fuels and advanced hybrid drive technologies in transit vehicles through experimental testing and analysis. Results show that hybrid-electric diesel and CNG buses yield significant reductions in CO2 emissions, approximately 10-20% lower than conventional diesel. Stoichiometric CNG buses demonstrated extremely low emissions of NOx, while conventional, lean-burn CNG had the highest NOx emissions, approximately twice that of hybrid technologies and conventional diesel engines. The hybrid-electric technology demonstrated the highest fuel economy, while CNG has the lowest fuel economy. The use of a 20% biodiesel blend (B20) demonstrated no discernable differences in fuel economy, while showing slightly higher NOx emissions levels and significantly lower PM compared to conventional diesel. Keywords: transit buses, alternative fuels, hybrid-electric vehicles, fuel economy, emissions, emissions controls. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110741


1 Introduction Alternative fuels, emissions control technologies and advanced propulsion technologies offer great potential for reducing emissions from, and increasing fuel economy of, buses employed in public transportation. The use of fuels such as compressed natural gas (CNG) and biodiesel, emissions controls such as diesel particulate filters (DPF) and diesel oxidation catalysts (DOC), and the use of advanced propulsion systems, such as electric-hybrids, have great potential for decreasing emissions from public transit vehicles and potentially increasing fuel economy. The number of transit buses in the United States was 62,000 in 2009 and the fleet is increasing at a rate of approximately 1% per year [1]. In the U.S., transit buses account for approximately 44% of the passenger miles traveled and 73% of the fossil fuels consumed by public transportation [1]. Although at the macroscale level emissions from transit buses are small in comparison to the total emissions by motor vehicles, their impact at the microscale level (population exposure and related health effects) is significant as they operate in metropolitan areas, many of which are in non-attainment regions with respect to ambient air quality [1, 2]. The focus of this paper is to assess the environmental benefits of increased implementation of alternative fuels and advanced hybrid drive technologies in the U.S. transit bus fleet, which is applicable to bus transit fleets in cities around the world, in comparison to continued reliance upon diesel fuel, primarily to reduce tailpipe emissions of air pollutants harmful to public health and the environment. The West Virginia University (WVU) Center for Alternative Fuels, Engines and Emissions (CAFEE) has developed a comprehensive database of emissions and fuel economy measurements from various transit bus technologies through testing with their Transportable Heavy-Duty Vehicle Emissions Test Laboratory (THDVETL) [3]. The mobile laboratory has been employed to test vehicles for various public transportation authorities throughout North America, including the United States and Mexico. Data have been reported in various publications and reports over the past decade [1, 4–7]. The research has been sponsored by public transportation authorities, and U.S. government agencies including the Department of Transportation (DOT), Federal Transit Administration (FTA), Department of Energy (DOE) and Environmental Protection Agency (EPA). Characterization of vehicles was performed on a chassis dynamometer that simulated inertial, aerodynamic, and tire rolling resistance loads, based on vehicle acceleration and speed of a specific drive cycle (speed versus time schedule) [3]. WVU CAFEE has developed drive cycles for a wide range driving situations representative of vehicle use in transit bus operations. Testing was conducted in accordance with emissions test procedures set forth by the U.S. EPA in the Code of Federal Regulations Title 40 Part 86 Subparts B and N [8] and Part 1065 [9] and SAE recommended practice for testing of hybrid-electric vehicles [10]. The exhaust from each bus was routed to a full-scale dilution tunnel where gaseous and particulate emissions were sampled and measured. Analysis of data from the laboratory results in quantification of fuel economy WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


897

and emissions of oxides of nitrogen (NOx), carbon dioxide (CO2), carbon monoxide (CO), hydrocarbons (methane and non-methane hydrocarbons (NMHC)) and particulate matter (PM). Results and emissions trends are reported for 40 ft and 60 ft articulated buses of varying engine model year and propulsion technologies.

2 Drive cycles, coastdowns, and laboratory operation 2.1 Drive cycles In order to quantify the emissions and fuel economy of the test vehicles, the vehicles were driven on the engine dynamometer through a cycle representative of typical operation of the transit buses in revenue service. The transient speedtime schedule test cycle used to evaluate the exhaust emissions and fuel economy of the test buses for the current work was the Orange County Transportation Authority (OCTA) driving cycle. This cycle represents transit fleet operation near the Los Angeles metropolitan area. Data was also recorded for the Washington Metropolitan Area Transit Authority (WMATA) cycle; however, results for all buses in this study were only available on the OCTA cycle, so only this cycle was reported herein. The target speed versus time trace for the OCTA duty cycle is shown in Figure 1 below, with the relevant statistical properties. In general, the OCTA cycle compared to a cycle within metropolitan city limits (such as the WMATA cycle) is a higher speed cycle with significantly less idle time and correspondingly fewer stops per mile which impact emissions and fuel economy on a given vehicle. WVU faculty and students developed or assisted in the development of these cycles by installing GPS equipment and engine control unit (ECU) logging equipment on in-use buses to characterize their routes. During testing, the driver of the vehicle on the chassis dynamometer follows the speed versus time trace for the applicable cycle via a monitor installed in the vehicle. The speed set point trace is followed as closely as possible and the actual calculated vehicle speed is displayed.

Figure 1:

OCTA Duty cycles and cycle statistics.


898 Sustainable Development and Planning V The vehicle actual speed versus set point speed is analyzed post-test to determine whether the desired speed versus time cycle trace was met. This determination is made through a linear least-squares fit to the data and a slope near unity and high correlation coefficient (R2 of 0.995 or greater) indicated that the driver followed the scheduled trace as closely as possible. This ensures that there is little test-to-test variability in the vehicle cycle, which can affect emissions and fuel economy results. 2.2 Vehicle loading and coastdowns In order to accurately simulate the on-road operation of a transit bus in a stationary test, on-road vehicle loads were simulated using a chassis dynamometer directly connected to the drive hubs of each vehicle. Figure 2 below shows a transit bus being installed on the WVU chassis dynamometer. The simulated loads include vehicle inertia, aerodynamic drag and tire rolling resistance. Inertia was simulated using a combination of differently sized inertial flywheels that accurately reproduce the on-road inertia presented by the sum of the field-measured empty weight of the vehicle, one-half passenger load plus the driver (assuming 150 lbs per passenger) and one-half tank of fuel. Aerodynamic drag and tire rolling resistance simulation was accomplished by controlling dynamometer loading to achieve appropriate deceleration rates across the driving speed spectrum. Exhaust transfer Transit Bus

Emissions lab

Fly wheels

Hub connect for loading

Figure 2:

Chassis dyno

Transit bus installation on chassis dynamometer.

Dynamometer loading as a function of vehicle speed was determined by iteratively allowing the vehicle to coast from 50 miles per hour to a stop on the dynamometer while refining the dynamometer loading such that the coastdown profile matched a theoretical zero-grade (i.e. flat ground) coastdown profile determined using the frontal area of the bus and drag coefficient and tire rolling resistance coefficients typical for transit buses, as determined through extensive on-road coast down testing. The drag coefficient (Cd) and rolling resistance WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


899

coefficient () used in all testing were 0.79 and 0.008, respectively. These values are typical of transit buses and consistent with values used in previous test programs. Results of vehicle speed versus time from a typical coastdown run are included in Figure 3.

Figure 3:

Sample speed versus time trace during coastdown.

The speed versus time data of the coastdown is manipulated by determining the time rate of change of momentum (d(mV)/dt) of the vehicle which is balanced by the forces (air resistance and road friction) acting on the vehicle, as shown in Equation (1) below:

 F  ma  m

dV 1  FDrag  FFriction  V 2 A C d   mg dt 2

(1)

where m is the mass of the vehicle, V is the velocity of the vehicle (time dependent), t is time,  is the air density, A is the frontal area of the vehicle, Cd is the drag coefficient,  is the rolling resistance and g is the acceleration due to gravity. Note that the drive cycles do not include any grade, so there is no force contribution from the force of gravity acting on the bus on a grade other than that due to road friction. Rearranging this equation into a non-dimensional form yields: dV 1 1 V 2 A    Cd    mx  b dt g 2 mg

(2)

As shown in Equation (2), rearranging the force balance into this form yields an equation where M is the slope of a linear least-squares fit of a plot of dV/dt*1/g (y-axis value) vs. 1/2V2A/mg (x-axis value) and b is the intercept. Using the measured vehicle velocity on the chassis dyno, the calculated change in velocity with time, and the mass of the vehicle and frontal area, the linear fit to this data yields the drag coefficient (Cd) as the slope and the rolling resistance WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

900 Sustainable Development and Planning V () as the y-intercept, as shown in Figure 4. In the example, the drag coefficient (slope) is determined by the curve fit to be 0.79 and the rolling resistance is the intercept and is determined to be 0.008, the target values for this vehicle. Scatter in the plot at lower velocity represent vehicle gearshifts typical of an automatic transmission.

Figure 4:

Determination of lab drag coefficient and rolling resistance example.

3 Results and analysis 3.1 Emissions and fuel economy measurement Exhaust from each vehicle being tested was routed to a full-scale dilution tunnel where the exhaust was mixed with HEPA-filtered ambient air. A sample of the dilute exhaust was analyzed to determine the concentrations of carbon dioxide (CO2), oxides of nitrogen (combination of nitrogen dioxide and nitric oxide reported as NOX), carbon monoxide (CO) and hydrocarbons (HC). Procedures for calibrating, maintaining and operating the laboratory system contained in the United States EPA federal regulations (40 CFR Parts 86 and 1065) [8, 9] were followed throughout the test program. A separate sample of the dilute exhaust was diluted further using a secondary dilution system before being passed through a mircrofiber filter to collect particulate matter (PM) emissions. PM Filters are pre- and post-weighed in a climate-controlled clean room on a microbalance after being conditioned under identical ambient conditions (temperature and humidity). The mass of particulate matter for each test was determined by subtracting the weight of the clean filter from that of the filter after particulate matter had been collected on its surface. This mass is then corrected for the dilution ratio (the amount of exhaust flow going through the filter compared to the total exhaust flow of the vehicle and dilution tunnel) to determine the weight of PM emitted by the engine during the cycle. Fuel consumption was determined through two methods, gravimetrically and through a carbon chemical balance. For diesel and hybrid-electric diesel buses, WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


901

the diesel fuel for the bus was supplied from a drum on a calibrated fuel weight scale. Total weight of fuel consumed was determined by analysis of initial and final fuel weight of the drum. In order to determine volume of fuel used (for miles per gallon fuel economy determination), specific gravity of the fuel was measured in-field using a hydrometer kit. In addition to gravimetric analysis, fuel consumption was calculated using a chemical carbon-balance methodology, which typically was within 5% of the gravimetric calculated value. For CNG bus testing, fuel consumption was determined only through carbon-balance, since gravimetric analysis was not possible. All fuel economy (FE) data reported for the vehicles tested have been converted to #2 diesel energy equivalent in order to compare FE between vehicles employing different fuels. In order to convert from a given fuel, the total energy into the engine from the fuel and distance traveled are held constant, so fuel economy can be thought of in terms of kJ/mile. In order to convert from one fuel to the other, the heating value (LHV) or total energy per mass (kJ/kg) of the fuels needs to be considered, as well as the density of the fuel to convert from mass to volume of fuel used. A sample of the diesel and CNG fuels used during testing were analyzed for composition and heating value. Equation (3) below is an example of converting fuel economy from #1 diesel to #2 diesel. For CNG, the FE was converted to MPG using the density of the fuel at standard temperature and pressure (STP). FE [MPG # 2 Diesel]  FE [MPG #1 Diesel]

LHV# 2 Diesel  Density # 2 Diesel LHV#1 Diesel  Density #1 Diesel

(3)

For testing of hybrid vehicles, the state-of-charge (SOC) of the energy storage system (ESS) was logged by continuous measurement of battery voltage and current magnitude and direction. This was done in order to determine the net energy change (NEC) of the ESS over the course of the drive cycle. SAE J2711, “Recommended Practice for Measuring Fuel Economy and Emissions of HybridElectric and Conventional Heavy-Duty Vehicles” [10] requires correction of emissions and fuel economy data if the NEC is greater than 1% over the test cycle. The total net battery work was calculated by integrating the power (voltage x current) throughout the test cycle over time and dividing by the total cycle energy to determine NEC. If this percentage is above 5%, the test is invalid and must be repeated. For the reported data, all hybrid vehicles tests had a NEC of 1% or less, requiring no corrections to emissions or FE. 3.2 Fuel economy and carbon dioxide emissions results Fuel economy and CO2 results are shown in Figure 5. As discussed above, FE numbers are presented in energy equivalent #2 diesel gallons for comparative purposes between different propulsion technologies. Comparison of CNG (60 ft stoichiometric and 40 ft lean burn) and equivalent size hybrid buses reveals that fuel consumption for CNG is approximately 45-50% higher than for the hybrids, as shown in the FE results, while CO2 emissions were approximately equal. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

902 Sustainable Development and Planning V Compared to conventional diesel, CNG is shown to have approximately 25% higher fuel consumption. CNG contains less carbon per unit of fuel energy (LHV) than petroleum fuels and therefore produces less CO2 for a given required energy input. From fuel analysis, hydrogen to carbon (H-C) ratios were 1.81 for diesel and 3.85 for CNG, while lower heating values were 42.73 MJ/kg for diesel and 49.83 MJ/kg for CNG. A combustion analysis reveals that diesel fuel produces 15% more CO2 per unit mass of fuel and 34% more CO2 per unit energy (LHV) than CNG. The overall CO2 advantage of CNG is lower than that as diesel combustion achieves higher compression ratios (16:1-18:1) than CNG (10:1-12:1) with higher conversion efficiencies, and CNG buses are heavier than diesels. When compared with diesel, CNG fueled transit buses have been measured to produce up to 35% less CO2 emissions [11], in the current work this value was measured to be approximately 12%. Hybrid vehicles, on the other hand, take advantage of regenerative braking and improved engine operation to reduce fuel consumption. Interestingly, this advantage over diesel is shown to be approximately 20% for MY 2003-2006 buses, while the hybrid advantage of the new MY buses was measured as only approximately 5%, likely due to the increased weight of the newer hybrid buses. Another significant parameter to consider when comparing CNG and diesel buses is vehicle curb weight. A 40 ft CNG bus is 2,000 to 3,000 lb heavier than

Fuel Economy (mpg)

6 5

4.3

4

4.1

4.8 4.2

4.0

4.0

3.3

3

3.2 2.3

2 1 0 4,000

CO2 (g/mi)

3,000

3,092 3,038 2,340

2,470

2,433

2,543 2,544 2,103

2,246

Hybrid Diesel B20

CNG Lean Burn

2,000 1,000 0

Hybrid CNG Stoich. 60 ft - MY 2007-2009

Figure 5:

Hybrid Diesel B20

40 ft - MY 2007-2009

40 ft - MY 2003-2006

OCTA Cycle fuel economy and CO2 emissions.



903

the conventional diesel counterpart. CNGs and diesel-hybrids, on the other hand, have equivalent weights; in the CNGs the extra weight comes from the high-pressure fuel tanks while in the hybrids it is attributed to the hybrid battery pack. Considering all of these factors together make the CO2 advantage, comparing against the conventional diesel baseline, from the hybrid architecture equivalent to the advantage from the CNG technology. This conclusion holds for both of the CNG technologies studied, lean burn and stoichiometric. The impact of biodiesel fuel on FE was not significant. The difference in heating value between B20 (20%/80% blend of biodiesel and diesel) and diesel fuels was less than 2%. Similar results were obtained for CO2 emissions. Even though tailpipe CO2 emissions from diesel and B20 biodiesel fueled buses were equivalent, the potential of biodiesel blends is the reduction of “well-to-wheel” carbon dioxide emissions, which includes fuel production, shipping, etc. Being a feedstock based fuel; biodiesel reduces the net carbon footprint when compared to petroleum diesel. A “well-to-wheel” analysis, performed with GREET software from U.S. Argonne National Laboratory, reveals that the B20 blend has the potential of reducing the CO2 footprint by 15%. 3.3 Regulated emissions results Figure 6 presents regulated emissions (NOx, PM, HC and CO) for the test vehicles. NOx emissions for 40 ft, model year (MY) 2003-2006 buses were higher for the CNGs, followed by biodiesel, diesel, and hybrid with the lowest. NOx emissions were slightly higher for B20 than for diesel, but without statistical significance (as shown by the error bars). Introduction of lower NOx certification engines (2007-2009) reduced NOx by nearly 40% from the earlier B20 and diesel levels, while the reduction was marginal for the hybrids. The effect on regulated emissions of employing B20 biodiesel is also demonstrated in Figure 6. The differences are seen primarily in the NOx and PM emissions, while HC and CO had low values for both B20 and diesel. Employing B20 increased NOx emissions slightly, approximately 10% for MY 2003-2006 buses and 5% for newer MY buses. PM emissions decreased nearly 20% on older MY buses that have significantly higher PM emissions than 2007 and later MY vehicles equipped with more advanced diesel particulate filters (DPFs). The decreases in PM for newer MY buses is approximately 50%, but for both diesel and B20, the PM levels are extremely low. Implementation of DPFs on post 2007 buses brought PM emissions levels to near zero values. The MY 2003-2006 diesel hybrid was also DPF equipped, as evidenced by the low PM values measured. Hydrocarbon emissions from diesel buses also had near zero values while they were significant from CNGs. The DPFs also react on carbon monoxide emissions, with extremely low measured values. The CNG stoichiometric combustion showed CO emissions levels 50 times higher than the lean burn CNG combustion buses. This was not expected, as the stoichiometric CNG buses have a 3-way catalyst that is used in rich-burn or stoichiometric engines for simultaneous conversion of oxides of nitrogen (NOx), carbon monoxide (CO) and hydrocarbons (HC). WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

904 Sustainable Development and Planning V 25

20.9

NOx (g/mi)

20 15

13.1

12.7 9.1

10

7.9

8.2

13.9

9.7

5

0.7 0 0.7

PM (g/mi)

0.6

0.507

0.5

0.415

0.4 0.3 0.2 0.1

0.010 0.012

0.009

0.024

0.014

0.045

0.023

0.0 25

THC (g/mi)

20

16.9 13.6

15 10 5 0

0.0

0.2

0.1

0.3

2.0

1.3

160 140

119.1

CO (g/mi)

120 100 80 60 40 20 0

0.2

0.1 Hybrid CNG Stoich.

60 ft - MY 2007-2009

Figure 6:

0.1

Hybrid Diesel

0.1 B20

40 ft - MY 2007-2009

Hybrid Diesel

2.0

B20

CNG Lean Burn 40 ft - MY 2003-2006

OCTA Cycle distance-specific emissions.

A direct comparison between the lean burn and stoichiometric CNG buses is complicated by the fact that the vehicles were of different size (40 ft vs. 60 ft). As a method of comparison, the total emissions were normalized by engine work (in break horsepower-hours), as shown in Figure 7. It should be noted that both Figures 7 and 8 have been scaled to plot different emissions magnitudes on the same plot. Figure 7 shows a 20% increase in brake-specific CO2 emissions for the stoichiometric engine compared to the lean burn strategy. This result is due to incomplete combustion and to the higher combustion temperature that leads to higher heat losses in the stoichiometric engine [12]. The 3-way catalyst on the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


905

stoichiometric bus resulted in a reduction of 97% in NOx emissions, 80% in PM, and 40% in HC. Figure 8 presents a comparison with regard to ridership between standard (40 ft) and articulated (60 ft) hybrid buses, MY 2007-2009. Emissions are in grams per passenger-mile and fuel consumption (FC) in gallons per passengermile. The figure shows that implementation of articulated routes can yield a reduction of 15% in fuel consumption per passenger-mile at half seated occupation. The improvement can be as high as 25% with full load. The effect on CO2 is equivalent to the effect on FC; the reductions shown on other emissions are within the experimental uncertainty.

Brake-Specific Emissions (g/bhp-hr)

6

Lean Burn

5 4 3 2 1 0

CO2 · 0.01

Figure 7:

Stoichiometric

CO · 0.1

NOx

HC

PM · 100

Scaled brake–specific emissions for lean burn and stoichiometric CNGs. Emissions and F.C. per Passenger - Mile

1.4

40 ft

1.2

60 ft

1.0 0.8 0.6 0.4 0.2 0.0

F.C. · 100

Figure 8:

CO2 · 0.01

CO · 100

NOx

PM · 1000

Standard versus articulated bus comparison.

4 Experimental uncertainty Experimental uncertainty of the emissions and FE data reported in this paper is a function of bias uncertainty and measurement uncertainty. Bias uncertainty is a function of errors in the measurements devices (analyzers, thermocouples, flow meters, etc.), while measurement uncertainty is a function of test-to-test variability, either from test conditions or human error. Since the reported results are comparative and the laboratory equipment and procedures are consistent between the various vehicles and cycles tested, the bias uncertainty is essentially the same for all tests and does not present a significant contribution to WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

906 Sustainable Development and Planning V uncertainty. Measurement uncertainty was determined through analysis of the experimental values for repeat tests for a specific vehicle and cycle. Absolute values were determined through margin of error analysis, m.e.  t *   / n [13], where m.e. is margin of error, σ is standard deviation, n is number of tests, and t* is the t distribution critical value corresponding to n – 1 degrees of freedom and a confidence level of 95%. Relative values (%) were obtained with the margin of error relative to the average. Uncertainty is reflected in the reported emissions and FE results in Figures 5, 6, 7 and 8 with error bars. Average uncertainty in fuel economy and CO2 emissions was estimated to be 4%, with individual values ranging from 2% to 9%. This was the case when 3 tests were done; on the other hand, when 4 or 5 tests were performed, uncertainty in fuel economy and CO2 emissions was reduced to 1% to 2%. The uncertainty levels on a percentage basis for NOx, CO, and HC emissions were dependent on the magnitude of the corresponding species. With tightening emissions regulations and new technologies having very low emissions values, tailpipe emissions can differ from one to two orders of magnitude between technologies. The lower end of the spectrum presents a high percentage uncertainty while uncertainty for the high end is lower. Uncertainty in NOx emissions was estimated to be 5% when distance specific emissions were on the order of 1 to 10 g/mile, and 30% where they were of order 0.1 g/mile. Average PM emissions uncertainty was around 30%, although it should be noted that due to the diesel and hybrid vehicles being equipped with particulate filters and CNG vehicles having extremely low PM emissions, the uncertainty in PM measurement is high. All post 2007 diesel buses, which were DPF equipped, presented HC emissions below the detection limit of the test bench, and thus uncertainty was not determined. HC emissions for the CNG buses and the 2003-2006 diesel oxidation catalyst (DOC) equipped diesel buses had an average uncertainty of 30%. Uncertainty in carbon monoxide was high due run-to-run variation that is likely due to variations in the efficiency of the catalyst from test to test.

5 Conclusions and recommendations The current work presents fuel economy and emissions results for conventional diesel, diesel-electric hybrid, biodiesel and natural gas powered transit buses. The primary focus was to present the benefits in fuel economy and potential decreases in CO2 (a greenhouse gas (GHG)), as well as reporting the emissions levels of other regulated emissions, including NOx (an indirect GHG). Results showed that hybrid-electric diesel and CNG buses yield significant reductions in CO2 emissions, approximately 10-20% lower than conventional diesel. Stoichiometric CNG buses demonstrated extremely low emissions of NOx, while lean burn CNG had the highest NOx emissions, approximately twice that of hybrid technologies and conventional diesel engines, which have approximately the same levels of NOx. Fuel economy of the various technologies was compared on a #2 diesel basis. As expected, the hybridelectric technology demonstrated the highest fuel economy, while CNG has the lowest fuel economy. When compared on a per passenger basis, the 60 ft WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


907

stoichiometric CNG buses showed a 15-20% lower fuel consumption (gal/passenger-mile), and 20% lower CO2 emissions (grams/passenger-mile) than the 40 ft lean burn CNG buses, demonstrating the value of employing 60 ft articulated buses in transit service. The use of biodiesel (B20) demonstrated no discernable differences in fuel economy, while showing slightly higher NOx emissions levels and significantly lower PM compared to conventional diesel. A well-to-wheel analysis revealed that the B20 blend has the potential of reducing the CO2 footprint by 15%, although differences in CO2 emissions from diesel engine combustion are within the measurement uncertainty. With the advent of the advanced bus technologies presented in this paper, the only emissions that remain relevant, with any significant emission levels are CO2 and NOx. Emissions levels of HC and CO were demonstrated to be near zero for all technologies with the exception of the CNG buses. PM emissions were shown to be extremely low for all vehicles except the older MY diesel buses. The recommendations on choice of the optimal vehicle technology resulting from this work are complicated by the dependency on average driving cycle for specific application and economics of vehicle purchase. However, one key aspect is the need to look at emissions and FE on a per passenger basis. The current work presented data for a single drive cycle (OCTA) only. The data from this program have been added to the extensive database of emissions data maintained by the WVU CAFEE. In order to perform an analysis including economics of vehicle purchase, WVU has developed an Integrated Bus Information System (IBIS) database [14] online and will be developing a lifecycle cost (LCC) model website under funding from U.S. Federal Transit Administration (FTA). Application of the LCC model and analysis of the effects of vehicle drive cycle to the current data set are planned as a potential future publication.

Acknowledgements The authors would like to acknowledge the support of the Washington Metropolitan Area Transit Authority (WMATA), the Central Florida Regional Transportation Authority (LYNX), the U.S. Department of Transportation (DOT)-Federal Transit Administration (FTA) and the U.S. Department of Energy (DOE) in conducting this research. We would especially like to acknowledge the support and assistance of Mr. Vernon Lyght and WMATA in providing the test site and vehicles comprising the majority of the research contained in this work.

References [1] Wayne, W.S., Sandoval, J.A. & Clark, N.N., Emissions Benefits from Alternative Fuels and Advanced Technology in the U.S. Transit Bus Fleet. Energy & Environment, 20 (4), pp. 497–515, 2009. [2] Gouge, B., Ries, F.J. & Dowlatabadi, H., Spatial Distribution of Diesel Transit Bus Emissions and Urban Populations: Implications of Coincidence WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


[3]

[4]

[5]

[6]

[7]

[8] [9] [10]

[11]

[12] [13] [14]

and Scale on Exposure. Environ. Sci. Technol., 44 (18), pp 7163–7168, 2010. Wu, Y., Carder, D.K., Shade, B.C., Atkinson, R.J., Clark, N.N. & Gautam, M., A CFR1065-Compliant Transportable/On-Road Low Emissions Measurement Laboratory with Dual Primary Full-Flow Dilution Tunnels. Proc. of the ASME 2009 Internal Combustion Engine Division Spring Tech. Conf., pp 399–410, 2009. Kahn, ABM S., Clark, N.N., Wayne, W.S., Thompson, G.J., Gautam, M. & Lyons, D.W., Regulated and Non-Regulated Emissions and Fuel Economy from Conventional Diesel, Hybrid-electric Diesel and Natural Gas Buses. Journal of the Transportation Research Forum, 47(3), pp. 105–126, 2008. Clark, N.N., Rivero-Borrell, E., McKain, D., Paramo, V.H., Wayne, W.S., Vergara, W., Barnett, R., Gautam, M., Thompson, G.J., Lyons, D.W. & Schipper, L., Evaluation of Emissions from New and In-Use Transit Buses in Mexico City. Transportation Research Record, 1987, pp. 42–53, 2006. Clark, N.N., McKain, D.L., Sindler, P., Jarrett, R., Nuszkowski, J.P., Gautam, M., Wayne, W.S. & Thompson, G.J., Comparative Emissions from Diesel and Biodiesel Fueled Buses from 2002 to 2008 Model Years. SAE Technical Paper Series, 2010-01-1967, 2010. Clark, N.N., Prucz, J.C., Gautam, M. & Lyons, D.W., The West Virginia University Heavy Duty Vehicle Emissions Database as a Resource for Inventory and Comparative Studies. SAE Technical Paper Series, 2000-012854, 2000. Code of Federal Regulations. Title 40: Protection of Environment, Part 86: Control of emissions from new and in-use highway vehicles and engines. U.S. Government Printing Office, Washington DC, 2006. Code of Federal Regulations. Title 40: Protection of Environment, Part 1065: Engine Testing Procedures. U.S. Government Printing Office, Washington DC, 2006. “Recommended practice for measuring fuel economy and emissions of hybrid-electric and conventional heavy-duty vehicles. SAE J2711. Surface Vehicle Recommended Practice.” SAE International Publications, Warrendale PA, 2002. Melendez, M., Taylor, J., Zuboy, J., Wayne, W.S. & Smith, D., Emission Testing of Washington Metropolitan Area Transit Authority (WMATA) Natural Gas and Diesel Transit Buses. NREL/TP Technical Report 54036355, Golden, CO, 2005. Faiz, A., Weaver, C.S. & Walsh, M.P., Air Pollution from Motor Vehicles: Standards and Technologies for Controlling Emissions, The World Bank: Washington DC, pp. 197, 1996. Moore, D.D. & McCabe, G.P., Introduction to the Practice of Statistics, Fifth Edition, Freeman: New York, pp. 452, 2006. http://ibis.wvu.edu/



909

Street lighting power reduction potential in Lithuanian cities R. Balsys1, K. Otas1, A. Mikulionis1, V. J. Pakėnas1, A. Vaškys1, P. Vitta2 & A. Žukauskas2 1

Department of Electrical Engineering, Kaunas University of Technology, Lithuania 2 Institute of Applied Research, Vilnius University, Lithuania

Abstract Purpose of this paper is to evaluate the current street lighting condition and energy saving possibilities using new light emitting diode (LED) technologies in the main cities of Lithuania. The power consumption evaluation model has been used for comparison of current high-pressure sodium (HPS) lamp technology and available LED technologies. The model enables to evaluate luminous flux losses as well as electric power losses. The calculations have been carried out for the largest Lithuanian cities and the following conclusions have been made. The current HPS technology was implemented in towns about 10–15 years ago. Now the life time of those luminaries is being expired. So the renovation of street lighting systems would be necessary in the nearest future. It was determined that the implementation of LED technologies (due to higher efficiency of LEDs, smaller energy losses in luminaire optics, more effective distribution of luminous flux and other advantages) enables to achieve electric power reduction by 20– 60%. This mostly depends on power of the HPS lamp to be replaced and the quality of LED luminaires. The expedience of the current luminaire replacement by LED luminaire depends on the street lighting condition characteristics such as type and power of luminaire, maintenance duration and others. Most energy efficient replacement by LED luminaires should be carried out in the narrow residential streets where luminance levels exceed the requirements of standards now. Keywords: street lighting, power reduction, LED lighting.



1 Introduction A certain electric power of lighting system is being consumed to produce some useful luminous flux for city street lighting. The efficiency of the whole street lighting system may be evaluated using ratio of useful luminous flux for street lighting to required electric power of lighting system for production of the mentioned flux. This criterion may be used either for comparison of different street lighting systems [1, 2] or for the estimation of power reduction potential of renovated street lighting. The efficiency of street lighting system is determined by luminous flux losses as well as electric power losses that depend on technical parameters and quality of lighting system particular components. The engineering factor i.e. capability of optimum choice and use of possible street lighting technologies is of great importance too.

2 Estimation of street lighting system efficiency The efficiency of street lighting system is closely related to losses emerging during conversion of electric energy into useful light energy. They are caused by electric and luminous energy transmission, transformation, conversion and distribution and also due to particularity of light source radiation spectrum. Engineering decisions for lighting system also have influence to efficiency. Analysing street lighting system efficiency it is expedient to distinguish luminous flux utilization efficiency, light source luminous efficacy and electric power supply efficiency. 2.1 Luminous flux losses The useful luminous flux (e) incident on road surface should ensure the road surface luminance value according to the standards [3]. A part of luminaire luminous flux (d) uselessly dissipates into environment making losses. Dissipation loss factor evaluates this part of luminous flux:

Cd   d /  e

(1)

The value of this factor depends on luminaire luminous intensity distribution and luminaire position with respect to the road and can change in wide range. In a similar way the light flux losses in luminaire optical system have been evaluated by means of optical system loss factor (Co). Furthermore during maintenance the optical properties of luminaries depreciate making extra luminous flux losses that usually are being taken into account in design stage and in this article they have been evaluated using factor (Cp). All these factors increase the required initial light flux of light sources (s) that may be expressed:

 s   e (1  Cd )(1  Co )(1  C p ) WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

(2)


911

The luminous flux loss factor values of street lighting system are being defined according to luminaire technical characteristics and street lighting condition i.e. spacing, luminaire installation height, street width and the combination of the mentioned parameters. The reduction of luminous flux losses may be achieved using ingenious engineering decisions and their proper implementation. The luminaire optical system quality and maintenance conditions have influence on these factors. 2.2 Light source efficiency Light source luminous efficacy (s) has essential influence on the efficiency of the whole street lighting system. Up to now the changes of street lighting technologies from incandescent lamp to high-pressure mercury vapour lamp and further to high-pressure sodium vapour lamp enabled to increase lamp luminous efficacy more than twice. It was the main reason that enabled to reduce the street lighting system power since light source power (Ps):

Ps   s /  s

(3)

Upcoming LED technologies also predict similar achievements in the nearest future [1]. Since LED technology also has other advantages. So the best versions of LED technology may already successfully compete. Light source luminous efficacy decreases during maintenance and causes the same depreciation in luminous flux assuming that the source power is constant. Due to the mentioned depreciation the source power use is increased at the initial maintenance stage. Dimming possibility enables to reduce lighting system power (Pm) at the initial maintenance stage. 2.3 Electric power losses These losses emerge due to energy losses in lamp supply circuits and electric energy supply network. HPS lamp luminaires including standard electromagnetic ballasts and separate street lighting electrical network are being used in the lighting systems of the main Lithuanian cities. A part of luminaires are being supplied through group power regulators (dimmers) varying voltage value. So electric power losses emerge in light source ballasts or supply electric circuits (Pb), in electric power network (Pn) and in group dimmers (Pc) if they are being in use. In this article the losses mentioned above have been estimated by the correspondent loss factors Cb, Cn and Cc. The power consumed by street lighting system has been calculated according to the equation:

P  Ps (1  Cb )(1  Cn )(1  Cc )


(4)

912 Sustainable Development and Planning V Such loss calculation method enables to show the influence of each loss component on the whole lighting system efficiency. Using expressions (2), (3) and (4) it may be calculated:   e / P (5) These expressions may be quite precisely applied for the separate parts of lighting system that have equal and known parameters and the mentioned loss factors are quite exactly determined. For example, for the certain type and the same power HPS lamp luminaries installed and maintained under the same conditions. Many different luminaires are being maintained in the Lithuanian city lighting systems. So it is expedient to use the generalized statistical average values of loss factor applied to luminaires of the certain power following the whole lighting system division into parts according to HPS luminaire power. Similarly the LED luminaires of the same parameters should be grouped. For example, luminous efficacy of different spectrum LEDs differs considerably so they should be divided into separate groups.

3 Current street lighting of Lithuanian cities During last 10-15 years the HPS lamp luminaires have been implemented in street lighting of Lithuanian cities and metal halide luminaires are being in use for architectural or pedestrian zone lighting. The other type luminaires such as fluorescent, mercury or incandescent make very small part and are being in use for underground crossing lighting or are still have not been replaced yet. Building of new streets or reconstruction usually includes lighting design and luminaire installation on special poles according to the European standards [3]. However during renovation of street lighting in residential districts with individual houses the aerial electric network reinforced-concrete poles are being used as lighting poles too. Their spacing is not suitable for lighting purposes so considerable light flux losses emerge. 3.1 Light system characteristics of the largest cities Lighting systems of five largest Lithuanian cities (capital Vilnius, Kaunas, Klaipėda, Šiauliai and Panevėžys) have been analysed in this work. Their inhabitant number makes about 40% of that of Lithuania. The lighting system luminaire parameters of vehicle traffic streets are presented in table 1. The luminaires for other lighting purposes i.e. for lighting of pedestrian zones, parks, underground crossings, objects of architecture are not included. More than 98% of street lighting luminaires in these cities make the high-pressure sodium lamp luminaires. The total power of the mercury lamp luminaires in the mentioned cities is only 292 kW or about 2% of the total power of the lighting systems.



Table 1: City Vilnius Kaunas Klaipėda Šiauliai Panevėžys

913

Lighting system characteristics of Lithuanian cities.

Number of inhabitants, (thousands) 549 349 183 125 112

Area, (km2) 401 157 98 88 50

Length of lightened streets (km) 691 807 563 280 270

Quantity of luminaires (pcs) 36696 24214 13273 11481 7150

Power of luminaires (kW) 5194 3227 2204 1601 797

3.2 Condition of city lighting systems The development of street lighting during last 15-20 years has been analogous in all Lithuanian cities. Since formerly energy has not been saved, the 250 W power mercury lamp luminaires and also incandescent lamp luminaires have been used almost in all the streets. The city municipalities have been incapable to pay electric energy charges and street lighting has been switched on only part of the night time. In addition the considerable lighting power overloaded the street lighting electrical network caused frequent network failures increasing maintenance expenses. Therefore in order to ensure street lighting during entire dark time of night the decision to decrease the lighting system power has been made. Vilnius city commenced the replacement of mercury lamp luminaires the first. Kaunas and other cities followed a little later. 3.2.1 Street lighting of Vilnius city In Vilnius the inefficient and quite powerful mercury lamp luminaires have been replaced by HPS lamp luminaires 15 years ago. Lighting control and electrical network have not been changed. So the possibilities of power decrease became insignificant and energy saving has been carried out by switching off one phase at night. Thus the power of 3743 kW lighting system part has been decreased about 1250 kW at night. However such an energy saving inadmissibly deteriorates the quality of street lighting. Carrying out the last renewal the quality of installed luminaires has not been the best. Consequently the new renovation of Vilnius street lighting system already is necessary. 3.2.2 Street lighting of Kaunas city Kaunas street lighting system has been renovated later. Ten years ago the major part of mercury lamp luminaires has been replaced by sodium lamp luminaires having carried out lighting engineering and electrical network design. However the major part of electrical network has not been renewed. After renovation the halved power has been consumed although due to the lack of funds a part of luminaires (232 kW or about 7%) still has not been replaced. The lighting system power having been reduced in Kaunas city no luminaires have been switched off at night. In 2010 year street lighting in Kaunas city neither has not been dimmed nor switched off at night since electric energy consumption after renovation has been reduced [5, 6]. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

914 Sustainable Development and Planning V 3.2.3 Street lighting of other cities In Klaipėda, Šiauliai and Panevėžys almost all streets are being lightened with HPS lamp luminaires. Only in Šiauliai city 103 mercury lamp luminaires are in use. Their total power is 14 kW and does not reach 1% of the street lighting system total power. Power reduction at night is being carried out by switching off a part of luminaires or using group dimmers that change the supply voltage. The data are presented in table 2. Table 2: City Klaipėda Šiauliai Panevėžys

Power reduction of lighting system.

Power of dimmed luminaires (kW) 940 319

Power of luminaires being switched off (kW) 524 800 314

4 Evaluation of lighting system efficiency Lighting system efficiency has been evaluated by ratio of street lighting useful luminous flux to lighting system power necessary for generation of the mentioned flux. The assumed value of the useful luminous flux in this work has been 1000 lm. The electric power required for the generation of this flux has been deduced having taken into account the possible luminous flux losses, light source luminous efficacy and electric losses evaluated by means of factors described above. For this purpose the lighting system model has been made ensuring a possibility to vary the factors of losses under consideration according to the current parameters of lighting system. The lighting systems including the mercury QE (80, 125 and 250 W) lamp and sodium ST (70, 100, 150, 250 and

Figure 1:

Light source luminous flux distribution dependent on lighting system.



915

400 W) lamp luminaires without dimming have been analysed. The system including 150 W sodium lamp luminaires supplied from group dimmers (version ST 150 C) also have been under consideration. Using the same procedure two new lighting systems i.e. average level present-day LED lighting system (LED) and possible advanced LED lighting system (LED A) have been analysed. The comparable calculation results of lamp luminous flux necessary to have useful flux of 1000 lm according to the dependence (2) are presented in Fig. 1. The comparable calculation results of electric power necessary to produce the same useful flux according to the dependence (4) are presented in Fig. 2.

Figure 2:

Dependence of consumed power to produce useful 1000 lm flux on lighting system.

Efficiency of street lighting system including HPS luminaires considerably depends on installed lamp power. The more powerful lamp unit the less electric power is required to produce the same amount of useful luminous flux. This is caused by increased lamp luminous efficacy, reduced luminous flux dissipation losses and energy losses in ballast. The efficiency of LED lighting systems does not depend on power of luminaire unit since it is collected varying the separate small power LED number. LED lighting systems enable to reduce luminous flux losses and their rapid development also reduces losses in supply circuits that have been estimated as ballast losses in this work. Light source luminous efficacy has the main importance in LED lighting systems. It changes recently very rapidly and its value should be specified evaluating lighting system efficiency. In this work the luminous efficacy of LED has been assumed equal to 80 lm/W (case LED) and 130 lm/W (case LED A). As it is shown above the major part of Lithuanian city lighting systems includes sodium lamps and only a small part includes mercury lamps. The possibilities of power reduction in separate Lithuanian cities by using of LED lighting technologies during lighting system renovation have been estimated by means of comparable calculation results within the current situation. The extra WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

916 Sustainable Development and Planning V power reduction possibilities by dimming at night have not been analysed in this work. Evaluation results show the current average quality LED technologies enable to reduce lighting system power only if mercury lamp luminaires or low power (70 or 100 W) sodium lamp luminaries are being replaced. Even replacement of 150 W sodium lamp luminaires does not reduce system power especially if group dimmers have been used. For the current city lighting system structure the result of total power reduction is negative too (Table 3). Table 3:

Lamps

Luminaire power consumption reduction by using of LED technologies in Lithuanian cities (for all considered cities). Quantity of luminaires (pcs)

Power (kW)

41043 9194 28951 11189 842 186 685 498 92588

3376,3 1060,7 4879,3 3086,8 368,3 16,6 97,6 132,9 13018,5

ST 70 ST 100 ST 150 ST 250 ST 400 QE 80 QE 125 QE 250 Total

Power reduction (LED case)

Power reduction (LED A case)

kW

%

kW

%

881,0 117,6 -631,1 -843,4 -180,2 10,3 56,3 69,2 -520,3

26,1 11,1 -12,9 -27,3 -48,9 62,0 57,7 52,1 -4,0

2186,2 610,9 2251,2 1212,3 106,7 13,6 77,9 102,5 6561,3

64,8 57,6 46,1 39,3 29,0 81,9 79,8 77,1 50

Results of the current city street lighting system replacement by LED A (advanced) technology luminaires show that for all luminaire unit power cases the system power reduction has been obtained and the average power reduction has reached 50%. Analysing the separate cities (table 4) it can be seen that implementation of the current LED technologies is not useful for Klaipėda city since there are no mercury lamps there and considerable part of luminaires (940 kW) is being supplied from group dimmers. Only in Kaunas city this technology enables to reduce the lighting system power by 119 kW. In the rest cities the possibilities of power reduction are negative. Table 4: City Vilnius Kaunas Klaipėda Šiauliai Panevėžys

Luminaire power consumption reduction by using of LED technologies in separate Lithuanian cities. Power reduction (LED case) kW % -178,4 -3,4 118,9 3,7 -438,2 -19,9 -1,4 -0,1 -7,1 -0,9

Power reduction (LED A case) kW % 2632 50,7 1745 54,1 944 42,8 837 52,3 414 51,9



917

Another result would be obtained using advanced LED A technologies. In this case all the Lithuanian cities could reduce street lighting system power about two times. Relatively the power could be reduced mostly in Kaunas city (54%) and the least effect would be in Klaipėda (42%).

5 Conclusions Proposed street lighting system efficiency evaluation model enabled to carry out the current street lighting system analysis for the largest Lithuanian cities and to estimate their efficiency. Street lighting system power reduction potential using the current average quality LED technologies and the advanced LED A technologies have been analysed. It is determined the current LED technologies enable to reduce the lighting system power by replacing mercury lamp luminaires or low power (70 or 100 W) sodium lamp luminaires only. Considering the current street lighting system structure of main Lithuanian cities, the total system power could not be reduced using average quality LED technology. The lighting system power reduction by approximately 50% is possible using advanced LED A technology only.

Acknowledgement This research was funded by a grant (No. ATE-09/2010) from the Research Council of Lithuania.

References [1] Eclairage public, Recommandations aux authorites communales et aux exploitants de reseaux d‘eclairage http://www.energieeffizienz.ch/files/SB_ Flyer_2009_f.pdf [2] Gestion et LED, Eclairage public, Recommandations aux authorites communales et aux exploitants de reseaux d‘eclairage http://www.energieeffizienz.ch/files/SB_Flyer_2010_f.pdf [3] EN 13201-2:2003, Road lighting - Part 2: Performance requirements, p 20. [4] LEDs: roadmap pour les annees a venir, http://www.led-fr.net/led-roadmap2010022510106.htm. [5] Balsys, Ramūnas; Mikulionis, Albertas; Pakėnas, Valdas Jonas; Vaškys, Alfonsas. Prospects of renovation of the Kaunas street lighting system//Electrical and Control Technologies - 2006 : selected papers of the international conference, May 4-5, 2006, Kaunas, Lithuania. - ISSN 1822-5934. -Kaunas. -2006, p. 114-118. [6] Balsys, Ramūnas; Mikulionis, Albertas; Pakėnas, Valdas Jonas; Vaškys, Alfonsas. Possibilities of renovation of Kaunas street lighting // Electrical and Control Technologies - 2007 : selected papers of the 2nd international conference, May 3-4, 2007, Kaunas, Lithuania /. - ISSN 1822-5934. Kaunas. - 2007, p. 163-166. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)



919

Biomass pellets production with industrial and agro-industrial wastes J. C. A. R. Claro & D. Costa-Gonzalez Centro de Química – Vila Real / Departamento de Química, Universidade de Trás-os-Montes e Alto Douro, Portugal

Abstract Based on a patented process for the treatment and reprocessing of waste and effluents from olive oil and cork industries (such as two-phase olive husks cork powder), new research has been carried out incorporating other industrial wastes. In previous research, using only olive oil and cork wastes, we obtained biomass pellets with high calorific values (20.6 MJ/kg and 22.2 MJ/kg), low moisture (8.9%) and relatively low ashes percentage (3.9%). Several new formulations and its relevance in the calorific value were now tested using other wastes or by-products. We have analysed the potential inclusion of olive leaves from the olive oil industry, grape husks and grape seeds from the winery industry and chestnut shells (outer shell and inner skin) from the chestnut industry. This process will contribute to solving environmental problems resulting from the discharge of those wastes and effluents and to create a viable and profitable alternative to their storage and/or a deposition in landfill. The increase of others biomass sources on these types of process is extremely important as an environmental and economic management point of view. This research shows that the use of different types of raw materials as biomass sources (giving different pellets formulations) results in a different final product with different physical and chemical characteristics that may improve its quality. Keywords: biomass pellets, olive wastes, cork wastes, food industry wastes.

1 Introduction Company strategies are now becoming increasingly focused on factors for increasing productivity which also profess to be “environmentally-friendly.” WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110761

920 Sustainable Development and Planning V The reprocessing of wastes and by-products is therefore at the top of corporate concerns. Given the strategic importance that the olive oil sector represents for Mediterranean countries, these production and transformation units must not disregard this new attitude. In this context this process could be important to biomass industries and constitutes a very important technological platform internally for olive oil companies, launching them into a strategic framework characterised by an increase in productivity, a cleaner and more environmentally-friendly production that will become an important contribution to the sustainability of the sector. Olive oil can be obtained by three processes each of which includes the phases of weighing, washing of the olives, warehousing and milling (or grinding). The traditional process involves a pressing phase of the olives followed by a decantation/centrifugation which produces husks and olive mill wastewater in addition to the olive oil. More modern methods include, a “beating” process replacing the pressing, followed by an “extraction” in horizontal centrifuges. Water is added during these last two phases to facilitate the separation of the olive oil. These more modern methods consist of: Phase 1: Here the effluents are the same as those in the traditional method (husks and olive mill wastewater which are separate); Phase 2: This process results in a single effluent, known in the industry as “humid husks” or a “paste” (the result of the husks mixed together with the olive mill wastewater). Most of the olive oil currently produced uses the two production processes above. There are also production units known as “husk oil extraction units” which extract some of the remaining olive oil from the “husks” or “humid husks”. In any case and irrespective of the method used, all the units generate waste and effluents which are harmful to the environment (Sassi et al. [1], Andreozzi et al. [2], Morillo et al. [3]) and full research has been done about this issue (Gómez et al. [4], Russo et al. [5], Roig et al. [6]). Some existing treatment and/or reprocessing systems for effluents from olive oil production units are: irrigation of agricultural soils, lagooning, concentration through evaporation, physical/chemical processes, thermal processes, biological processes. On the other hand, as far as the cork industry residues are concerned, (mainly cork powder, particles less than 0.25 mm in size), which are considered as industrial residues (Code 03 01 99 of European Waste List), problems associated with drainage and storage have been verified, as well as the harmful environmental effects caused by them. The study by the Industrial Association of the District of Aveiro (“Multi-Sector Study on the Area of Environment”) in 2000 must be highlighted here (AIDA [7]). This study explicitly refers to the fact that “The production of cork powder is, inclusively, responsible for some physiographical changes verified in the Council of Santa Maria da Feira (small WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


921

valleys that disappear due to the continual deposition of cork dust in them)”. However, the cork powder has had its main use as a combustible fuel for producing energy (burns in kilns), with a small fraction being used for filling in corks of a lower quality, in the linoleum factory and in the control of soils (Gil [8]). Therefore it can be seen that none of the processes already known represent a sole and universal solution for the effective treatment and reprocessing of waste and effluents from olive oil production units and which at the same time is a solution for the drainage and efficient reprocessing of cork industry wastes. The process presented in this paper can be applied to the treatment of effluents and waste from olive oil production units in the following situations: • Through the separate treatment of the waste and the effluent (husks and olive mill wastewater); • Through the joint treatment of the waste and the effluent (humid husks). In this sense the process can be applied in any type of olive oil production installation whether it is using the traditional production system or the modern two-phase or three-phase production system. Therefore this approach could be an important contribution to a complete and universal solution for the efficient treatment of such residues and effluents. In fact, the known technologies only present part of the solution to the problem and some infer high implementation costs.

2 Methods and materials 2.1 Sample preparation In sample preparation we use two-phase olive husks and industrial wastes or byproducts, such as olive leaves, grape husks, grape seeds and chestnut shells that were previously turned into powder, in a grinding process using a sieve with a 1mm mesh. The powder that results from the solid materials are mixed mechanically with the two-phase olive husks generating a pulp material or paste that later is extruded and passes through a drying system to obtain a dried solid product. 2.2 Tested formulations The olive mill wastes (two-phase olive husks) were mixed with the different industrial wastes, testing two formulations with 8 and 15% (wt/wt) of each industrial waste powder. 2.3 Gross calorific value (GCV) determination Gross Calorific Value was determined for each formulation by calorimetric analysis performed with an AC600SHC Semi-Automatic Calorimeter (Leco) in the Chemistry Department of Trás-os-Montes e Alto Douro University (UTAD) in Vila Real, Portugal.



3 Results and discussion The process utilises grinded industrial wastes, namely olive leaves from the olive oil industry, grape husks and grape seeds from the winery industry and chestnut shells (outer shell and inner skin) from the chestnut industry, mixed mechanically with the effluents and/or wastes from olive oil production units creating a pulp material or paste that can be used, after drying, as a source of energy fuel. After the mixing, the paste can be extruded in the required form (e.g. pellets or briquettes) and reaches a convenient moisture in a dryer. The obtained dried solid product (Fig.1) has a calorific value about 20% higher than wood pellets or chips and a low percentage of moisture and ashes. With this very high calorific value, the recovery of the dry product as pellets, chips, briquettes or logs for burning in a biomass boiler will be extremely feasible.

Figure 1:

Biomass samples obtained by the described process.

In table 1 we can see the results of the gross calorific value for the different formulations of the biomass pellets obtained by this process. This result shows that the use of different types of raw materials as biomass sources for pellet production could be done based on this process and a similar range of calorific values are obtained (21.3 – 23.0 MJ/kg) comparatively to those with the cork powder. Different formulations lead to different final products with different physical and chemical characteristics that may define and improve its quality. Additionally the pellets biomass does not release unpleasant odours and has good mechanical resistance. Nevertheless, more research is needed to design pellets with suitable properties for specific applications and achieve all standards and norms required in the market.


Sustainable Development and Planning V Table 1:

923

Gross calorific value (GCV) from biomass samples of olive mill wastes (two-phase olive husks) with 8 and 15% (wt/wt) of different kinds of industry wastes. Gross Calorific Value (GCV) MJ kg-1

Industry biomass wastes Olive leaves

Grape husks

Grape seeds

Chestnut shell

Sample nº

8% (wt/wt)

15%

(wt/wt)

1

22,5390

22,0738

2

22,4635

22,2682

3

22,6383

22,1495

Average

22,5469

22,1638

S.D.*

0,0609

0,0696

1

22,8858

23,0456

2

22,8237

22,9319

3

22,7819

22,7606

Average

22,8305

22,9127

S.D.*

0,0369

0,1014

1

22,8982

23,0718

2

23,0390

23,1672

3

22,8415

22,8296

Average

22,9262

23,0229

S.D.*

0,0752

0,1288

1

21,9291

21,2779

2

22,1941

21,3670

3

22,0296

21,3221

Average

22,0509

21,3223

S.D.*

0,0954

0,0298

* S.D. = Standard Deviation.

4 Conclusions This approach offers an important contribution to a complete solution for the residues and/or effluents of the olive oil production units and the end-product obtained does not create a new environmental problem. The final product of this process has a high calorific value, about 20% higher relatively to wood pellets or chips and constitutes a material with great potential as biomass fuel. This process also presents a solution to an environmental problem which is duly identified and regulated by European standards and national laws. This enables the difficulties and disadvantages of the existing technologies to be overcome, especially those related to high implementation/execution costs and to the fact that they do not translate into a global solution, contributing only partial and/or one-off solutions to the problem.


924 Sustainable Development and Planning V In addition to all the environmental benefits, the process enables a product to be obtained that has a commercial value and which may constitute an attractive financial compensation for the olive oil production units and for the cork transformation units. Additionally this process allows water recuperation by condensation of the steam produced in the drying process.

References [1] Sassi, A. B., et al., Detoxification of olive mill wastewaters by Moroccan yeast isolates, Biodegradation, Vol. 19, 337–346, 2008. [2] Andreozzi, R., et al., Effect of combined physico-chemical processes on the phytotoxicity of olive mill wastewaters, Water Research, Vol. 42, 1684–1692, 2008. [3] Morillo, J. A., et al., Molecular microbial and chemical investigation of the bioremediation of two-phase olive mill waste using laboratory-scale bioreactor, Applied Microbiology and Biotechnology, Vol. 79, 309–31, 2008. [4] Gómez, A., et al., An estimation of the energy potential of agro-industrial residues in Spain, Resources, Conservation and Recycling, Vol. 54, 972–984, 2010. [5] Russo, C.; Cappelleti, G. M.; Nicoletti, G. M., LCA of energy recovery of the solid waste of the olive oil industries, 6th International Conference on LCA in the Agri-Food Sector, Zurich, November 12–14, 2008. [6] Roig, A., Cayuela M. L., Sánchez-Monedero, An overview on olive mill wastes and their valorization methods, Waste Management, Vol. 26, 960–969, 2006. [7] AIDA - Associação Industrial do Distrito de Aveiro, Estudo Multi-Sectorial na Área do Ambiente, 61p, 2000. [8] Gil, L., Cork Powder Waste: An Overview, Biomass and Energy, Vol.13, 59-61, 1997.



925

Bioethanol production from oilseed rape straw hydrolysate by free and immobilised cells of Saccharomyces cerevisiae A. K. Mathew, K. Chaney, M. Crook & A. C. Humphries Harper Adams University College, Newport, Shropshire, UK

Abstract Oilseed rape (OSR) straw can serve as a low-cost feedstock for bioethanol production. Glucose and other fermentable sugars were extracted from OSR straw using sulfuric acid pre-treatment and enzymatic hydrolysis. Batch fermentation of enzymatic hydrolysate with Saccharomyces cerevisiae immobilised in Lentikat® was found to be superior to free cells in terms of bioethanol yield. The maximum bioethanol concentration from free and immobilised cells was 6.73 and 9.45 g.l-1, respectively, with corresponding yields of 0.41and 0.49 g bioethanol. g glucose-1. Keywords: bioethanol, dilute acid pre-treatment, immobilisation, oilseed rape straw.

1 Introduction In 2007, consumption of liquid fuels in the transportation sector was 46 million barrels per day and is expected to increase by 67 million barrels per day by 2035 EIA [1]. In 2007, the use of liquid fuels was responsible for 38% of global greenhouse gas (GHG) emissions, providing a significant contribution to climate change EIA [1]. The replacement of gasoline (petrol) with bioethanol is encouraged globally as a mechanism to reduce exposure to volatility in the oil market, and minimise the extent to which road transport contributes to global warming. Bioethanol can be produced from two different types of feedstocks: first-generation feedstocks (maize, wheat and sugarcane) and second-generation feedstocks (lignocellulosic materials such as straws, forest residue or any agriculture waste) (Balat [2]). Commercial production of bioethanol from firstgeneration feedstocks is limited by land availability, and concerns regarding the WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110771

926 Sustainable Development and Planning V use of land for fuel as opposed to food production. Second-generation bioethanol production from lignocellulosic material is a complex process compared to firstgeneration feedstocks due to the presence of lignin and hemicellulose. Additional processing steps, referred to as pre-treatment and hydrolysis are essential for extracting sugar from lignocellulosic materials. The pre-treatment process is highly energy intensive and expensive (due to enzyme application during hydrolysis), which means the production of second-generation bioethanol is currently non-competitive to first-generation bioethanol (Lora et al. [3]). Consequently bioethanol produced from second-generation feedstocks is the focus of considerable research and development. Global cultivation of OSR was 31 million ha in 2009. Assuming a straw yield of 1.5 – 3.0 tonnes per ha (Newman [4]), the amount of OSR straw produced in 2009 was between 46.5 and 93.0 million tonnes. Assuming a bioethanol yield of 270 l tonne-1 (Larson [5]) of straw (using existing technology) it is predicted that between 12.5 and 25.0 billion liters of bioethanol could have been produced from OSR straw. Currently OSR straw does not have an existing market and is normally ploughed back into field. Hence bioethanol production from OSR straw could add value to existing crops. Dilute acid pre-treatment is one of the most commonly used pre-treatment techniques for altering the structure of lignocellulosic materials (Moiser et al. [6]). It mainly breaks the structure of hemicellulose and a small portion of lignin. Dilute acid pre-treatment also leads to the formation of fermentation inhibitors such as acetic acid, hydroxymethylfurfural (HMF) and furfural as a result of sugar degradation (Palmqvist and Hahn-Hagerdal [7]). Dilute acid pre-treatment has been widely studied for a range of feedstocks. Jeong et al. [8] optimised the dilute acid pre-treatment of OSR straw based on the extent to which hemicellulosic sugars (mainly xylose, mannose and galactose) were extracted. Under optimum pre-treatment conditions (1.76% H2SO4, 152.6oC for 21 min) 85.5% of total sugars were recovered from OSR straw. The inhibitors present in the pre-treated hydrolysate were acetic acid (2.94 g l-1), 5-hydroxymethylfurfural (0.04 g l-1) and furfural (0.98 g l-1). Subsequent enzymatic hydrolysis resulted in a digestibility of 95.4% after 72 h, compared to a digestibility of 27.1% for untreated OSR straw. Castro et al. [9] optimised the dilute acid pre-treatment of OSR straw using pre-treatment temperatures between 140 and 200oC, pretreatment times between 0 and 20 min and sulfuric acid concentrations between 0.5 and 2.0% (w/w). A mathematical model was used to predict the pre-treatment conditions that would result in a cellulose conversion efficiency of approximately 100%. The optimum conditions were predicted to be the application of temperature at 200oC for 27 min at an acid concentration of 0.40%. Mathew et al. [10] studied the dilute acid pre-treatment of OSR straw based on the concentration of glucose recovered after enzymatic hydrolysis. Under optimum pre-treatment conditions (5% (w/w) biomass loading, 2.5% (w/w) acid concentration and 90 min pre-treatment time) 81% of glucan was converted into glucose after 72 h of enzymatic hydrolysis. The production of bioethanol using immobilised cells has been well studied. However, previous research has focused on the use of either sugar cane or starch WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


927

hydrolysate as substrate. The advantages of cell immobilisation over free cell fermentation for bioethanol production include a higher volumetric productivity due to higher cell density, enhanced yield and cell viability for repeated cycles of fermentation (Swain et al. [11]). The research presented compares the bioethanol yield and volumetric productivity obtained from the batch fermentation of OSR straw hydrolysate using free and immobilised cells of S. cerevisiae.

2 Materials and methods 2.1 Microorganism and media S. cerevisiae Type I was grown at 30oC and maintained on agar slants at 4oC as described by Liu et al. [12]. S. cerevisiae was cultivated in 150 ml conical flasks with 50 ml growth medium (Glucose, 5.0; yeast extract, 0.5; peptone, 0.5; K2HPO4, 0.1; MgSO4. 7H2O, 0.1; expressed in g 100 ml-1) and incubated at 30oC in a shaking incubator at 150 rpm. After overnight incubation (108 cells ml-1) cells were harvested by centrifugation at 4000 rpm for 15 min and resuspended in 10 ml growth medium. 2.2 Sugar extraction from OSR straw OSR straw was pre-treated using the optimum dilute sulfuric acid pre-treatment conditions determined previously (Mathew et al. [10]). Following pre-treatment, the slurry was filtered, washed with purite water and the liquid fraction collected. The solid fraction was used for enzymatic hydrolysis using cellulase from Trichoderma ressei ATCC 26921 (25 FPU g-1 biomass) and β-glucosidase from Aspergillus niger (70 CBU g-1 biomass) for 72 h, at 50oC and 5% biomass loading using sodium citrate buffer (pH 4.8). The hydrolysate was filtered using No.1 Whatman filter paper and liquid fraction was used for fermentation. 2.3 Immobilisation of yeast cells Lentikat® was obtained from geniaLab (Germany) and prepared for immobilisation according to Bezbradica et al. [13] after melting at 90 ± 3oC. S. cerevisiae cells were immobilised into Lentikat® by mixing 10 ml of S. cerevisiae cell suspension with 40 ml of Lentikat® liquid. The mixture was extruded onto petri dishes through a syringe fitted with a needle (1.25 x 40 mm). The petri dishes were left to dry in a laminar flow cabinet under a downwards vertical airstream at room temperature for approximately 2 h. The Lentikat® discs were stabilised and re-swollen in 100 ml stabilising solution (geniaLab, Germany) for 2 h. Lentikat® immobilised S. cerevisiae were allowed to proliferate through overnight incubation in 100 ml growth medium according to Liu et al. [12]. Lentikat® was selected as an immobilisation support because of its mechanical strength.


928 Sustainable Development and Planning V 2.4 Fermentation conditions 2.4.1 Bioethanol production from enzymatic hydrolysate using free and immobilised cells of S. cerevisiae Batch fermentation was completed using free and Lentikat® immobilised cells of S. cerevisiae in 150 ml sterile conical flasks with 50 ml of fermentation medium (enzymatic hydrolysate with glucose concentration of 16 – 19 g l-1) for 24 h at 30 ± 3oC and 150 rpm. The fermentation medium was composed of glucose, yeast extract 0.5 g 100 ml-1; peptone, 0.5 g 100 ml-1; K2HPO4, 0.1 g 100 ml-1 and MgSO4.7H2O, 0.1 g 100 ml-1. The fermentation medium was inoculated (10% w/v) either with immobilised or free cells. Samples (1 ml) were withdrawn from the fermentation medium after 2, 4, 6, 10 and 24h, and analysed to determine the glucose and bioethanol concentration. Batch fermentations were completed in triplicate. 2.4.2 Bioethanol production by immobilised cells of S. cerevisiae using acid pre-treatment and enzymatic hydrolysate as substrate Batch fermentation was completed using Lentikat® immobilised cells of S. cerevisiae as per the method presented in section 2.4.1, but the fermentation medium was composed of the liquid fraction collected immediately following pre-treatment and the enzymatic hydrolysate. The sugars present in the pretreated hydrolysate were xylose, 7.46 g l-1; glucose, 1.77 g l-1; galactose, 1.35 g l-1; arabinose, 0.85 g l-1. The glucose concentration of the fermentation medium was adjusted to 23 g l-1 using pure glucose. 2.5 Analytical methods The concentration of bioethanol and glucose present in the fermentation media was analysed using HPLC fitted with a refractive index detector. HPLC analysis was completed according to NREL [14] laboratory analytical procedure. 2.6 Statistical analysis Statistical analysis was completed using Genstat 13th edition. The effect of immobilisation of S. cerevisiae in Lentikat® supports and free cells was analysed separately by using one-way analysis of variance (ANOVA).

3 Results 3.1 Bioethanol production from enzymatic hydrolysate using free and immobilised cells of S. cerevisiae Batch fermentation was completed using glucose extracted from the enzymatic hydrolysis of OSR straw as carbon source. Batch fermentation was completed over a 24 h time period and employed either free or Lentikat® immobilised cells of S. cerevisiae (Figure. 1). The concentration of bioethanol produced after 24 h of fermentation was approximately 40% higher (p = 0.021) for immobilised cells WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

12

25

10

20

8

Glucose (g/l )

30

15

6

10

4

5

2

0

0 0

5

10

Glucose - Free cell Ethanol - Free cell Figure 1:

15 Time (h)

20

929

Ethanol (g/l)


25

Glucose - Immo cell Ethanol - Immo cell

Glucose consumption and ethnaol production using free and immobilsed cells of S. cerevisiae.

(8.62 ± 0.31 g l-1) compared to free cells (6.15 ± 0.21 g l-1). This finding is supported by Swain et al. [11], who demonstrated a 6.7% increase in bioethanol yield when mahula flowers were fermented with cells immobilised in calcium alginate as opposed to free cells. Glucose was fully consumed within the 24 h fermentation time period; hence a lower bioethanol yield cannot be attributed to a reduced level of glucose uptake by free cells. The conversion of glucose to bioethanol was significantly faster with immobilised cells than with free cells. A maximum bioethanol concentration of 9.45 ± 0.25 g l-1 was achieved within 4 h of fermentation when immobilised cells were used. This represents a glucose conversion efficiency of approximately 98% compared to 67% glucose conversion by free cells in the same time period. The final biomass concentration recorded in Swain et al. [11] was higher in free cell fermentation, suggesting glucose may have been diverted from bioethanol production in order to support cell growth. It took approximately 24 h for free cells to consume 99% of the initial glucose present in the medium, demonstrating cell immobilisation resulted in significantly enhanced volumetric productivity. The volumetric productivity of bioethanol fermentation using immobilised S. cerevisiae cells was 4.12 g l-1 h-1 compared to 1.69 g l-1 h-1 for free cells after 2 h. The volumetric productivity reduced to 0.26 g l-1 h-1 and 0.36 g l-1 h-1 for free and immobilised S. cerevisiae after 24 h of batch fermentation due to a lower concentration of glucose present in the fermentation medium. At the initial stages of batch fermentation (until 4 h), the volumetric productivity of immobilised S. cerevisiae cells was found to be approximately two to three times higher than that of free cells. According to Nedovic and Willaert [25], immobilised cells have less WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

930 Sustainable Development and Planning V hydrodynamic and mechanical stress compared to cells in suspension, which enables the cells to utilise more cellular energy for product formation, resulting an improvement in volumetric productivity. A decrease in bioethanol concentration was observed with free cells and immobilised cells between 6 and 24 h of fermentation. However statistical analysis suggested this was not a significant reduction (p = 0.289 for free cells and p = 0.224 for immobilised cells). The same trend was observed in a study conducted by Kuhad et al. [15], where the bioethanol concentration and bioethanol yield reduced between 16 and 24 h fermentation. The reduction in bioethanol concentration may be due to the oxidation of bioethanol to acetic acid (Christensen et al. [16]) or due to the formation of other by-products such as glycerol and butyric acid (as a result of contamination) (Cheng [17]). Another possible explanation is the consumption of accumulated bioethanol by S. cerevisiae that has adapted to simultaneously consume fermentable sugars and bioethanol (Ramon-Portugal et al. [18]). The maximum bioethanol yield obtained from free cells was 0.41 g bioethanol. g glucose-1 and that of immobilised cells was 0.49 g bioethanol. g glucose -1. These yields are less than the stoichiometric bioethanol yield of 0.51 g bioethanol. g glucose-1. The lower bioethanol yield observed may have been due to the use of glucose for cell growth during fermentation, essentially diverting substrate from bioethanol production. The maximum theoretical bioethanol conversion (%) was found to be 80.51% after 10 h of fermentation with free cells and 95.66% after 4 h of fermentation with immobilised cells. Behera et al. [19] studied the production of bioethanol from mahula flowers using S. cerevisiae (strain CTCRI) cells either free in solution or immobilised in agar-agar or calcium alginate. Behera et al. [19] reported theoretical bioethanol conversions of 87%, 93% and 95% for free cell, cells immobilised in agar-agar and calcium alginate, respectively after 96 h of fermentation. Bioethanol conversion (%) with immobilised S. cerevisiae cells in the current study was found to be approximately equal to that of Behera et al. [19]. In contrast to this, Rakin et al. [20] compared bioethanol production from corn meal hydrolysate using S. cerevisiae var. ellipsoideus immobilised into calcium alginate and Lentikat®. S. cerevisiae var. ellipsoideus immobilised in calcium alginate resulted in a higher theoretical bioethanol yield of 111% compared to 77% for cell immobilised in Lentikat® discs. In comparison to free cells, immobilised cells were found to result in higher bioethanol concentrations and improved volumetric productivity of batch fermentation by increasing the local population density of cells (Yu et al. [21]; Najafpour et al. [22]). 3.2 Bioethanol production by immobilised cells of S. cerevisiae using acid pre-treatment and enzymatic hydrolysate as substrate Batch fermentation was conducted over a 24 h time period using fermentable sugars extracted from pre-treatment and hydrolysis of OSR straw (i.e. acid pretreatment and enzymatic hydrolysis hydrolysate were combined). The results are shown in figure 2. The bioethanol concentration obtained after 24 h of batch fermentation from acid and enzymatic hydrolysate fermentation medium was WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


931

8.66 ± 0.09 g l-1. A maximum bioethanol concentration of 9.26 ± 0.04 g l-1 was obtained after 6 h of fermentation. Similarly to when enzymatic hydrolysate was used as sole substrate, there was a significant reduction (p = 0.044) in bioethanol concentration between 6 and 24 h of batch fermentation. There was no significant difference observed (p = 0.873) in the concentration of bioethanol produced when enzymatic hydrolysate only and acid pre-treatment and enzymatic hydrolysate were used as substrate, even though the initial concentration of fermentable sugars was higher in the latter.

Figure 2:

Glucose consumption and bioethanol production from enzymatic hydrolysate, acid and enzymatic hydrolysate using immobilised S. cerevisiae cells.

A bioethanol yield of 0.39 g bioethanol g glucose-1 was achieved with immobilised cells using acid pre-treatment and enzymatic hydrolysate as substrate. A yield of 0.49 g bioethanol g glucose-1 was obtained for immobilised cells when enzymatic hydrolysate was used as substrate. The lower bioethanol yield observed when acid and enzymatic hydrolysate was added to the fermentation medium may have been due to the presence of inhibitors such as acetic acid, hydroxymethylfurfural (HMF) and furfural that are produced during acid pre-treatment and which were present in the pre-treatment hydrolysate. These products can inhibit bioethanol production by reducing the activity of several enzymes such as alcohol dehydrogenase, aldehyde dehydrogenase and pyruvate dehydrogenase (Modig et al. [23]). The volumetric bioethanol productivity of immobilised cells when acid and enzymatic hydrolysate was added to the fermentation medium was 2.24 g l-1 hafter 4 h of batch fermentation. After 24 h of fermentation, the volumetric 1 bioethanol productivity was reduced to 0.36 g l-1 h-1. This is similar to the volumetric bioethanol productivity observed after 24 h, for free and immobilised WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

932 Sustainable Development and Planning V cells of S. cerevisiae using enzymatic hydrolysate (0.26 and 0.36 g l-1 h-1, respectively). Behera et al. [19] reported volumetric bioethanol productivities of 0.258, 0.262 and 0.268 g l-1 h-1, for cells free in solution, and immobilised in agar-agar and calcium alginate, respectively. The current study demonstrates higher bioethanol productivity in immobilised fermentation compared to Behera et al. [19] whereas the volumetric productivity of free cells was found to be similar to the study conducted by Behera et al. [19]. Petersson et al. [24] demonstrated a bioethanol productivity of 0.91 g l-1h-1 from simultaneous saccharification and fermentation of wet oxidised OSR straw. The ethanol productivity in the current study was found to be lower due to a lower concentration of glucose present in the fermentation medium initially. From the current study, the maximum theoretical bioethanol yield from acid and enzymatic hydrolysate was approximately 76%, which is less than the maximum theoretical bioethanol yield observed from free cells in suspension using enzymatic hydrolysate as fermentation medium. Hence the current study concluded that fermentation using enzymatic hydrolysate would be better than combined use of pre-treatment and enzymatic hydrolysate for bioethanol production. Potentially the bioethanol yield obtained when pre-treatment hydrolysate is used as carbon source could be increased through the fermentation of pentose sugars.

4 Conclusion Bioethanol production from OSR straw using dilute acid pre-treatment was studied using S. cerevisiae cells free in suspension and immobilised in Lentikat® discs. Batch fermentation with enzymatic hydrolysate demonstrated the immobilisation of S. cerevisiae cells in Lentikat® discs resulted in improved volumetric productivity and a higher concentration of bioethanol (9.47 ± 0.27 g l-1) than when cells free in suspension were used (6.73 ± 0.18 g l-1). Batch fermentation of pre-treatment and enzymatic hydrolysate using Lentikat® immobilised cells did not improve the concentration of bioethanol produced (9.26 ± 0.04 g l-1).

References [1] United States Energy Information Administration (USEIA). International energy statistics, 1000 Independence Ave., SW, Washington, DC 20585, http://www.eia.gov/ [2] Balat, M., Production of bioethanol from lignocellulosic materials via biochemical pathway: A review. Energy Conversion and Management, 52, pp. 858-875, 2011. [3] Lora, EES., Palacio, JCE., Rocha, MH., Reno, MLG., Venturini, OJ., Olmo, OA., Issues to consider, existing tools and constraints in biofuels sustainability assessments, Energy, Article in press, 2010. [4] Newman R. A trial burn of rape straw and whole crops harvested for energy use to assess efficiency implications B/U1/00768/00/00 WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


[5]

[6] [7] [8] [9] [10] [11]

[12] [13] [14] [15] [16]

[17] [18]

933

http://webarchive.nationalarchives.gov.uk/+/http://www.berr.gov.uk/files/fi le14920.pdf Larson, D. E. Biofuel production technologies: status, prospects and implications for trade and development, united conference on trade and development UNCTAD/DITC/TED/2007/10, http://www.unctad.org/en/docs/ditcted200710_en.pdf Mosier, N., Wyman, C., Dale, B., Elander, R., Holtzapple, Y. Y. L. M., Ladisch, M., Features of promising technologies for pre-treatment of lignocellulosic biomass. Bioresource Technology, 96, pp. 673–686, 2005. Palmqvist, E. & Hahn-Hagerdal, B., Fermentation of lignocellulosic hydrolysates. II:inhibitors and mechanisms of inhibition. Bioresource Technology, 74, pp. 25–33, 2000. Jeong, TS., Byung, HU., Jun-Seok, K., Kyeong-Keun, O., Optimizing dilute acid pre-treatment of rapeseed straw for extraction of hemicellulose, Applied Biochemistry and Biotechnology, 161, pp. 22-33. 2010. Castro, E., Diaz, MJ., Cara, C., Ruiz, E., Romero, I., Moya M., Dilute acid pre-treatment of rapeseed straw for fermentable sugar generation, Bioresource Technology, 102, pp. 1270-1276, 2011. Mathew, A.K., Humphries, A.C., Chaney, K., Crook, M., Dilute acid pretreatment of Oilseed rape straw for bioethanol production. Renewable Energy. Article in press, .doi:10.1016/j.renene. 2011.01.030, 2011. Swain, MR., Kar, S., Sahoo, AK., Ray, RC., Ethanol fermentation of mahula (Madhuca latifolia L.) flowers using free and immobilized yeast Saccharomyces cerevisiae. Microbiology Journal Research, 162, pp. 93–98, 2007. Liu R, Li J., Shen, F., Refining bioethanol from stalk juice of sweet sorghum by immobilised yeast fermentation, Renewable Energy 33, pp.1130-1135, 2008. Bezbradica, D., Obradovic, B., Leskosek-Cukalovic, I., Bugarski, B., Nedovic, V., Immobilisation of yeast cells in PVA particles for beer production, Process Chemistry, 42(9), pp. 1348-1351, 2007. National renewable energy laboratory, http://www.nrel.gov/biomass/ Kuhad, RC., Gupta, R., Khasa, YP., Singh, A., Bioethanol production from Lantana camara (red sage): pre-treatment, saccharification and fermentation, Bioresource Technology , 101, pp. 8348-8354, 2010. Christensen, CH., Jorgensen, B., Rass-Hansen, J., Egeblad, K., Madsen, R., Kiltgaard, SK., Hansen, SM., Hansen, MR., Andersen, HC., Riisager, A.. Formation of acetic acid by aqueous phase oxidation of ethanol with air in the presence of heterogeneous gold catalyst, Angewandte Chemie International Edition, 45, pp. 4648-4651, 2006. Cheng, J., Biomass to renewable energy processes, CRC press, Taylor & Francis group, pp. 240-241, 2009. Ramon-Portugal, F., Pingaud, H., Strehaiano, P., Metabolic transition step from ethanol consumption to sugar/ethanol, Biotechnology Letters, 26, pp. 1671-1674, 2004.


934 Sustainable Development and Planning V [19] Behera, S., Kar, S., Mohanty, RC., Ray, RC., Comparative study of bioethanol production from mahula (Madhuca latifolia L.) flowers by Saccharomyces Cerevisiae cells immobilised in agar-agar and Ca-alginate matrices. Applied Energy, 87, pp. 96 – 100, 2010. [20] Rakin M, Mojovic L, Nikolic S, Vukasinovic M, Nedovic V. Bioethanol production by immobilised Saccharomyces Cerevisiae var. ellipsoideus cells. African Journal of Biotechnology, 8, pp. 464-471, 2009. [21] Yu, J., Zhang, X., Tan, T., An novel immobilisation method of Saccharomyces cerevisiae to sorghum bagasse for ethanol production, Journal of Biotechnology, 129, pp. 415-420, 2007. [22] Najafpour, G., Younesi, H., Ku, S., Ku, I., Ethanol fermentation in an immobilised cell reactor using Saccharomyces cerevisiae. Bioresource Technology, 92, pp. 251 – 260, 2004. [23] Modig, T., Liden, G., Taherzadeh, M.J., Inhibition effects of furfural on alcohol dehydrogenase, aldehyde dehydrogenase and pyruvate dehydrogenase. Biochemical Journal, 363, pp. 769–776, 2002. [24] Petersson, A., Thomsen, M.H., Nielsen, H.H. and Thomsen, A.B., Potential bioethanol and biogas production using lignocellulosic biomass from winter rye, oilseed rape, faba been, Biomass and Bioenergy, 3, pp. 812-819, 2007. [25] Nedovic, V. & Willaert R., Applications of cell immobilisation biotechnology, Springer publications, ISBN: 978-1-4020-3229-5, 2005.



935

Latent heat thermal energy storage systems in lightweight construction: review of PCM applications in Solar Decathlon houses E. Rodríguez-Ubiñas, L. Ruíz-Valero, S. V. Sánchez & F. J. Neila González Department of Building Technology, School of Architecture, Technical University of Madrid, Spain

Abstract The use of thermal mass in buildings is an effective way to improve the building’s interior comfort in places with high diurnal temperature variation. Combined with other passive strategies, thermal mass can play an important role in the energy efficiency of the building, minimizing the necessity of the traditional conditioning systems. However contemporary construction tends to industrializing light weight systems with low thermal mass. An innovative way to add the thermal mass` benefits to the buildings is the use of the latent heat thermal storage capacity of the Phase Change Materials (PCM). In the Solar Decathlon, solar houses competition organized by the United States Department of Energy. The houses are tested and monitored in Washington DC, where the use of short term thermal storage systems is adequate to maintain the interior comfort and reduce energy consumption, therefore many teams had incorporated PCM in theirs industrialized lightweight houses. In this paper the solutions on the application of PCM used in this competition are discussed. Keywords: PCM, latent heat, energy storage, solar decathlon, TES.

1 Introduction Solar Decathlon (SD) is a biennial international competition and public event organized by the U.S. Department of Energy’s, in which 20 university teams from around the world compete to design, build, and operate solar-powered houses that are cost-effective, energy-efficient, and attractive [1, 2]. The SD WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SDP110781

936 Sustainable Development and Planning V houses should be transported from the universities sites and assemble in only six days in the National Mall in Washington DC. For that reason the teams develop lightweight and highly industrialized prototypes. The main disadvantage of this kind of construction is their low thermal mass, which causes them to have large temperature fluctuations follow the external cooling or heating loads [3]. Adding thermal mass to SD houses is an effective way of reducing its heating and cooling load especially in a location with large daily temperature variation, as Washington DC [4]. The major advantages of the Phase Change Materials (PCM) are their large heat storage capacity and their isothermal behaviour during the charging and discharging process [5]. That mean that PCM performs similar to the traditional thermal mass materials, but they are lighter, more flexible and compact, with greater capacity for heat storage and with specific heat phase change temperatures, that permits to select optimum set point. Knowing PCM characteristics and its compatibility with the industrialized lightweight construction, participant teams, had developed or applied innovative latent heat thermal storage systems using these materials. The present study includes all SD houses that in their documentation or in the competition prototypes have latent heat thermal energy storage systems.

2 Study description and classification of PCM applications The SD houses PCM applications have been studied and classified into four main aspects: the first relating to the PCM location, the second to the type of system, the third to the type of PCM and its encapsulation and the fourth relating to support strategies. 2.1 PCM location Baggs and Mortensen [6] in their design guide suggest that the best place for thermal mass is the floor, where it is possible to take advantage of direct solar gain through the glazing. And the next preference locations are the interior partition and the internal skin of external insulated walls. The PCM could be located in any place of the building depending on the purpose [5, 7], four locations have been identified in this study: floor, wall (internal skin), ceiling and furniture. 2.2 System types Heating and cooling PCM systems are classified in passive and actives. Passive when no mechanical or active systems are used; and active when fans or pumping mechanisms are used to move or re-circulated air or liquids. 2.3 PCM and its encapsulation The type of PCM selection is primarily linked to the melting temperature required. In the case of buildings thermal conditioning with temperature ranges WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


937

between 20º and 30ºC, salt hydrates, paraffin and fatty acids can be used. The salt hydrates, or eutectic mixtures of salt hydrates, are inorganic salts with water of crystallization, while the paraffin (hydrocarbon compounds) and the fatty acid are organic substances. All these PCM change from solid to liquid and vice versa, so they need to be encapsulated or integrated in a matrix to prevent leakage. There are a large variety of encapsulating systems with very different sizes, geometries and materials. The micro-encapsulation has greatly expanded the PCM integration possibilities in building materials and systems [5, 7]. 2.4 Support strategies PCM, as the thermal mass, can substantially reduce the use in active heating and cooling systems when is correctly used and combined with passive and semipassive design strategies. As an example, several studies have shown that thermal mass together with night ventilation may reduce the indoor maximum temperature, by 2º–6ºC [8, 9]. The passive strategies permit to take advance of the environmental conditions and resources, and the actives elements could accelerate heat exchange across the surface of the PCM or help to complete their charge-discharge cycles. Some support strategies are: direct and indirect sun gains, natural ventilation, night radiation and free-cooling [10].

3 Solar Decathlon houses The Case Studies are present follow the first two elements of study: Location of PCM and Type of System. And each house description includes the main elements of the systems, the PCM type, its encapsulation type, the passive or semi-passive strategies used and the functioning in cooling and heating mode. 3.1 Floor application 3.1.1 Floor application: passive systems Ontario/BC House (2009).The system designed by the Ontario team consists on macro-encapsulated PCM embedded in the floor assembly, underneath the engineered hardwood flooring (see Fig. 1a). The team used a commercial PCM, DELTA-COOL 21. The Delta-Cool system consists on salt hydrate PCM encapsulated in 15 mm thick polypropylene panels. This PCM is engineered to melt at 24°C and solidify at 22°C and each panel has an approximate heat storage capacity of 62.6 kWh. A total of 62.1 m2 of PCM panels where installed, with a latent heat capacity of 158 kJ/kg [11]. In winter days the PCM absorbs the thermal energy directly from the sunlight falling on the floor, and in summer the PCM reduces the peak cooling load by taking off the excess heat during the day and releasing it at night when it can be ventilated away by cool night air. Building energy simulations predicted that the house active shading, its glazing and the PCM system could effectively eliminate cooling loads and reduce heating loads to 45%, while also providing ample daylight and reducing the need for artificial light while the sun is out [12, 13].


938 Sustainable Development and Planning V 3.1.2 Floor application: active systems Canadian Solar House (2005). This house has a Tromble wall and an active thermal energy storage system, designed by the team, based on PCM-soaked ceramic bricks placed in 7 cm cavities under the floor finishing. Ordinary bricks were dipped on a mix of PCM, 48% butyl stearate 50% propyl palmitate 2% fat acid [14]. The hot air passing behind the house PV/T system is used to pre-heat domestic hot water, to improve the heat pump efficiency and to storage heat at PCM floor system. In cooling situation, the night cool air is drawing through the brick-PCM storage system in order to reduce the cooling load the following day. In heating situation, the house is heated by the direct solar gains, the effect of the Tromble wall and the warm air of the PV/Thermal panels. In specific moment when the semi-passive system is not enough to maintain the house in comfort, the warn air from the PV is used as the heat source of the heat pump in order to increase the coefficient of performance. UPM -Technical University of Madrid (2005). The Madrid Team placed its active PCM system in the raised floor plenum. A eutectic hydrocarbon mix gel was encapsulated in blow molded HDPE containers. They also filled the raised floor tiles with PCM to take advantage of the direct sun radiation. (See Fig. 1b.) The system could work as passive one, but forced air improves the thermal exchange and increases efficacy of the system [15]. The house automation system controls periods when the fans must operates, the direction of the air flow as well as the opening of house windows for cross ventilation and the activation of the peltier dehumidification system [16]. In the winter days, the gels melt (storage heat) by direct solar gain of the south glazing façade and by interior warn air recirculation. This heat is released later, helping to maintain the house in comfort even when sun is not present. In summer, cool night air is force to circulate in the floor plenum solidifying the PCM gels and during the day the PCM acts as a heat sink which absorbs the heat excess, minimizing the house overheating [16]. Rhode Island School of Design (2005). This house has two thermal energy storage “boxes”, the hot and the cold, both connected to the house radiant ceiling panels. In each box there are blow molded HDPE containers filled with eutectic base solution (PCM) and copper pipes circuits for water recirculation. (See Fig. 1c.) The copper piping array use thick aluminum heat transfer plates to give heat to the PCMs for storage, and to take it back when needed. In heating mode, solar thermal energy is storage in the PCM hot box during the day for usage at night or very cloudy weather, the system draws heat back off the PCMs and uses it to

a. SD2009 Ontario

b. SD2005 UPM

Figure 1:

Floor systems.


c. SD2005 Rhode Island


939

heat the house. And in cooling mode, night cool air discharges the PCM that perform as a heat sink to remove the heat excess and help to maintain the house cool. It is a very efficient system; just require energy for small hydronic variable speed pumping system [17]. UPM - Technical University of Madrid (2007). This house was designed making use of the advantages of the systems of Madrid 2005 house and trying to improve some elements of the previous proposals. In the floor plenum were place “thermal batteries” using gel type eutectic mix PCM, but instead of HDPE containers, they design a multi-tubes encapsulation to improve the PCM rates of charging and discharging of energy [18]. The interior pipes are for water recirculation and the exteriors are filled with PCM. The metal encapsulation improves the thermal conductivity of the system and the tubular shape increases the exchange surface. In heating mode, during the day the direct sun contribution is used (air circulation) to heat the house, as well as, the surplus of heat water produced by the solar thermal panels is used to heat the house and to store heat in the thermal batteries. When cooling is necessary, the night refrigeration (air circulation) and the night radiation (water circulation) are used to solidify the PCM and to prepare them to extract the heat of the following day. The water and air recirculation permits take advance of the removable energy resources and ensure the correct charge and discharge of the PCM [19]. (The system was not installed in the competition prototype.) 3.2 Walls applications 3.3 Walls application: passive systems Kansas Project Solar House (2007). The system consists of the PCM incorporation in Structural Insulated Panels (SIP). The SIPs are composite building materials that consist of an insulating layer of rigid polymer foam sandwiched between two layers of structural board. The PCM is encapsulated in pipes that are placed in the interior of the insulation layer (see Fig. 2a). With these panels the team constructed both the walls and the roof of the house. This new system, like many others of the Solar Decathlon, has been patented [20]. Penn State (2009). In this house was installed a storage solution developed by Phase Change Energy Solutions, Inc. (PCES), named ThermaMat. The PCM used is obtained from a residue of biodiesel called BioPCM 23oC [21]. This PCM is encapsulated in a pouched mat (see Fig. 2b). The encapsulation material is a polyfilm with flame retardant properties. The mats were placed between the walls framing studs directly behind standard plasterboard [22]. This solution was also used in the ceiling. Team Germany (2009). This Germany house, as it predecessor in 2007, uses micro-encapsulated PCM technology integrated in drywall panels [23]. Their used SmartBoard panels a commercial product of Knauf. These gypsum boards contain Micronal microscopic polymer spheres (2 to 20 mc) filled with paraffin wax developed by BASF. The micro encapsulation permits an effective integration of PCM in the construction materials and improved the convection


940 Sustainable Development and Planning V heat transfer by increasing the exchange surface [18]. This house also has an active PCM system at ceiling, see detail on section 3.5.2. 3.4 Walls application: active systems Massachusetts Dartmouth (2005). This house was equipped modular PCM thermal storage panels, designed to fit between the studs. They used 24 Enerphase panels, molded black polyethylene modules (36x56x5cm) filled with Calsium Chloride Hexahydrate TESC-81, with phase changing at is 27oC. Enerphase panels were one of the first PCM products for building thermal comfort in the market, Dow Chemical (See Fig. 2c). The panels were placed inner the south wall and under the windows. The house was equipped with a smart control system and used a combination of forced-air heat exchange, passing intake air by the phase change material to improve the efficacy of the thermal storage system.

a. SD2007 Kansas

b. SD2009 Penn State

Figure 2:

c. SD2005 Massachusetts

Wall systems.

3.5 Ceiling applications 3.5.1 Ceiling applications: passive systems Spain Team (2009). The Spain Team placed Energain, PCM reflective panels, behind the ceiling finishing. This is the first time that Energain panels are used in the Competition [24]. This panels are a mixture of ethylene based polymer (40%) designed by DuPont and paraffin wax PCM (60%) laminated on both sides with a 130 μm aluminum sheet [25]. This panel has a double function, thermal energy storage (PCM) and a reflective radiation barrier (aluminum) that help to maintain the heat in the house interior. (See Fig 3a.) 3.5.2 Ceiling applications: active systems Technische Universitat Darmstadt (2007). This is the first house that has used micro-encapsulated PCM in the SD. The team used Smartboard, commercial gypsum boards of Knauf, with a radiant ceiling manufactures for Ilkazell (see Fig. 3b). In winter conditions, the solar thermal collector hot water is piped from the hot water tank to the PCM radiant system maintaining the houses interior in comfort. During the summer day cold water is piped from the cold water tank through the PCM radiant ceiling, cooling the house. At summer



941

night, heated water is piped onto the roof PV panels to an evaporative heat loss, once cooled is piped back to the cold water tank [26]. Team Germany (2009). In addition to PCM drywalls, this team designed an active system that was placed in four 11m long “canals” with a section of 25 cm x 35 cm, insulated with 1-cm-vacuum panels. Each canal is filled with PCM (salt-hydrate) encapsulate in polycarbonate profile, and are equipped with a ventilation fan, grilles and temperature sensors. The PCM used is Delta Cool 28 by Dorken [23]. (See Fig. 3c.) The system can be regulated due it is in separated zone, different to the house interior, and the variable speed built-in fans and the ventilation flaps which allow operated with either interior or exterior air. The system capacity is equivalent to the energy demand for one day of cooling and its coefficient of performance varies from 9 to 15 depend on the ambient conditions. In cooling mode, during the day mode the interior air circulates through the ceiling and decreases it´s temperature, and in night mode the cool exterior air blows through the ceiling and discharges the PCM. [27, 28].

a. SD2009 UPM

b. SD2007 Darmstadt

Figure 3:

c. SD2009 Team Germany

Ceiling systems.

3.6 Furniture applications 3.6.1 Furniture applications: active systems UPM - Technical University of Madrid (2007). The Madrid Team, in addition of the under floor thermal storage system, developed an active system to be placed underneath of the furniture, on its bases. For its houses the system was designed to be located in the bases of the beds and living room furniture. The Box-type design of the furniture facilitates to incorporate grates, fans and macroencapsulated eutectic mix gel PCM [29]. (The system was not installed in the competition prototype.) 3.7 PCM application recap Fig. 4 summarizes the latent heat thermal storage applications of the American Solar Decathlon houses, indicating the location, the system type and a brief description system including the PCM used.



Figure 4:

PCM applications in the SD.

4 Discussion 4.1 PCM location Floor Passive. Applications used in the floor are related to the location of traditional thermal mass, which trying to take advantage of direct solar gain through the glazing, this is the case with teams of Ontario / BC (2009) and raised floor slabs UPM Team (2005). Floor Active. Three of the four PCM applications on 2005 were active floor systems. The Canadian and the UPM teams installed fans to accelerate heat exchange by increasing the air movement across the surface of the PCM. The Rhode Island team used the same macro-encapsulation that UPM, but its system has two independent deposits (cold and hot) and a cooper pipes circuits with water re-circulation. UPM in 2007 designed the last floor active system presented in the completion, which use air and water recirculation. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


943

Wall and Ceiling Passive. The four different solutions present could be used for wall, interior partitions or ceiling. Three fit in custom lightweight multilayer construction: Smartboard (Darmstadt), Energain (UPM) and BioPCM (Penn State). All three are easily integrated, the Smartboard is a gypsum panel that is placed as to traditional ones, and the Energain, reflective panels, and BioPCM, blankets are easily placed just behind the drywall. The fourth was present by Kansas team and linked is to a patent of Sandwich Insulated Panel with PCM. Wall Active. Only one active system was presented at wall. The Massachusetts team designed with force air recirculation to improve the heat exchanger taking advantage of the south windows hot air. Ceiling Active. The two ceiling active systems have been presented by the Germany teams. Their 2007 house radiant ceiling that incorporate drywall with PCM. The 2009 house present an application that looks as an evolution of the floor active system that UPM presented in 2005, big deposits with macroencapsulated PCM with air re-circulation. Furniture. But no many furniture solutions have been proposed for improved the interior space temperature, one of this was the office furniture, PlusICE, was developed in 2005 by UK based company EPS Ltd in collaboration with Climator which incorporate the PCM in a passive way. The solution proposed by the UPM team in 2007 was a compact active PCM system integrated in the base of the furniture, that was designed to improved the heat transfer and solve problems of the passive systems. The advantage of the furniture systems is that they can be used in new construction and in existing building. 4.2 Evolution in the different competitions Location. There have been five applications for floor and an equal number for ceilings; however, applications on the floor have been diminished, while the ceiling ones increase (see Fig. 5a). The teams do not justify the location of their systems, but can be seen that the trend to use the ceiling coincides with the appearance of new materials that integrate PCM and with that the recent applications are designed primarily to cool the space. Type of application. In 2005, the first time in the competition using PCM, the four systems presented were assisted by fans or pumps, active elements. In the last competition only one of the five systems had active elements (see Fig. 5b). The appearance on the market from 2007 of panels or mats with PCM that can be easily integrated to the lightweight multilayer construction has contributed to this trend. Type of PCM. Macro and micro encapsulated paraffin have been the PCM most used, followed by macro-capsules of hydrated salts (see Fig.5c). Nonparaffin organic compounds were used in 2005 by Team Canada and in 2009 by Penn State Team, which used a substance obtained from a residue of biodiesel. Phase change temperature. The selected PCM have had different melting temperatures, depending on if the system was designed principally to avoid the overheating or the excessive cold. Generally, the fusion temperatures have been between 22º and 27º C; four teams with temperature between 22º and 24ºC, four between 25º and 27º C. One case out of these ranges is the system presented by WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

944 Sustainable Development and Planning V Rhode Island house, which had two thermal deposits: the cold, whose materials that change phase at 15°C and the hot, with a phase change at 58ºC. Encapsulation. In the competition PCM has been integrated in many different ways, soaked by the material (only in 2005), macro-encapsulated, microencapsulated and molecular-encapsulated. The latter one allows a very high PCM concentration in a polymeric compound.

Figure 5:

Location, application and PCM type charts.

5 Conclusions The present review was focused on the latent heat thermal energy storage application in the Solar Decathlon houses. The fact that in this competition, which awards the thermal comfort and the energy efficiency, many teams incorporate PCM applications, demonstrates the use of these substances improves the energy performance of lightweight multilayer construction, as houses simulations shown. However, since the diversity of the houses and with only one week of monitoring, it is not possible to draw specific conclusions on the applications used. It would be necessary to monitor the houses for much time to be able to confirm the results of his simulations. The Solar Decathlon competition has allowed universities around the world move forward in their research on the latent heat storage and integration of the PCM in light construction. Universities have moved from the experimental cells to build real houses, integrating the industry in this process. In the past three competitions, innovative applications have been presented with organic and inorganic PCM, macro and micro encapsulations, passive or with the assistant of active elements, and taking advantage of the environment resources as a free-cooling or night radiation.

References [1] Warner, C., Farrar-Nagy, S., Wassmer, M., Stafford, B., King, R., Vega Sanchez, S., Rodriguez Ubiñas, E., Cronemberger, J. & Serra MariaTome, J., The 2009 Department of Energy Solar Decathlon and the 2010 European Solar Decathlon—expanding the global reach of zero energy



[2] [3] [4] [5] [6] [7] [8] [9] [10] [11] [12] [13] [14] [15]

[16]

945

homes through collegiate competitions. 2009 34th IEEE Photovoltaic Specialists Conference, Philadelphia, Pennsylvania, USA, 2009. Solar Decathlon Information. Available from: http://www.solardecathlon.gov Kuznik, F., Virgone, J. & Johannes, K., In-situ study of thermal comfort enhancement in a renovated building equipped with phase change material wallboard. Renewable Energy 36, pp. 1458-1462, 2011. Zhu, L., Hurt, R., Correia, D., & Boehm, R. Detailed energy saving performance analyses on thermal mass walls demonstrated in a zero energy house. Energy and Buildings, 41(3), pp. 303-310, 2009. Mehling, H. & Cabeza, L., Heat and cool storage with PCM: An up to date introduction in to basics and applications. Springer –Verlag Berlin Heidelberg, 2008. Baggs, D. & Mortensen, N., Thermal Mass in Building Design. BDP Environmental Design Guide. 2006. Cabeza, L., Castell, A., Barrenechea, C., Gracia, A. & Fernández, A., Materials used as PCM in thermal energy storage in buildings: A review. Renewable and Sustainable Energy Reviews 15, pp. 1675–1695, 2011. Givoni, B., Effectiveness of mass and night ventilation in lowering the indoor daytime temperatures. Part I: 1993 experimental periods, Energy and Buildings 28, pp. 25-32, 1998. Shaviv, E., Yezioro, A. & Capeluto, I.G., Thermal mass and night ventilation as passive cooling design strategy, Renewable Energy 24, pp. 445–452, 2001. Aroul Raj, A. &Velraj, R., Review on free cooling of buildings using phase change materials. Renewable and Sustainable Energy Reviews 14, pp. 2819–2829, 2010. Barhydt, L., The North House as Responsive Architecture: Designing for Interaction between Building, Inhabitant, and Environment. Master of Architecture Thesis. University of Waterloo. Ontario, 2010. Team Ontario/BC., North House: Project Manual, 2009 Solar Decathlon Competition, Washington DC, 2009. Lauren B., The North House as Responsive Architecture: Designing for Interaction between Building, Inhabitant, and Environment. Master of Architecture Thesis. University of Waterloo, Ontario, 2010. Passini, M. & Athienitis, A., Systems design of the Canadian Solar Decathlon House. ASHRAE Transactions, Vol. 112, Pt. 2, 2006. Rodríguez-Ubiñas, E., Cronemberger, J., Vega Sánchez, S. & García Santos, A., Investigación de los materiales de cambio de fase en las universidades españolas. III Jornadas Sobre Investigación en Arquitectura y Urbanismo, Madrid, July 17, 2009. Neila González, J., Acha Román, C., Higueras García, E. & Bedoya Frutos, C., Los Materiales de Cambio de Fase (MCF) empleados para la acumulación de energía en la arquitectura. Su aplicación en el prototipo Magic Box. Materiales de Construcción, Volume 58, No 291, 2008.


946 Sustainable Development and Planning V [17] Lipinski, D., Winning Teams and Innovative Technologies from the 2005 Solar Decathlon, U.S. House of Representatives, Committee on Science, November 2, 2005. [18] Agyenim, F., Hewitt, N., Eames, P. & Smyth, M., A review of materials, heat transfer and phase change problem formulation for latent heat thermal energy storage systems (LHTESS). Renewable and Sustainable Energy Reviews 14, pp. 615–628, 2010. [19] UPM Team, Casa Solar: Project Manual. 2007 Solar Decathlon, Washington, 2007. [20] Medina, M., Phase-Change Structural Insulated Panels and Walls. United States Patent Application Publication. US2005/005982 A1, 2005 [21] Muruganantham, K., Phelan P., Horwath, P., Ludlam, D. & McDonald, T., Experimental investigation of a bio-based Phase Change Material to improve building energy performance. Proceedings of ASME 2010 4th International Conference on Energy Sustainability, Phoenix, Arizona, USA, May 17-22, 2010. [22] Witmer, L. Penn state 2009 Solar Decathlon Project Manual. Energy Analysis Results and Discussion, pp. 324-334, 2009. [23] Team Germany, SurPlus House: Project Manual. Solar Decathlon 2009, Washington DC, 2009. [24] Adell Argiles, J. M., The Black & White House and its technical innovations. 5ta Expo Energía: Technical Workshop on Renewable Energy Innovative Technologies for the Building Sector. Lisbon, November, 2010. [25] Agyenim, F., Hewitt, N., Eames, P. & Smyth, M., A review of materials, heat transfer and phase change problem formulation for latent heat thermal energy storage systems (LHTESS), Renewable and Sustainable Energy Reviews 14, 2010. [26] Hegger, M. (ed.), Sunny Times: Solar Decathlon House Team Deutschland 2007. Verlag Muller + Busmann KG, Wuppertal, 2008. [27] Dammel, F., Steiner, L. & Zeumer, M., Die Klimadecke des surPLUShome. Wissenschaftsmagazin der TU Darmstadt, pp. 42-47. Spring 2010. [28] El khouli, S., Häuser als Kraftwerke: Solar Decathlon 2007+2009. Forum Energie Zurich, March 2009. [29] UPM Team, Casa Solar: Construction drawings. 2007 Solar Decathlon, Washington, 2007.



947

Testing for oil saving technological changes in ARDL models of demand for oil in G7 and BRICs M. Asali Petroleum Studies Department, Research Division, OPEC, Vienna, Austria

Abstract In recent years, global growth of demand for oil has been mainly due to the increasing demand for energy in major developing nations, namely China, India and Brazil, fueled by their exceptional economic performance. On the other hand, in OECD and particularly in the G7 countries, where more than 70% of OECD demand for oil is consumed, demand for oil has been stagnant and seems to have plateaued. In fact, per capita, consumption for oil in these countries has been diminishing in recent years. Given the rising share of the major developing economies in the global demand for oil it is important to have a clear idea about their likely future paths of (per capita) demand for oil. A closely related issue is whether energy and oil efficiency in these economies are price induced or could be considered an exogenous process. In this paper an attempt is made to employ time-series, auto regressive error correction modeling technique to estimate short and long run income and price elasticity’s of demand for oil in G7 and the BRICs, (Brazil, Russia, India and China). We have also tested for oil saving technological changes in these economies. This is done by making use of a price decomposition approach and testing for existence of deterministic trend in the estimated demand for oil models. The study yields a set of GDP and price elasticity’s of demand for oil in G7 and the BRICs comparable to income and price elasticity’s of demand for oil in other studies. Keywords: demand for oil, GDP and price elasticity’s, technological changes.



1 Introduction In this study an attempt is made to estimate (per capita) income and price elasticity’s of demand for oil in G7 and BRICs and to see whether the estimated models could shed light on the way the oil saving technological changes impact demand for oil in these economies. The importance of the issue stems from the fact that while G7 countries consume more than 70% of OECD total oil consumption, incremental demand for oil comes mainly from developing countries particularly China and India with their prominent importance for the global oil markets due to their exceptional economic performance. We have used error correction and ARDL modelling techniques for these purposes. Application of econometric and time series methods have been the traditional approaches to modeling demand for energy and oil. A meaningful application of the time series techniques to modeling demand for oil, however, requires long historical observations on energy consumption, population, income and prices. The starting point of this approach is formulation of suitable energy demand equations, normally derived as decision rules of optimizing households or firms (Pindyck [1], and Pesaran et al. [2]). Huntington [3] in his review of the response surface of several models developed to investigate demand for oil in OECD propose a log-linear, lag-adjustment demand specification consistent with the structure of most models of demand for oil appeared in the literature. This formulation assumes that oil demand responds immediately to changes in income but only gradually to changes in prices. Technical progress, if present, reduces demand at a constant rate in each period and hence operates like income variable. Here we follow the convenient approach of modeling demand for oil as a function of income and oil prices. In particular we employ linear models and use quarterly time series from 1990Q1 to 2010Q4 to estimate GDP and price elasticity’s of demand for oil in G7 and BRICs. To investigate the existence of exogenous oil saving technological changes we test for deterministic linear trends in our time series models. We also make use of price decomposition approach to test for significance of asymmetric response to prices changes in demand for oil in these economies that can be considered as signs of price induced oil saving technological changes in these countries. An asymmetric relationship between oil price and demand for oil may stem from various sources such as irreversibility of improved technological changes, durability of attributes of the petroleum-using capital stock, non-reversal nature of some government policies etc., see Dargay and Gately [4] and Gately and Huntington [5]. The asymmetric relationship between price and consumption is normally modeled by decomposing the price Pt series into: Pt = P0 + Pmax,t + Prec,t + Pcut,t P0: Pmax,t: Prec,t: Pcut,t:

The price at the beginning of the sample The maximum historical price The cumulated price recovery The cumulated price cuts.


(1)


949

The diagnostic tests, namely tests on serial correlation, functional form, normality and heteroskedasticity of the residuals variance, reported along with the estimation results are indicative of robustness and reliability of the estimation results. The data in this quantitative study is collected from OPEC Data Service Department. As our study is concerned with the quarterly time-series modeling of (per capita) demand for oil in G7 and the BRICs, we have used a quarterly time series of crude oil prices and per capita oil consumption and per capita real GDP. In alternative specifications other variables such as energy and oil intensity are used as well. To calculate the quarterly per capita GDP and demand for oil in the countries of concern we have disaggregated annual population time series to the series with quarterly frequency adopting Denton [6] methodology used by the ECOTRIM 1.01 (Eurostat, 2002) software [7]. The remainder of the paper organized as follows: after a brief review of the modeling methodology in section 2, the estimation results are presented in section 3 and in section 4 we draw concluding remarks of this paper.

2 Modelling methodology Huntington [3] in his review of the response surface of several models developed to investigate demand for oil in OECD propose a log-linear, lag-adjustment demand specification consistent with the structure of most models. This formulation assumes that oil demand responds immediately to changes in income but only gradually to changes in price. Technical progress, if present, reduces demand at a constant rate in each period and hence operates like income variable. These relationships allow oil demand to be expressed as:

Qt  qt Pt e gtYt a .....g  0,...a  0

(1)

where Q is actual demand, P is the oil price, Y is GDP, g is the rate of autonomous improvements in oil efficiency, and α is the income elasticity of demand for oil. In this specification, the rate of autonomous improvements is constant each year and demand adjusts completely to income changes within the same year. In contrast, the oil price effect cumulative gradually over time through the variable qt(Pt). In each year, after incorporating income and technical progress oil demand adjusts partially to the current price to meet its optimal level.







qt qt 1  qt* qt 1 .....0    1

(2)

where q is modified oil demand, λ is the fraction of the oil demand adjusted in each period and the asterisk indicates the optimal level of consumption. The optimal level of this variable is itself a function of the oil price alone.

qt*  P  WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

(3)

950 Sustainable Development and Planning V Substituting for qt* and in (2) and for qt in (1) yields the following expression: 

where

 Y  Qt  A P    t  Y t  1 Q t1 g  t  1  , ....., Q t 1  Y t 1  A   eg

(4)

In Huntington [3] this equation is estimated by OLS but constraining the coefficients of the non-price terms to their assumed values. In its log form the equation could turn to an ARDL(1,1,0) in Q, P and Y.

ln Qt     1    ln Qt 1   ln Pt   ln Yt   1    ln Yt 1 ,.where..   g (ln   t  1)

(5) The Huntington Model’s specification is typical for most econometric models demand for oil and comparing this specification with the autoregressive distributed lag (ARDL) shows that in fact all the various demand equations can be written in the form of ARDL model of order 1:

 L  yt    b1 L x1t  b2 L x2t  b3 L x3t  ut

(6) where yt denotes the share of energy or oil in total expenditure or logarithm of per-capita energy or oil consumption depending on the particular functional form used in the demand analysis. Xt = 1,..,3 are the logarithms of oil and non-oil prices and real output.

  L  1  L

b  L  b  b L i 0 1

(6.1) L is as usual one-period lag operator (Lx1,t = w 1,t-1), and ut serially uncorrelated error term. This model is general enough four our purpose and yields the various dynamic formulations of energy demand equations discussed earlier. In the context of the ARDL model (6), the parameters of interest are the long term coefficients

 j  b j 0  b j1  / 1   ,..... j  1,2,3   a / 1   

(7)

 . In terms of the parameters, (6) can

The speed of adjustment is defined by

be written in the form of an error correction (EC) model: 3

yt  ECt 1   b j 0 x jt ,...........t  1,2,...., T j 1


(8)


951

where the error correction term is the deviation from the long term relationship. 3

ECt  yt    j x jt  

(9)

j 1

The remaining parameters, b j 0 , j=1,2,3 represent the impact effect of the price and income changes on energy consumption. As mentioned earlier a number of dynamic models are nested within the above general ARDL(1,1,1,1) specification. For example, the simple partial adjustment is obtained by setting b j1 =0, j=1,2,3. The simple error correction model is obtained by restricting the impact effects to be zero, namely b j 0  0, j=1,2,3. From this discussion it is therefore visible that all the various demand equations that we estimate can be written in the form presented above. The base line country specific (ARDL) model, general form of which was given by equation (6) can be represented for the first order ARDL model in a time series framework as follows:

yt  ai  i y,t 1  bL xti  ut ,....t  1,2,..., T where.b  b0  bL ,...

(10) As before, yt is logarithm of energy consumption in country i at time t, xt is a k x 1 vector of explanatory variables for country i. This model provides a useful initial framework for investigating the consequence of pooling and can be generalized to higher order ARDL and its error correction form can be written either in terms of lagged error correction form.

yt  ai    y ,t 1ix,t 1   b0 xt  ut

(10.1)

or as a partial adjustment type error correction plus change, Pesaran et al. [2]

yt  a    y t 1  xt   b1xt  ut

(10.2)

where the adjustment coefficient, φ = 1-λ, and the long run response of yt to a unit change in xt is given by the kx1 vector θ = (b0+b1)/(1-λ). The dynamic of the adjustment towards equilibrium in this simple setting are governed by φ and b’0 or b’1.The disturbance terms will be assumed to be independently normally distributed across time with expected value zero and variances σ2. Assumptions that there exists a long run relationship between yt and xt can be tested using cointegration technique if it is known that the time series are integrated of order one I (1). In the next section we investigate these points.



3 Price homogeneity, unit roots and co-integration tests Typically there are four steps in testing for co-integrating relationship between the time series of a VAR model: i) Implementing unit root tests to see if the series are I (1), ii) Investigating the nature of the intercept/trend in the underlying VAR based on in-differenced data to see if the intercept and the deterministic time trend or both should be included, iii) Selecting the order of VAR and iv) Estimating the co-integrating VAR and carrying out the tests. Overall, this standard procedure is followed here, however, we have added a price homogeneity test to this four step procedure in order to give a statistical justification for substituting the real domestic oil price (P/Cpi) for the two prices variables, namely imported oil prices in domestic currency series divided and domestic consumer price index in the EC model specification. The test results are presented in the table 1. It is clear from the table that the joint hypothesis of long run and short run restrictions are generally accepted in all countries of the sample. Table 1:

F-statistics for testing restrictions “Long run and short run price homogeneity” on the basic EC equation.

Long‐run Long‐run and short - run price homogeneity (Hl) price homogeneity (H) Country Degree of Degree of F‐statistic Prob. F‐statistic Prob. freedom freedom Brazil 0.022 F(1,24) 0.88 1.27 F(2,24) 0.29 Canada 0.046 F(1,73) 0.82 2.32 F(2,73) 0.10 China 0.068 F(1,55) 0.79 0.92 F(2,55) 0.40 France 2.34 F(1,63) 0.13 1.92 F(2,63) 0.15 Germany 1.22 F(1,73) 0.27 1.40 F(2,73) 0.25 India 1.73 F(1,60) 0.19 1.21 F(2,60) 0.31 Italy 2.43 F(1,73) 0.12 2.63 F(2,63) 0.08 Japan 5.11* F(1,73) 0.03 2.77 F(2,73) 0.07 Russia 0.23 F(1,25) 0.63 0.16 F(2,25) 0.85 UK 1.91 F(1,73) 0.17 0.95 F(2,73) 0.39 USA 5.60* F(1,73) 0.02 2.80 F(2,73) 0.07 *Rejected in 5% level, all other cases cannot be rejected at 5% level

This opens the way for our investigation of the nature of intercept/trend in underlying VAR model and now we can return to the four step co-integration testing procedure starting by estimating an unrestricted VAR with the three variables, namely, (per capita) demand for oil (LD), real (per capita) GDP (LY) and constant oil price (LP) all in logarithms to determine whether the intercept and trend should be included in the equations. For each individual country, we WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


953

therefore, estimate an unrestricted VAR with six lags and examine whether two deterministic variables, C and T, should be included. The results are summarized in the following sections. The unit root test results (not reported here for space limitations) show that all the variables concerned, in our demand for oil modelling, are integrated of the order one I (1) that opens the way for our ECM analysis. This analysis will need testing for co-integration between the variables. But prior to investigating the nature of intercept/trend in the underlying VAR models and selecting the order of VAR models to arrive at co-integration tests, here as was mentioned, we have tested the hypothesis of the long run and short run price homogeneity in individual countries. For each individual country we therefore estimate an unrestricted VAR with six lags and examine whether two deterministic variables, C and T, should be included. The results (not reported here) indicate that for all countries of the sample group the null hypothesis of zero intercept or zero trends or zero intercept and trend together for all three time series is rejected except in the case of the UK that one cannot reject the null of zero intercept or zero trend at 5% level. However, even in this case the null hypothesis of zero restriction on both intercept and trend is rejected at 5% level. Having tested for including C and T in the unrestricted models we next could use information criteria to select the appropriate order of the VARs. Different information criterions have selected different lag lengths for the same country and for different countries of the sample group. The optimal lag lengths differ from 2 lags selected by SC for Italy and China to up to 6 lags by different criterions for Brazil and Russia. Generally speaking it appear that the criteria have selected less lags for VAR models of G7 countries; around three lags; than for the BRICs on average. Brazil and Russia are given 6 lags by all the criteria. Since it is believed that AIC tends to overestimate the lag length whereas SBC and HQC are consistent estimators, here we have given more weight to SBC in selecting lag length of the VAR models particularly when both SBC and HQC select the same m. In fact with large sample and assuming true model is amongst those considered, the SBC and HQC will choose the correct model. This is supported by simulation evidence for example by Basci and Zaman [8]. They show that for large samples the SBC and HQC are unambiguously the best criteria to use. Also we know that Eviews [9] uses SBC when choosing m in lag length selection of VARs. In view of the discussion above we will assume the optimal lags for the sample countries models as follows: Brazil 6, Canada 3, China 6, France 3, Germany 3, India 3, Italy 2 and 3, Japan 3, Russia 6, UK 3 and USA 3. Assuming these selected lag lengths the null hypothesis of inclusion of intercept or trend, and intercept and trend together in demand for oil equations of individual economies are tested calculating log-Likelihood ratios, (the results are not given here to save space). Overall, the likelihood ratio tests with the selected lag length for each country of the sample group do not change the general picture, where all the VAR models were of order 6. Only in case of India, where the selected lag length is 3, WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

954 Sustainable Development and Planning V estimating the corresponding VAR model with no intercept results in a Log Likelihood ratio of 3.4 which is less than the critical value of 7.8, meaning that in this case the null hypothesis of zero intercept cannot be rejected at 5% level. For the remaining cases zero restriction on intercept and trend or both intercept and trend together is rejected. With these results, given the non-stationarity of the time series of concern, we now turn to co-integration tests to investigate the existence of long run relationship between the time series for each individual economy of our sample group. Given the co-integration tests results; we will then use a combination of error correction and its equivalent ARDL models of per capita demand for oil in individual economies to arrive to the best estimations of price and income elasticity’s of demand for oil in these countries on the basis of diagnostic tests. Application of the Johansen co-integrations tests reveal that, as expected, the three time series of concerned, namely: per capita demand for oil, per capita real GDP and real price of (imported) oil are co-integrated in all economies of the sample group, albeit with different lag intervals and deterministic trend assumptions in different economies of the sample group. Having established the co-integrating relation between the variables of concern we next turn to estimate the ARDL version of the error correction models for each individual economy before attending to the pooled cross country estimations of the parameters of the models.

4 Individual country results estimating ARDL (1,0,0) models The following table gives the individual country estimations results. The diagnostic tests results (not given here to save space) imply that all the equations pass the diagnostic tests, namely Lagrange multiplier test for serial correlation, functional form misspecification, non-normal errors and heteroskedasticity tests at the 5 per cent level, except for heteroskedasticity test for the UK equation that is at 1% level. As can be seen from table 2, all the estimated income and price elasticity’s are of the right sign and in the main comparable to other studies of demand for oil. The average for GDP elasticity of demand for oil for the eleven countries of our sample is estimated to be 0.41 in the short run and 0.78 in the long run. For the price elasticity of demand for oil the average value of eleven country sample in the short and long run are -0.05 and -0.15 respectively. 2 In this table ˆ is the coefficient of adjustment or error correction term , R is the adjusted squared multiple correlation coefficient model, and gives the proportion of the changes in demand for per capita oil explained by the model. LL is the maximized value of the likelihood of the estimated equation. All the equations fit quite well, the lowest fit being the estimated model for Germany 2 with R equal to 0.83. The estimated equation for France yields the largest short and long run (per capita) GDP elasticity of demand for oil; 0.89 and 1.35 respectively, followed by Italian equation with the estimated short and long run elasticity’s of 0.86 and 1.32 respectively. Smallest income elasticity for the short run and long run are WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


Table 2:

Income and price elasticity’s based on ARDL (1,0,0) specifications. Elasticity

Country Brazil Canada

China

France* Germany

India

Italy* Japan

Russia UK

USA*

Average

955

Income Price Income Price_max Price_rec Income Price_max Price_rec Price_cut Income Price Income Price_max Price_rec Income Price_max Price_rec Income Price Income Price_max Price_rec Income Price_rec Income Price_rec Price_cut Income Price_max Price_cut Income_11 Price_11

Shortrun 0.32 -0.02 0.15 -0.06 0.01 0.57 -0.08 0.0.7 0.09 0.89 -0.03 0.25 -0.04 -0.03 0.30 -0.05 0.05 0.86 -0.06 0.45 -0.09 -0.02 0.11 -0.03 0.16 -0.01 0.021 0.42 -0.10 0.01 0.41 -0.05

Longrun 0.82 -0.06 0.35 -0.13 0.03 0.89 -0.13 0.10 0.14 1.35 -0.05 0.46 -0.09 -0.06 0.80 -0.12 0.11 1.32 -0.09 0.85 -0.18 -0.05 0.63 -0.15 0.38 -0.023 0.05 0.70 -0.18 0.02 0.78 -0.15

Coef. of adj. t-ratio 5.18 -2.23 5.24 -4.33 3.93 4.19 -1.60 1.97 3.24 4.71 -2.50 4.49 -4.43 -8.56 3.99 -2.02 2.95 6.48 -4.91 3.04 -5.66 -3.70 4.48 2.46 2.73 -1.70 2.63 3.15 -4.25 1.72

0.38

Adj. R2 0.97

LL 113.6

0.42

0.91

212.5

0.64

0.98

125.1

0.63

0.84

187.3

0.55

0.83

176.6

0.40

0.99

197.8

0.66

0.95

207.1

0.525

0.92

199.9

0.184

0.96

182.2

0.42

0.91

228.9

0.575

0.92

255.9

ˆ

0.49

*Specification includes time trend with statistically significant estimated value.

Russian and Canadian with the estimated values of 0.11 and 0.35 respectively. This is worth noting that the largest GDP elasticity’s are estimated for those equations with a deterministic trend in the final specification. It seems that in these equations the deterministic trend, that captures the oil saving exogenous technological change effect, allows the GDP elasticity’s of demand for oil to be higher. By final specification we mean the specification that yields the best fit considering criteria such as R squared, log likelihood statistics (Akaike [10]), Information Criteria and Schwarz [11] Criterion and at the same time passes all WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

956 Sustainable Development and Planning V the diagnostic tests of serial correlation, functional form test, normality test and heteroskedasticity test.

5 Concluding remarks The long–run income and price elasticity’s for all the sample countries estimated in this study seem to be in a plausible range. One interesting aspect of our modelling approach is that it allows to test whether energy savings in the sample countries are exogenous or induced by oil prices changes. Observe that final specifications of demand for oil for three countries, namely France, Italy and USA contain a deterministic trend. This could be interpreted as presence of a significant impact from exogenous technological changes on demand for oil in these countries. To capture the price induced energy saving technological changes we have made use of the price decomposition, as discussed in Dargay and Gately [4] and Gately and Huntington [5]. In empirical studies, decomposition of prices in models of demand for oil is in effect testing for asymmetric relationship between oil prices and its consumption. In view of this discussion the estimation results lend themselves to the interpretation that in the cases of France, Italy and the USA, the deterministic trend, that captures the oil saving exogenous technological change effect, allows the GDP elasticity’s of demand for oil to be higher. In fact excluding the deterministic trend effect from theses equations would have resulted the short run GDP elasticity of demand for oil equal to 0.46 for France, 0.49 for Italy and 0.37 for the USA with corresponding long rum income elasticity’s of 0.76, 0.74 and 0.64 respectively. These values of income elasticity of demand for oil are closer to the average value of this parameter for the G7 and the sample group of eleven countries. If decomposition of oil prices in equations of demand for oil can be considered as a substitution for stochastic trend of oil saving technological changes (Agnolucci [12]) then one can say that in all countries of the sample group other than Brazil, France and Italy there have been statistically significant evidence of price induced oil saving technological change in these economies. Of the remaining three countries, the parameters to the deterministic trend, that captures the exogenous oil saving technological changes, are statistically significant for the French and Italian equations. This is only Brazilian equation that in its final specification does not incorporate neither deterministic nor stochastic trends. On the other hand this is only the US equation that comprises both deterministic and stochastic trends indicating the existence of both exogenous and price induced oil saving technological changes in this economy.

References [1] Pindyck, R. (1979) “The structure of world energy demand” The IMT Press. [2] Pesaran, M. H., R. P. Smith, T. Akiyama (1998) “Energy Demand in Asian Developing Economies”, Oxford University Press and Oxford Institute for Energy Studies. WIT Transactions on Ecology and the Environment, Vol 150, © 2011 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)


957

[3] Huntington, H. (1993) “Estimated response surface for nine world oil models” Energy Economics, January. [4] Dargay, J. and D. Gately (1995a) “The imperfect price reversibility of non-transport oil demand in the OECD” Energy Economics 17(1): 59-71. [5] Gately, D. and H.G. Huntington (2002) “The asymmetric effect of changes in price and income on energy and oil demand” Energy Journal, 23 (1): 19-55. [6] Denton, F. T. (1971), “Adjustment of monthly or quarterly series to annual totals: An approach based on quadratic minimization, Journal of the American Statistics Association 66 (333). [7] Barcellan, R., and Buono, D. (2002) “Temporal Disaggregation Techniques: Ecotrim Interface”, User Manual, Eurostat, The Statistical Office of European Commission. [8] Basci, S and A. Zaman (1998) “Effects of Skewness and Kurtosis on Model selection Criteria” Economic Letters, 59, PP 17-22. [9] Quantitative Micro software (2007) “Eviews 6 User Manual”, CA, USA. [10] Akaike, H. (1973), “Information Theory and the Extension of the Maximum Likelihood Principle” in Proceedings of the Second International Symposium of Information Theory, eds. B. N. Petrov and F. Csaki, Budapest, PP. 267-281. [11] Shwarz, G. (2978), “Estimating the Dimension of a Model”, Annals of Statistics, 6, PP. 461-4. [12] Agnolucci, P. (2010) “Stochastic Trends and Technical Changes: The Case of Energy Consumption in the British Industrial and Domestic sectors” The Energy Journal, Vol.31, No. 4.0.




959

Author Index Abdel-Halim W. ...................... 477 Abdullah A. ............................. 675 Abdullah Zawawi N. A. W. ..... 675 Abou-Elela S. I. ....................... 477 Adeboyejo T. A. ...................... 737 Aguilar S. Č. ............................ 431 Ajayi D. D................................ 711 Akpınar F. ................................ 329 Alameri M. ................................ 29 Aldagheiri M.............................. 51 Alegria Mira L. ........................ 285 Al-Mutairi H. ........................... 859 Alsaqqaf Z. ................................ 59 Aly S. S. A. .............................. 537 Aly S. S. ................................... 299 Amer M. S. E. .......................... 537 Andrés A. ................................... 39 Angara T.-E. ............................ 651 Ángeles M........................ 517, 847 Asali M. ................................... 947 Assumma V. ............................ 809 Atanur G. ................................. 419

Clark N. N. .............................. 895 Claro J. C. A. R. ...................... 919 Costa-Gonzalez D. ................... 919 Costescu D. .............................. 785 Crook M................................... 925

Balsys R. .................................. 909 Barcham R. .............................. 749 Beecham S. .............................. 239 Bell J. P. W. ............................. 491 Beriatos E. ................................... 3 Beser de Deus L. A. ................. 109 Bikam P. .................................. 737 Boeri A. ................................... 177 Brandtweiner R. ............... 527, 562 Brazil dos Santos Argueta L. ... 583

Falciani J. ................................. 761 Fallahzadeh R. ......................... 239 Fawzy M. E. ............................ 477 Freitas M. A. V. ....................... 109 Fujinawa K. ............................. 871

Cantarella G. E......................... 773 Carpintero S. ............................ 749 Chakwizira J. ........................... 737 Chaney K. ................................ 925 Chauhan A. K. ........................... 97 Chauhan K. A. ........................... 97 Chilà G..................................... 819 Chudoba J. ............................... 431 Cifrian E. ................................... 39

da Conceição M. Alvim-Ferraz M. .................. 469 De Temmerman N. ......... 273, 285 De Wilde W. P. ........................ 273 Debacker W. ............................ 273 Delerue-Matos C...................... 469 Dewsbury J. ............................. 859 Diamantini C. ......................... 133 Diaz-Forero I. .......................... 409 Dosal E. ..................................... 39 Dubová M. ............................... 431 El Menchawy A. ...................... 299 El-Khateeb M. ......................... 477 Elmasry S. K. ................... 165, 201 Esanu L. V. .............................. 345

Gamez A. ................................. 847 Ganis M. .................................... 71 Ghetau L. ................................. 345 Giovagnorio I............................. 85 Gómez I. .................................. 517 Granà A. .................................. 261 Grindlay A. L........................... 623 Gurluk S................................... 419 Haggag M. A. .................. 165, 201 Hakim M. A. ............................ 299 Hebert P. .................................. 249 Hendrickx H. ........................... 273 Hoeltl A. .................................. 562

960 Sustainable Development and Planning V Hosseyni S. M.......................... 189 Humphries A. C. ...................... 925 Iannò D. ................................... 819 Ibrahim A. A. A. M. ................ 699 Ibrahim A. ................................ 651 Ismail A. .................................. 651 Ivanova A. ....................... 517, 847 Karakaya E. ............................. 329 Karasozen R. ............................ 145 Kelikume I. .............................. 687 Kim J. H. .................................. 599 Kirchhof S................................ 527 Koca G. .................................... 145 Kunimitsu Y. ........................... 553 Kuusemets V............................ 409 Lajevardi A. R. ........................ 371 Lane-Serff G. F. ....................... 859 Laoubi K. ................................. 505 Leus M. .................................... 355 Liu H.-Y................................... 213 Lizárraga C. ............................. 623 Longo D. .................................. 177 Luig J. ...................................... 409 Malavé A. J. ............................. 883 Mänd M. .................................. 409 Mangeli M. .............................. 315 Marsousi N. ............................. 371 Martello M. .............................. 761 Martin G. ................................. 443 Mateo-Babiano D....................... 71 Mathew A. K. .......................... 925 McKain D. L. ........................... 895 Metsaots K. .............................. 453 Mikulionis A. ........................... 909 Minnery J. .................................. 71 Miralles i Garcia J. L. .............. 123 Molero E. ................................. 623 Morales C. G............................ 883 Musolino G. ............................. 797 Nascimento E. A. ....................... 19 Neila González F. J. ................. 935 Nix A. C. .................................. 895

Otas K. ..................................... 909 Paduart A. ................................ 273 Pakėnas V. J............................. 909 Papageorgiou M. .......................... 3 Pérez L. ...................................... 39 Pingle A. M. .............................. 97 Ponce G. .................................. 517 Popa M..................................... 785 Pratelli A.................................. 761 Raicu S..................................... 785 Riazi M. ................................... 189 Rindone C. ............................... 831 Rochford F. .............................. 573 Rodríguez M. I......................... 623 Rodríguez-Ubiñas E. ............... 935 Roja-Caldelas R. I.................... 609 Roose K. A. ............................. 453 Roşca E. ................................... 785 Ruíz-Valero L. ......................... 935 Russo F. ............797, 809, 819, 831 Saeed M. M. ............................ 397 Salami D. ................................. 687 Sánchez S. V. ........................... 935 Sandoval J. A. .......................... 895 Šarman A. ................................ 431 Sattaripour A. .......................... 315 Saygın N. ................................. 329 Schwedes O. ............................ 727 Sepp K. .................................... 453 Serag-Eldin M. A. .................... 227 Shah J. P. ................................... 97 Silva L. F. C. F. ...................... 109 Souleyrette R. .......................... 761 Taniguchi M. ........................... 381 Tomás Albergaria J. ................. 469 Tomigashi A. ........................... 871 Torn K. .................................... 443 Turan O.................................... 419 Ujihara T. ................................. 381


Vandevyvere H. ....................... 153 Vaškys A. ................................ 909 Velonà P. ................................. 773 Vettorato D. ............................. 133 Viguri J. ..................................... 39 Vitetta A. ................................. 773 Vitta P. ..................................... 909 Vivas Neto D. C. ........................ 19 Wagle G. .................................... 29 Walsh P. R. .............................. 663 Wayne W. S. ............................ 895

961

Yamao M. ................................ 505 Yousefnia Pasha M. ................. 639 Zamroni A. .............................. 505 Zhang H. .................................... 59 Zizumbo-Villarreal R. ............. 609 Žukauskas A. ........................... 909


...for scientists by scientists

Wind Power Generation and Wind Turbine Design Edited by: W. TONG, Kollmorgen Corporation, USA

Provides the wind power industry and the energy research community with comprehensive up-to-date information on advanced design techniques and practical approaches for a form of energy that is becoming increasingly important. It addresses all the major concerns in wind power generation and wind turbine design and includes some of the more recent developments in the field. The book is a useful and timely contribution to the technical literature on wind power. Along with the rising energy demand in the 21st century and the growing recognition of global warming and environmental pollution, energy supply has become an integral and cross cutting element of every country’s economy. In recent years, more and more countries have prioritized sustainable, renewable, and clean energy sources such as wind, solar, hydropower, biomass, etc., as the replacements for fossil fuels. Wind power is the fastest growing alternative energy segment, providing an attractive cost structure relative to other alternative energy. Wind energy has played a significant role in North American and European countries, and some developing countries such as China and India. In 2008, over 27 GW of new wind capacity were installed throughout the world. There is no doubt that wind power will play a major role as the world moves towards a sustainable energy future. ISBN: 978-1-84564-205-1 e-ISBN: 978-1-84564-388-1 Published 2010 / 768pp / £298.00

WIT Press is a major publisher of engineering research. The company prides itself on producing books by leading researchers and scientists at the cutting edge of their specialities, thus enabling readers to remain at the forefront of scientific developments. Our list presently includes monographs, edited volumes, books on disk, and software in areas such as: Acoustics, Advanced Computing, Architecture and Structures, Biomedicine, Boundary Elements, Earthquake Engineering, Environmental Engineering, Fluid Mechanics, Fracture Mechanics, Heat Transfer, Marine and Offshore Engineering and Transport Engineering.


Food and Environment The Quest for a Sustainable Future Edited by: V. POPOV and C.A. BREBBIA, Wessex Institute of Technology, UK

The many advances in food production over the past century have made it possible to feed the whole of humanity. But food production and processing can have detrimental effects on the environment. Major challenges remain with industrial-scale farming. Higher productivity and larger volumes should not come at the expense of product quality or animal suffering. Despite their importance, the consequences of food-related problems have not been sufficiently considered. It is essential to understand the impact that food production processes and the demands of rising living standards can have on the food consumed daily by the world’s people. Of particular importance are the effects on human health and the well-being of the population, as well as the more general issues related to possible damage to the environment and ecology. This book includes contributions presented at the first international conference convened to examine these challenges. Topics include; Food Processing Issues; Contamination of Food; Pharmaceuticals in Food; Obesity-Related Issues; Pesticides and Nutrients; Hormonal Effects; Food and Fecundity; Genetic Engineering; Freezing and Thawing; Heavy Metals; Pathogens; Salination Problems; Desertification; Transportation Problems; Traceability; Threshold Values; Modern Farming; Changing Climate; Laws and Regulations; Epidemiological Studies; Water Resources Problems; and Animal Welfare. The book will be of interest to food scientists and nutritionists, as well as agricultural, ecological, and environmental health experts interested in all these challenges. WIT Transactions on Ecology and the Environment, Vol 152 ISBN: 978-1-84564-554-0 eISBN: 978-1-84564-555-7 Published 2011 / 256pp / £110.00


Sustainable Chemistry Edited by: G. RENIERS, University of Antwerp, Belgium and C.A. BREBBIA, Wessex Institute of Technology, UK

As the demands of society increase in their quest for safer, better and more convenient products, the chemical industry is faced on the one hand with the possible depletion of natural resources and on the other with a large share of responsibility for the damage that may be caused to the environment and the population by their products. The main area of chemical activity consists of the conversion of various base metals into substances and materials with new chemical and physical properties. A substantial amount of research is being carried out regarding this conversion process, which now must incorporate sustainability requirements. In addition, other associated activities, such as the chemical supply chain, performance measurements and different types of management tasks, must meet sustainability standards. Achieving sustainable chemistry based on clean processing routes, efficient use of resources, renewable materials, adequate management systems and other activities is not only essential for the future of a competitive chemical industry but also for a sustainable and healthy society and environment. Key to sustainable chemistry are innovative and cleaner technologies and the development of appropriate business models, performance measurements, and better integrated management. This book contains papers on the latest academic and industrial research in the field presented at the first international conference convened on the sustainable chemistry. WIT Transactions on Ecology and the Environment, Vol 154 ISBN: 978-1-84564-558-8 eISBN: 978-1-84564-559-5 Published 2011 / 272pp / £117.00


Energy and Sustainability III Edited by: Y. VILLACAMPA, University of Alicante, Spain, C.A. BREBBIA, Wessex Institute of Technology, UK and A.A. MAMMOLI, University of New Mexico, USA

It has been clear for some time that the way in which our society exists, operates, and develops is strongly influenced by the way in which energy is produced and consumed. No industrial process can proceed without an adequate energy supply, and without industrial production, society lacks the commodities on which it depends. Our energy systems have evolved over a long period and continue evolving in response to the needs of both Industry and Society. This evolution involves technological development and innovation, especially now that we need to look beyond simple fuel combustion as a source of energy and consider both greater efficiency in the use of energy and new ways of producing it. The Third International Conference convened on the subject is the latest in a biennial series that brings together experts from around the world. Their papers, contained in this book, will include research on: Renewable Energy Technologies; Energy Management; Energy Policies; Energy and the Environment; Energy Analysis; Energy Efficiency; Energy Storage and Management; Conversion Process for Biomass and Biofuels; CO2 Sequestration and Storage. WIT Transactions on Ecology and the Environment, Vol 143 ISBN: 978-1-84564-508-3 eISBN: 978-1-84564-509-0 Published 2011 / 528pp / £227.00

WITPress Ashurst Lodge, Ashurst, Southampton, SO40 7AA, UK. Tel: 44 (0) 238 029 3223 Fax: 44 (0) 238 029 2853 E-Mail: [email protected]

Sustainable Development and Planning V

City planning for health and sustainable development

Visualizing Sustainable Planning (X.media.publishing)

Europe, Globalization and Sustainable Development

Ecosytems and Sustainable Development VI

Sustainable Design Ecology Architecture and Planning

Biodiversity Planning and Design: Sustainable Practices

Environmental Planning for Site Development: a Manual for Sustainable Local Planning and Design

Achieving sustainable development

Sustainable Development Handbook

Sustainable Development Research Advances

Handbook of Sustainable Development

Redefining Sustainable Development

Sustainable groundwater development

Sustainable design: ecology, architecture, and planning

Sustainable Development: Critical Issues

GIS for Sustainable Development

Chemistry for Sustainable Development

Global Sustainable Development

Sustainable Development Policy Directory

Evaluating Sustainable Development

Understanding Sustainable Development

OECD Sustainable Development Studies Subsidy Reform and Sustainable Development: Economic, Environmental and Social Aspects (Oecd Sustainable Development Studies)

Sustainable Development and Learning: Framing the Issues

Primer on climate change and sustainable development

Culture and sustainable development in the Pacific

OECD Sustainable Development Studies Measuring Sustainable Production (Oecd Sustainable Development Studies)

Environmental Management, Sustainable Development and Human Health

Globalisation and Sustainable Development: Environmental Agendas

Sustainable Development and Planning V

City planning for health and sustainable development

Visualizing Sustainable Planning (X.media.publishing)

Europe, Globalization and Sustainable Development

Ecosytems and Sustainable Development VI

Sustainable Design Ecology Architecture and Planning

Biodiversity Planning and Design: Sustainable Practices

Environmental Planning for Site Development: a Manual for Sustainable Local Planning and Design

Achieving sustainable development

Sustainable Development Handbook

Sustainable Development Research Advances

Handbook of Sustainable Development

Redefining Sustainable Development

Sustainable groundwater development

Sustainable design: ecology, architecture, and planning

Sustainable Development: Critical Issues

GIS for Sustainable Development

Chemistry for Sustainable Development

Global Sustainable Development

Sustainable Development Policy Directory

Evaluating Sustainable Development

Understanding Sustainable Development

OECD Sustainable Development Studies Subsidy Reform and Sustainable Development: Economic, Environmental and Social Aspects (Oecd Sustainable Development Studies)

Sustainable Development and Learning: Framing the Issues

Primer on climate change and sustainable development

Culture and sustainable development in the Pacific

OECD Sustainable Development Studies Measuring Sustainable Production (Oecd Sustainable Development Studies)

Environmental Management, Sustainable Development and Human Health

Globalisation and Sustainable Development: Environmental Agendas

Recommend Documents